## **Learning Outcomes**

This article covers:

- The scope and effect of SRA Principle 1 and when it overrides duties owed to individual clients
- Conduct that interferes with the administration of justice (e.g., misleading the court, tampering with evidence, intimidating witnesses), for breaches arising in practice and in private life
- The Code of Conduct provisions that give effect to Principle 1 in litigation and advisory work: not misleading, advancing only properly arguable submissions, assisting the court to further the overriding objective, complying with orders, and raising relevant authorities or material procedural irregularities
- How to manage conflicts with confidentiality, best interests, and independence: advising clients on limits, refusing improper instructions, and withdrawing where necessary
- When criminal or non‑criminal misconduct outside practice can breach Principle 1 and the associated obligations to notify and/or report to the SRA

## **SQE2 Syllabus**

For SQE2, you are required to understand how the SRA Principles—especially the duty to uphold the rule of law and proper administration of justice—apply across contentious and non-contentious work, with a focus on the following syllabus points:

- the meaning and content of the "rule of law" and "proper administration of justice" within the SRA Principles
- how these duties interact with the solicitor’s primary duty to clients
- the precedence of public interest duties over client interests when SRA Principles conflict
- conduct that breaches Principle 1, inside and outside professional 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 is the core requirement of SRA Principle 1 for solicitors?
2. When may your duty to uphold the administration of justice override your duty to act in your client’s best interests?
3. Give an example of conduct likely to breach Principle 1 even outside the workplace.
4. True or false: Only a criminal conviction can amount to a breach of the rule of law for a solicitor.

## **Introduction**

The SRA’s first Principle requires that all solicitors act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice. This duty applies at all times, not only in legal practice, but also in your private life. Understanding how this Principle operates—and when it takes precedence over client interests or other Principles—is essential for SQE2.

### The rule of law and the administration of justice

SRA Principle 1 means you must always ensure your actions support the fair, consistent, and equal application of the law, as well as the functioning and integrity of the justice system. This includes the active duty to assist courts and tribunals to deal with cases justly in line with the overriding objective found in civil and criminal procedure rules. Principle 1 is not met by simply avoiding illegality; it demands positive support for legal processes, accurate representations to courts and others, and compliance with court orders.

> **Key Term: rule of law**
> The requirement that the law applies equally to all, with no person, regardless of status, above the law; fair and predictable operation of the legal system for everyone.
>
> **Key Term: proper administration of justice**
> The duty to act in ways that support the operation, integrity, and authority of courts and legal processes, maintaining trust in the justice system.

These duties demand positive action and avoidance of behaviour that might undermine the law’s authority or the court’s effective operation. You must not simply avoid breaking the law; you must actively uphold it and the mechanisms of justice.

### Public duties versus client interests

Solicitors owe important duties to their clients—including confidentiality and acting in the client’s best interests. However, when these duties conflict with the duty to uphold the rule of law or the administration of justice, the public interest takes priority. You may need to advise the client about limits on your conduct (for example, you cannot put forward a case you know to be false) and record those discussions. If the client insists on instructions that would mislead the court or subvert lawful process, you must refuse and may have to withdraw.

> **Key Term: public interest**
> Concerns or benefits that affect society as a whole, such as upholding legal rights, justice, and public confidence in the profession.

### **Worked Example 1.1**

A solicitor’s client instructs her to hide key documents from the court during litigation, believing this offers their best chance at success. What should the solicitor do?

> **Answer:** The solicitor must refuse and cannot comply. Hiding evidence would undermine the administration of justice and likely breach Principle 1, regardless of the client’s wishes. In this case, the solicitor should withdraw from acting if the client persists.

### Acts that breach Principle 1

Breaches of Principle 1 go far beyond criminal convictions. Any serious misconduct, dishonesty, or disregard for equality under the law is likely to amount to a breach. Conduct undermining a lawful investigation or court process, or which reflects a serious disregard for the equal application of the law, can breach Principle 1 even if it does not result in a criminal conviction.

> **Key Term: misconduct**
> Behaviour falling below the professional standards required, such as dishonesty or actions that undermine trust in the justice system.

