Overview
We have seen an overrepresentation of Black, Asian and minority ethnic solicitors in the early stages of our enforcement processes for many years. And these troubling patterns are widely seen across many regulators and sectors.
We are committed to tackling the factors which may be causing this overrepresentation.
Research by York, Lancaster and Cardiff universities has built on previous independent reviews and research done in this area and concluded the causes are complex and there is no simple solution. However, their findings provide insight into the factors we should focus on.
In response, we are planning to:
- More effectively tailor compliance support and resources available to smaller and one partner firms, in light of the challenges they might face.
- Build on the strengths identified in our assessment process by developing our guidance for staff in handling complex borderline cases and take forward a process for improving the systematic recording of relevant information by staff.
- Improve how we collect and use our data, which will enable us to have better insights, spot issues and trends and respond effectively.
- Work with other regulators to identify current best practice and share learning in tackling these issues.
These actions will help the profession manage the risks of being reported to us for non-compliance and further strengthen our assessment process, including identifying learning from other regulators. They will help us use our data to better understand the issues going forward and help us evaluate our progress.
We do not expect these actions alone will remove the overrepresentation of Black, Asian and minority solicitors overnight. Working in collaboration with other stakeholders, including law firms, the Law Society and representative groups, to find ways to address the issues raised will give us the best opportunity of tackling the overrepresentation.
Suggested actions from universities
These suggested actions are from the universities who looked into what was behind the fact that Black Asian and minority ethnic solicitors are overrepresented in both the reports we receive and those we take forward for investigation. They found:
- There are several factors, including ethnicity, which appear to increase the likelihood of a report being made or taken forward for investigation. Factors other than ethnicity include the size of firm where a solicitor works, their gender, age, entry route into the profession and the source of report.
- There are some factors which appear to interact with ethnicity to affect the overrepresentation of Black, Asian and minority ethnic solicitors. Those which seem to have the biggest impact are the size of the firm where the solicitor works, the firm’s practice areas and the source of the report.
- There are conflicting views on whether complainant bias is a factor. But the empirical evidence from the survey carried out to test this did not support the proposition that consumers are more or less likely to make a report to us based on the different (perceived) ethnicity or gender of their solicitor.
- Our process for deciding which reports to take forward for investigation are designed to ensure fairness and consistency in decision making, are followed by staff and have been identified by the universities ‘for the most part, as robust as they can be’. These include the assessment test, training materials, guidance and procedures. In addition, our equality, diversity and inclusion and unconscious bias training represents ‘best practice’.
Insights
The overrepresentation of Black, Asian and minority ethnic solicitors has been apparent since the SRA was first established. Unfortunately, this is not an issue that is unique to us as a regulator, or the legal profession.
The universities analysed the reports received and taken forward for investigation at the assessment stage over the period from 2018 to 2022. They confirmed the picture we have been seeing in our annual diversity monitoring report about the extent of this overrepresentation at both the report and assessment stage.
- Reports received – we received 27% more reports about Asian solicitors, 32% more about Black solicitors and 7% fewer about White solicitors compared to their make up in the practising population. Overall, there were 22% more reports about Black, Asian and minority ethnic solicitors as a group compared with their make up in the practising population.
- Reports taken forward for investigation at the assessment stage – we took forward 25% more reports about Asian solicitors, 23% more about Black solicitors and 12% fewer about White solicitors compared to their make up in the total reports received. Overall, we took 23% more reports about Black, Asian and minority solicitors forward for investigation compared with the make up of reports received.
The new insight from this research, which looked for the first time at the factors present in the legal sector, will help us focus our efforts in the longer term on addressing these troubling patterns.