Last year, the Law Society commissioned the Inter-Disciplinary Ethics Applied Centre at the University of Leeds to develop an ethical practice framework to help navigate the unique challenges faced by in-house solicitors. We are excited to share the first iteration of this work for consultation with the in-house community, in order to review and improve it based on user experience.
Upholding a high standard of professional ethics is a cornerstone of our profession. In-house solicitors work in a highly regulated profession, using expertise to advise their organisations on complex and risky issues. There is no universal blueprint for ethical support in this space. There will always be nuances, in which individual virtues, values, character, culture or institutional and socio-economic factors all need to be considered.
What is considered ethical has also been evolving into an increasingly complex and at times contested landscape. As your professional body, we have a role in supporting members to navigate this changing landscape. Different professional bodies take varied approaches and professionals themselves have different expectations about what they need from their professional body.
To ensure the framework is practical and relevant, we have engaged directly with as many in-house solicitors as possible to understand their lived experiences and challenges. Our aim has been to produce something that is not a static document but a living resource that will evolve through real-world application and feedback.
Our approach
Ethical practice is about more than just compliance – it requires confidence, judgement and resilience. The framework is there to serve in-house solicitors, providing them with practical tools to support them in tackling ethical challenges.
Importantly, the framework reflects the realities of in-house practice. Resources of this kind must acknowledge the pressures and constraints that in-house solicitors work under. The framework aims to be practical, relevant and actionable.
The framework complements, rather than duplicates, what already exists, including the Solicitors Regulation Authority’s guidance for in-house solicitors. Where there is overlap between the SRA’s guidance and our framework, our intention is to ensure consistency of messaging between them.
For the most part, the SRA’s focus as the regulator is to clarify regulatory requirements and how these apply in-house, whereas our focus as the professional body is to provide complementary, practical support to its members. So in-house solicitors may look to the SRA’s guidance for issues such as identifying the client, internal investigations and legal privilege; and to our framework for guidance on how they are able to better meet their regulatory requirements and ethical responsibilities, as well as positively influence their organisation’s ethical culture.
What we learned from the research
To ensure the framework was rooted in real-world challenges, we conducted a survey to identify key ethical pressures and areas where support was needed, expert interviews with senior in-house solicitors, as well as focus groups and interviews with in-house solicitors across different sectors and at different levels of seniority.
This research uncovered several key challenges and risks, including that the biggest perceived threat to ethical action is ‘excessive workload and/or time pressure’ and ‘being expected to prioritise the interests of the organisation over professional responsibilities’. Solicitors need support from their organisation and strategies for dealing with competing demands.
Another key insight is that there is a need to put in-house solicitors on a firmer footing to protect their independent advice and ability to influence decision-making. The in-house solicitor’s role can be isolating, especially where one is working as sole counsel in an organisation. Furthermore, the kind of advice that solicitors need is very situation-specific. When the job becomes difficult, blanket directives and rules are less likely to be useful than sources of advice from real solicitors who have faced similar situations.
Navigating pressures
The framework provides a suite of resources designed to help solicitors navigate these pressures effectively. First, the framework provides a range of resources aimed at improving ethical awareness and reasoning. These include decision-making tools and interactive scenarios which encourage solicitors to think analytically about ethical decisions. Another tool helps them to think about organisational culture: what it is, how it influences decision-making and how they as solicitors can influence the culture of the organisation they work for.
Second, the framework supports the strengthening of in-house solicitors’ legal function within organisations through resources such as a protocol for employing organisations and a contract amendment letter. Resources like this help empower solicitors to take control of the way their role is understood within the organisation, with the support of their professional body. They are business-focused documents giving clear, actionable guidelines that can be implemented by organisational leaders. Ultimately, this helps in-house solicitors fulfil their role of serving the organisation’s objectives within legal and ethical boundaries.
Finally, the framework fosters professional networks. Recognising that peer support is vital, the framework points solicitors to existing networks and sources of advice, encouraging them to connect, share experiences and seek guidance from others who have faced similar ethical dilemmas.
Next steps
This framework is not about imposing rigid rules; rather, it is designed to spark discussion and reflection, both among in-house solicitors and between legal teams and stakeholders within their organisations. We now invite members to engage with the framework and share their feedback.
Richard Atkinson is president of the Law Society. Dr Jim Baxter is IDEA centre professional ethics consultancy team leader at the University of Leeds
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