Equality and diversity objectives 2011/2012

Introduction

• 1.

  Our priorities for equality and diversity for 2011/12 are

• to support the SRA's business plan to make sure that equality is embedded into the rules, policies and processes that we are developing for the future of outcomes-focused regulation (OFR) and the organisational transformation that is under way to support this
• to monitor the impact on equality of our new outcomes-focused approach and the introduction of alternative business structures (ABS), and
• to continue our progress in relation to a number of important equality issues that we have identified in relation to our regulatory work such as the disproportionate regulatory outcomes for black and minority ethnic (BME) solicitors that we have been working on for some time.
• 2.

  Our equality objectives for 2011/12 are set out below with a brief summary of how we will achieve those objectives. The specific actions that we are taking to achieve these objectives are set out in our equality and diversity action plan, which we will assess against the specified measures and milestones. We will report progress against this action plan quarterly to the board and will publish a progress report in September 2012.

• 3.

  The first four equality objectives relate to our role as an employer and the final five objectives relate to our regulatory and consumer affairs work.

Our equality objectives at a glance

• Objective 1: Promoting diversity in the workplace
• Objective 2: Promoting diversity at board and committee level.
• Objective 3: Developing our people for new ways of working.
• Objective 4: Embedding equality in the work we are doing to transform our organisation.
• Objective 5: Supporting small firms in managing the transition to outcomes-focused regulation and the introduction of alternative business structures (ABS).
• Objective 6: Continuing to closely monitor the disproportionate outcomes for BME solicitors and firms and seeking where possible to reduce that disproportionality.
• Objective 7: Improving how we respond to those in the profession with a disability.
• Objective 8: Better understanding the needs of consumers and the wider public.
• Objective 9: Encouraging a diverse profession.

Objective 1: Promoting diversity in the workplace

• 4.

  Our workforce diversity data will be published annually and we will continue to monitor recruitment outcomes and trends. We have adopted a number of positive actions to tackle areas of under-representation in 2011/12, for example to improve the gender, ethnicity and disability balance of our staff. We will continue to look at our approach to recruitment advertising so that we reach a more diverse group of potential applicants.

• 5.

  We will be working to promote a diverse and inclusive working environment. We will carry out our employee attitude survey again at the end of the year, aiming for improved response rates and overall satisfaction rates. Having identified staff concerns about bullying and harassment in the workplace we will be putting measures in place to address this by reinforcing our bullying and harassment policy to staff, publishing a policy to help us manage unreasonable behaviour from our "customers", and encouraging staff to seek support.

Objective 2: Promoting diversity at board and committee level

• 6.

  We will be publishing diversity data for our SRA Board and Committees and will use positive action measures to increase the diversity of applications when recruiting for new members.

• 7.

  We will continue to provide mandatory equality and diversity training to new board and committee members and provide the board with good quality equality impact assessment reports so that they are able to take account of equality in carrying out their work.

Objective 3: Developing our people for new ways of working

• 8.

  We will be delivering business-focused learning and development activities which support and embed the changes in culture and skills required to support our new way of regulating the profession.

• 9.

  In particular we will deliver a range of training and development programmes to build the competence and confidence of staff on equality, diversity and human rights and build the leadership and decision-making skills of our senior managers.

Objective 4: Embedding equality in the work we are doing to transform our organisation

• 10.

  To support our transformation to outcomes-focused regulation we are undergoing significant changes to our organisational structure and this will involve a move to a single office site for the SRA in 2012. This work is being done by the Human Resource function which is a shared service and they will be assessing the equality impact the changes are likely to have on our staff and our potential for recruiting a diverse workforce in the future.

• 11.

  In addition to the work we are doing to develop our organisation, we will improve the work we began in 2009/2010 to increase supplier diversity and will continue to encourage best practice in our procurement work.

Objective 5: Supporting small firms in managing the transition to outcomes-focused regulation and the introduction of alternative business structures (ABS)

• 12.

  It is clear from our equality impact assessment work that sole practitioners and small firms are likely to be the most vulnerable to any potential adverse impact arising from the introduction of alternative business structures and our new approach to outcomes-focused regulation. This has implications for equality because a disproportionate number of BME and female firms are represented in the overall population of one and two-partner firms.

• 13.

  We have assessed the equality impact of our new SRA Handbook and continue to consider equality impact as we develop our authorisation, supervision and enforcement functions.

• 14.

