news
Quality street A new quality assurance process has been introduced for Conveyancing Quality Scheme member firms. Atif Ali, head of the CQS technical assessment team, explains the changes The Conveyancing Quality Scheme (CQS) is in its seventh year, with over 3,000 members. Our quality assurance processes have identified a few firms that may pose a risk to the reputation of other members. We looked at how we can improve accreditation to identify these firms and better protect the scheme’s integrity.
Supervision
Intelligence may suggest reasons for a firm being selected for additional assessment. This might include: a pattern of complaints by the public via social media; reports from other firms of persistent non-compliance; or ongoing investigation by the Solicitors Regulation Authority.
In a few firms, some problems could be put down to an absence of specific policies, or the fact that a policy existed but had not been circulated or updated recently. Archiving is a headache for many, but it remains important, and whether physical or online records are kept, they must be capable of identification and kept within an orderly and consistent system.
The assessment takes place in two stages. The first is deskbased. A member of the technical assessment team looks at the way the firm adopts the CQS Protocol and highlights where office procedures do not appear to comply with the norm as accepted by the CQS Technical Panel. Working with the firm, the team builds a picture as to why certain matters are handled in certain ways, and offers feedback as to how the firm can adhere more closely to rules and improve compliance. In some instances, a roundtable meeting is then arranged to discuss issues in more depth. The second stage, where justified, may be an onsite visit, currently carried out by a serving member of the CQS Technical Panel. The panel comprises five highly experienced conveyancing solicitors from a variety of backgrounds and firms. Visits carried out thus far have highlighted a number of key themes, described below. Risk management There is clearly a wide divergence of practice in this important matter, as firms adopt differing structures with varying models. However, whatever system is operating, it needs to be applied rigorously across all conveyancing members of a firm and all client cases. A key issue is anti-money laundering (AML), in particular identifying the source of funds and the relevant conveyancer on the other side of the transaction. It is imperative that members approach AML with consistency, including through regular training. File and case management It is important that file review processes are consistent. Information is now very often located in multiple places and spread across different media within non-integrated or partially integrated systems. Many firms manage hybrid systems – manual or computerised or online in part – and consistent standards should be adopted and applied. File reviews should be carried out on a regular basis, and additional training organised where procedures or policy are not being followed.
Supervision is difficult to do well; even where firms have a good system, it can easily go wrong, especially when people join or leave, which may give rise to complaints that only surface months later.
Firms must make improvements to prepare for the General Data Protection Regulation, in force from May 2018. Client care Generally, on the files inspected, client care was good, notwithstanding the strange twists and circumstances clients find themselves in. However, not all firms kept a formalised central register of complaints and undertakings. CQS firms should have, maintain and enforce proper policies and procedures to ensure compliance with the Core Practice Management Standards (CPMS). Adherence to the CQS Protocol Some firms were still using a previous version of the Standard Conditions of Sale and adding outdated and unnecessary special conditions that other CQS members then strike down. All CQS firms should be using the fifth edition and only adding conditions as relevant and necessary, or on case-specific client instructions. We hope that our new two-stage process will ensure that all accredited practices meet the required standards in relation to best practice, client service and practice management, while also seeking to embed a culture of continuous improvement. We will take steps to help firms improve and, if necessary, arrange to visit them. However, where inspection visits are necessary after help has been given, the costs of the increased level of inquiry may need to be addressed. Persistent failure to adhere to the CPMS will mean that accreditation is withdrawn. If any CQS firm is unable to resolve issues with another member firm that refuses to cooperate or desist from non-compliant behaviour, please email us at cqs@lawsociety.org.uk.
Atif Ali Head of the Law Society’s Conveyancing Quality Scheme technical assessment team
The Bill of Middlesex 15