Checklist for Requirement 3: Operational systems – client care

See the checklist below to ensure that your firm is prepared to meet the Operational systems – client care requirement of the Legal Services Excellence Standard.


Can you provide evidence of the following, which the client care policy should include:

  • How enquiries from potential clients will be dealt with confidentially,

  • Ensuring that, before taking on a client, the department has sufficient resources and competence to deal with protecting client confidentiality, including their data protection rights,

  • A timely response is made to telephone calls and correspondence from the client and others,

  • A procedure for referring clients to third parties,

  • Client care policy has been communicated to staff,

  • Client feedback has been sought,

  • File review and actions arising,

  • Peer review can be demonstrated,

  • Recording of key client information.


Can you provide evidence of the following:

  • Compliance with section 150, data privacy, consent, and AML,

  • Submission of client care statement to clients,

  • Use of disengagement letters.


Can you provide evidence of the following:

  • A policy on firm style,

  • Firm has asked client about preferred methods and time of communication,

  • Firm has committed to a response time for client queries and has a system for flagging when clients have not received a response within that timeframe,

  • Staff are aware of above policies.


Can you provide evidence of the following:

  • Firm has documented whether it deals with, or is likely to deal with, vulnerable clients,

  • A vulnerable client communication policy in place.


Can you provide evidence of the following:

  • Carrying out of conflict checks,

  • Staff training re conflicts of interest.


Can you provide evidence of the following:

  • An undertakings policy,

  • An undertakings register,

  • A critical dates policy,

  • A critical dates register or a practice management system that manages critical dates,

  • A wills register,

  • A client complaints register,

  • A deeds register,

  • Firm carries out ‘Know Your Client’ (KYC) and AML procedures in lines with its documented policies,

  • A credit control action plan that includes setting credit limits for clients, risk assessment re credit limits, collections policy, and monitoring of accounts receivable and outlays.