  We have to accept there are limitations on what we can do as the regulator, but the areas where we are able to make a difference are:

• Providing education and information about OFR and the new Handbook through our roadshows and webinars as well as targeted engagement with the sole practitioners group
• Positive engagement with small firms through supervision—our supervision and relationship management pilots have included small firms so we are better able to develop our approach with all sectors of the profession in mind
• Ongoing equality monitoring of regulatory outcomes on small firms, and
• Undertaking further research into the applications we receive for authorisation of alternative business structures and their market impact.

Objective 6: Continuing to closely monitor the disproportionate outcomes for BME solicitors and firms and seeking where possible to reduce that disproportionality

• 15.

  We have agreed a programme of further work arising from the Pearn Kandola report, which will help us examine our decisions in more detail to make sure our decision-making criteria and procedures are fair and transparent. These actions are already published in the Pearn Kandola report and have been incorporated into our equality and diversity action plan for 2011/12, although we will be publishing a progress report against the Pearn Kandola actions separately in September 2011.

• 16.

  We will also be continuing our work to assess the equality impact of our decision-making criteria and the criteria that we have identified as having a high priority are included in our EIA schedule.

Objective 7: Improving how we respond to those in the profession with a disability

• 17.

  We will build on the work that we started in 2010 to ensure that we get better at providing reasonable adjustments in particular for those disabled people whom we regulate but also for other people we are in contact with during our work, such as clients who have reported misconduct to us. We are proposing to introduce a scheme to assist disabled people in communicating with us through our regulatory work—referred to as our external liaison scheme.

• 18.

  We have embarked on a comprehensive review of our training requirements for entry into the profession (referred to in relation to objective 9 below) and this will consider all the relevant equality issues around access, including those issues particularly relevant to disabled students and trainees.

• 19.

  We will continue to work closely with Legal Practice Course providers and firms to address the concerns that disabled students have raised with us about the provision of reasonable adjustments during their training. We have established a sound working relationship with the Lawyers with Disabilities Division and will continue to consult and engage with them in this area so that we are able to address issues at the earliest opportunity.

Objective 8: Increase our level of engagement with consumers and the wider public

• 20.

  We began work in 2010 to improve our understanding of the needs of consumers and will be building on this work by developing our consumer affairs function and publishing our strategy which will take account of the needs of all consumers, including those who may face barriers to accessing legal services.

• 21.

  Our consumer affairs work will feed into different areas of the SRA to make sure that consumer views and experiences are well-represented and positioned across our work. We are moving on from making assumptions on behalf of consumers to empowering consumers to make informed choices on the basis of improved knowledge, understanding and information. Our work will focus on education, engagement and empowerment.

• 22.

  In relation to consumer education, we want to support members of the public in being aware of issues they may face in using legal services, how best to manage these, and how to understand the services they want to access and know more about their rights.

• 23.

  Our consumer engagement work will help us improve our supervision and enforcement activities, giving us a better understanding of the risks and concerns consumers have in using legal services. We will be proactive and inclusive in helping consumers put their point of view across to us and make it easier for consumers to tell us what they think about our work, and more widely about legal services. We have already been working closely with our consumer-based Disability Advisory Group and will ensure that we are inclusive and take particular account of the needs of vulnerable consumers.

• 24.

  If our education and engagement are both effective, consumers will be informed and empowered to access legal services and understand what to expect.

• 25.

  Some of the initial projects will include the creation of a network for members of the public to have their say about issues facing them in using legal services, setting up new links with organisations in the not-for-profit and charity sectors, as a means of identifying emerging issues, and working more closely with other organisations within the legal services sector, including the Legal Ombudsman, the Legal Services Board (LSB) Consumer Panel and other approved regulators, to boost the strength of signposting and support services for consumers using legal services.

Objective 9: Encouraging a diverse profession

• 26.

  To meet this objective which is also one of our regulatory objectives, our focus for 2011/12 will be on three areas. Firstly we will continue to work with the LSB, to develop our respective plans for implementing the LSB's requirements in relation to the collection of workforce diversity data by law firms. You can read more about their plans on the LSB website.

• 27.

  Secondly, we will be working with firms to promote understanding of how they might meet the equality and diversity outcomes set out in chapter 2 of the new Code of Conduct. We are not able to publish "guidance" to the Handbook but we will helping firms understand the expected outcomes as much as we can through frequently asked questions and will undertake a thematic supervision pilot to help us improve the performance of the profession in this area.

• 28.

  And thirdly, we will be looking at further opportunities for promoting access to the profession through our review of the current legal education and training system for lawyers in England and Wales. This is being jointly commissioned by the SRA, the Bar Standards Board and the Institute of Legal Executives and will be looking at equality issues such as access to the profession. Our work-based learning pilot will be taken forward as part of this review to encourage diversity through the promotion of non-traditional routes to qualification as a solicitor.