The SRA has published new guidance that is specifically intended to help, guide, and support in-house solicitors operating in England and Wales. The in-house legal guidance is based on feedback following stakeholder feedback on drafts published earlier this year on the type of resources needed to aid the 34,500+ solicitors working in-house within England and Wales. The SRA has now produced a series of materials designed to directly support in-house solicitors within England and Wales.
Why Has The SRA Issued Dedicated Guidance For In-House Solicitors In The UK?
The new guidance has its roots in a thematic review conducted in early 2023, which involved around 1,200 in-house legal professionals. The aim of the review at the time was to help the SRA to better understand the unique issues currently affecting the lawyers working in-house. The review discovered that while most in-house lawyers they spoke to felt confident that pressure from their organisation would not affect their ability to provide objective and impartial advice and that they could act ethically under pressure, some had experienced pressure to suppress or ignore information that conflicted with their regulatory obligations. In addition, around 10% of respondents reported that their regulatory obligations had been compromised in trying to meet organisational priorities. The new guidance was also driven by requests from the in-house sector and is published at a time when high-profile cases, for example, the Post Office, shine a light on the role of in-house solicitors.
As Juliet Oliver, General Counsel at the Solicitors Regulation Authority, explains, “This is the first time we have produced such a breadth of guidance for in-house solicitors. I want to thank all of those who took the time to comment. The input we received from professionals was invaluable…These documents reflect the unique challenges and issues that in-house solicitors encounter in their day-to-day roles and aim to support solicitors in meeting these, and to highlight the value that in-house solicitors can bring to organisations in promoting ethical behaviour and managing legal risk”.
The newly published guidance is for in-house solicitors in addition to Registered European Lawyers and Registered Foreign Lawyers regulated by the SRA.
What Is Included In The SRA’s New In-House Guidance?
The SRA has created several guides (documents) specifically aimed at helping in-house solicitors, including:
1) Identify Clients When Working In-House
This guidance is supposed to be read by in-house solicitors in conjunction with an SRA case study entitled ‘Identifying your client when working in-house case study”. It is underpinned by Principle 7 of the SRA’s Standards and Regulations, which requires all registered solicitors to act in the best interests of their clients. This includes making sure that solicitors know who their clients are and being clear about whether they can act for them.
2) Reporting Concerns About Wrongdoing When Working In-House
This guidance should be read by in-house solicitors in conjunction with an SRA case study entitled ‘Reporting concerns about wrongdoing when working in-house case studies’. Its purpose is to assist in-house solicitors in better understanding their responsibilities when faced with concerns regarding any actions or decisions taken by their organisation. It sets out the SRA’s expectations when escalating and reporting concerns internally, as well as when to consider making external reports to a relevant authority.
3) Internal Investigations
The internal investigations guidance document is to help regulated firms and solicitors better understand and manage the regulatory risks they face and the issues associated with conducting an internal investigation.
4) Guidance For Employers On A Solicitor’s Professional Obligations
The guidance for employers is intended to enhance the understanding of an in-house solicitor’s professional obligations and strengthen the support that employers provide to help in-house solicitors meet them. The guidance aims to facilitate discussions about the mutual expectations of the employer and the in-house solicitor.
5) New Separate Document For Governing Boards, Chief Executives And Senior Officers In Organisations Employing In-House Solicitors
To help employers understand the regulatory duties and standards that in-house solicitors are required to comply with. It is targeted mainly at senior executives, non-executives, HR professionals, and those who are responsible for managing and supervising solicitors and legal teams within their organisation.
6) New Guidance On Legal Professional Privilege When Working In-House
This guidance sets out the key issues that in-house solicitors face when it comes to legal professional privilege (LPP) and how to navigate them.
Final words
It is hoped that the new guidance for in-house lawyers will help both those new to this type of role and seasoned in-house professionals understand how to navigate many of the more difficult aspects of acting within and for an organisation that is also their employer. It will also help employers to better understand the unique and often complex perspective of in-house lawyers and to assist them in staying compliant with the Principles, duties and obligations of the SRA.
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