Examples of breach include:

- misleading the court, or allowing it to be misled (by commission or omission)
- encouraging a client to disobey court orders
- interference with or intimidation of witnesses
- tampering with or misusing evidence, or procuring false evidence
- wasting the court’s time or advancing submissions that are not properly arguable
- abuse of a solicitor’s position (and privilege) for personal gain
- involvement in money laundering or enabling serious criminality (including “tipping off” under anti-money laundering law)
- serious or repeated lawbreaking, even in private life
- conduct that damages public trust in the legal system or profession

### **Worked Example 1.2**

A solicitor is convicted of serious assault during a weekend altercation at a pub. The incident is unrelated to their legal practice. Is this likely to breach Principle 1?

> **Answer:** Yes. Committing a serious crime shows disregard for the rule of law and may seriously undermine confidence in the legal profession, resulting in regulatory action.

### Duties owed to the court

As an officer of the court, a solicitor must not seek to win “at any cost.” Your obligations are framed in the Code of Conduct provisions that give effect to Principle 1 across disputes and tribunals. Core duties include:

- not misleading or attempting to mislead the court (actively or passively)
- ensuring that assertions, submissions and applications are properly arguable
- complying with court orders and directions, and helping the court further the overriding objective
- not interfering with, tampering with, or improperly influencing evidence or witnesses
- not giving or offering benefits to witnesses dependent on their evidence or the case outcome
- drawing the court’s attention to relevant authorities, statutory provisions and material procedural irregularities of which you are aware, including when there is a litigant in person on the other side
- correcting material inaccuracies if you have been asked to confirm or approve information and become aware it is wrong; if your client refuses to permit correction, you must consider withdrawing to avoid misleading the court

> **Key Term: officer of the court**
> A solicitor’s role as a legal representative is to assist the court in the administration of justice, carrying obligations to the court that may override duties to the client.

In practice, upholding these duties often means giving difficult advice to clients: you cannot advance a case you know is false, you cannot bolster weak points with improper tactics, and you must not conceal relevant procedural problems. Clients should be informed in advance that your duty to the court and the wider public interest can override their instructions.

### **Worked Example 1.3**

While representing a client, a solicitor knows the client intends to give false evidence in court. Can the solicitor simply present their client’s case as instructed?

> **Answer:** No. The solicitor must refuse to permit or support the giving of false evidence, and should withdraw from acting if necessary. Supporting false testimony would breach Principle 1 and the duty to the court.

### **Worked Example 1.4**

In an interim hearing, you become aware of a binding appellate decision that is clearly adverse to your client’s position on limitation, but opposing counsel has not cited it. Must you raise it?

> **Answer:** Yes, if the authority is relevant and material to the issues before the court. The duty to assist the court in the administration of justice requires you to draw the judge’s attention to relevant law or material procedural points, even where doing so may be unfavourable to your client.

### Practical application when duties conflict

Where client instructions conflict with duties under Principle 1:

- explain the limits of proper conduct and the consequences of breaching them (for you and the client)
- advise on lawful alternatives (for example, putting the prosecution or claimant to proof rather than advancing a false case)
- make clear you will not mislead the court, conceal documents, or tamper with evidence
- keep full notes of advice and decisions
- if necessary, withdraw—maintaining confidentiality and stating only that you cannot continue “for professional reasons”

These steps protect the justice system, ensure compliance with the Code, and safeguard you from becoming complicit in misconduct.

### **Exam Warning**

> Principle 1 takes precedence when Principles conflict. In exam questions, identify situations where a solicitor must prioritise the interests of justice or the legal system above client instructions or benefit.

### Offences and behaviour outside practice

Principle 1 applies equally outside your work as a solicitor. A conviction for a criminal offence, repeated offending, serious dishonesty, or actions undermining lawful processes can amount to a breach—even where unrelated to legal work. The SRA will consider the nature of the conduct (e.g., violence, dishonesty, organised crime links), persistence, harm caused and any aggravating or mitigating factors. Importantly, a criminal caution or other outcome short of conviction may still trigger regulatory concern and can require notification to the SRA under the Code. The public must be able to trust that solicitors respect the law they administer.

### **Worked Example 1.5**

You receive a police caution for common assault after a late-night incident. There are no proceedings. Must you notify the SRA, and does Principle 1 come into play?

> **Answer:** Yes, a caution is notifiable to the SRA. Even conduct outside practice can breach Principle 1 if it indicates a disregard for the law or damages confidence in the profession. You should notify promptly and cooperate with any regulatory enquiries.

