Colp & Cofa

A Client Care Policy can look complete on paper while leaving staff uncertain about what to do when a client needs extra support, a quotation changes or a matter is not progressing as expected.

For a CQS-accredited firm, the policy should do more than describe good service in general terms. It should give staff practical direction and reflect how the firm accepts work, communicates with clients and handles the situations that create risk.

What should a Client Care Policy cover?

The CQS Core Practice Management Standards require a policy dealing with client care. Lexsure’s current CQS (CPMS) Client Care Policy is aligned to section 6.1 and covers subjects including:

• competence and client acceptance;
• conveyancing quotations;
• confidentiality;
• responsiveness and managing client expectations;
• courtesy and professional conduct;
• reasonable adjustments for disabled clients; and
• referrals to third parties.

These are practical areas of risk for a COLP, COFA or policy owner. If the policy says the firm will provide clear, timely updates, for example, the firm should be able to explain how fee earners identify matters that need an update and how missed communications are addressed.

Check that the policy matches the firm’s working practices

A policy review should compare the written procedure with what happens at file-opening, during the transaction and when a client raises a concern. Ask whether staff know who can approve a quotation, how changes to scope or costs are explained, and what steps are available when a client has a disability or other support need.

Review the links between client care and related procedures. A change in client communication may affect the firm’s terms of business, complaints process, data protection arrangements or staff guidance. The policy owner should record decisions, assign any follow-up work and check that amendments have reached the people who need to use them.

Keep the policy under review

Client care requirements and related guidance can change. The current Lexsure policy page lists recent paragraphs for firms to consider, including updates concerning client account interest, data protection complaints handling, competence and client acceptance, and transparency about tax advice and registration.

Those updates are prompts for review. The firm should assess whether each one applies to its practice, decide what changes are needed and update any connected documents or procedures. Adding new wording without implementing the related process will not, by itself, improve client care.

For more background, see our guide to reviewing a CQS Client Care Policy and our earlier overview of what a CQS Client Care Policy may include.

For wider support with COLP and COFA responsibilities, visit Colp and Cofa. A policy template can help structure a review, but the firm remains responsible for deciding what is appropriate and making sure its procedures work in practice.