### Respecting lawful investigations and anti‑money laundering (AML)

Upholding the rule of law includes complying with AML legislation and avoiding conduct that prejudices an investigation. “Tipping off” a client that a suspicious activity report has been made (or that an investigation is contemplated) can be a criminal offence and will also undermine Principle 1. If you suspect money laundering, follow your firm’s reporting procedures, escalate to the nominated officer, and do not disclose the report to the client. Where a consent moratorium applies, pause the transaction lawfully and avoid misleading explanations.

### **Worked Example 1.6**

You have submitted an internal report to your nominated officer about client funds. The client phones and presses for an immediate explanation for the delay, and asks directly whether you have alerted authorities.

> **Answer:** You must not disclose any suspicious activity report or anything likely to prejudice an investigation. Provide a neutral, non-misleading holding response that does not reveal the existence of a report; continue to follow your firm’s procedures and await guidance or consent where required.

### Building Principle 1 into everyday practice

Principle 1 is engaged across all practice areas. Key habits include:

- accuracy: ensure statements to courts, regulators and opponents are accurate and not misleading
- compliance: obey court orders and deadlines; apply promptly to vary if needed
- proportionality: avoid oppressive or unarguable applications; respect the court’s time
- transparency with the court: raise relevant cases and material procedural issues (particularly if the other side is unrepresented)
- proper witness handling: do not influence the substance of evidence; avoid any inducements linked to testimony or outcomes
- records: keep clear notes evidencing advice not to mislead and reasons for withdrawal when it occurs
- client care letters and retainer terms: explain the hierarchy of duties (duty to the court and public interest can override client instructions)

Adopting these disciplines reduces risk, supports orderly proceedings, and preserves the integrity of the justice system.

### Applying Principle 1 alongside confidentiality and best interests

Principle 1 often sits in tension with confidentiality and best-interests duties. When confronting false evidence or knowing inaccuracies, you are not permitted to breach confidentiality by explaining your reasons to the court; you should instead withdraw for professional reasons. Where you are asked to confirm the accuracy of information (e.g., antecedents or schedules) and you know it is wrong, seek client consent to correct. If consent is refused and you cannot avoid the court being misled, you must cease to act to prevent a breach of Principle 1. The duty to the court operates as a brake on otherwise robust client representation.

### Notification, reporting and cooperation

Upholding the rule of law also means cooperating with regulators. You must:

- notify the SRA of relevant criminal charges, cautions or convictions promptly
- report facts you reasonably believe are capable of amounting to a serious breach by any person regulated by the SRA (as appropriate)
- respond promptly and honestly to regulatory enquiries and take remedial steps requested

Failing to notify or to cooperate may itself undermine the proper administration of justice.

### **Worked Example 1.7**

During a hearing, you notice that the court has listed the matter under the wrong claim number and this error has resulted in an irregular order that benefits your client. The other side is a litigant in person. What should you do?

> **Answer:** Draw the procedural irregularity to the court’s attention promptly. Assisting the court, especially where a litigant in person is involved, is part of your duty to the administration of justice under Principle 1.

### **Revision Tip**

> If exam scenarios involve a solicitor asked to act in a way that risks the fairness, independence, or authority of the legal system or involves ignoring court orders or misleading a court, always consider Principle 1 first.

## **Key Point Checklist**

_This article has covered the following key knowledge points:_

- Principle 1 requires solicitors to uphold the rule of law and the proper administration of justice at all times, in and out of practice.
- Duties under Principle 1 prevail over client interests if they conflict; you must refuse improper instructions and withdraw where necessary.
- Conduct undermining the justice system—misleading the court, tampering with evidence, influencing witnesses, abusing process, or ignoring court orders—breaches Principle 1.
- You must assist the court: cite relevant law and material procedural points, avoid wasting time, and act with accuracy and candour.
- Outside practice, serious criminality, cautions or repeated offending can breach Principle 1; relevant matters must be notified to the SRA.
- AML compliance supports the rule of law; avoid “tipping off,” follow internal reporting routes, and pause transactions lawfully where required.
- When conflicts arise with confidentiality or client best interests, protect the administration of justice by advising, refusing to mislead, and withdrawing for professional reasons.
- Maintaining full attendance notes and clear client advice letters helps demonstrate compliance with Principle 1.

## **Key Terms and Concepts**

- rule of law
- proper administration of justice
- public interest
- misconduct
- officer of the court

The SRA Principles - Upholding the constitutional principle of the rule of law and the administration of justice