Checklist for Requirement 4: Human resources, competence, and knowledge management

See the checklist below to ensure that your firm is prepared to meet the Human resources, competence, and knowledge management requirement of the Legal Services Excellence Standard.


Can you provide evidence of the following:

  • The firm has allocated HR responsibilities,

  • Staff performance targets/measures are in place for all roles, which are regularly reviewed and linked to the overall firms’ performance,

  • Staff feedback initiatives,

  • Evidence of internal mentoring schedules, where appropriate.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • A recruitment policy is in place that includes:

  • The identification of vacancies,

  • The drafting of the job documentation,

  • Methods of attracting candidates,

  • Clear and transparent selection,

  • Storage, retention, and destruction of records,

  • References and ID checking,

  • Where appropriate, the checking of disciplinary records.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • A staff induction policy,

  • A policy in place for personal and further development of staff,

  • Implementation of a staff induction policy.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • A policy in place for personal and further development of staff.

  • Implementation of a staff development policy.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

4.5.1 Employees are clear on the communication etiquette when dealing with internal and external communications. There is a list of channels available.


Can you provide evidence of the following:

  • Policies are in place and are reviewed and updated annually,

  • A process is in place to make adjustments to policy within a reasonable timeframe, as the need arises,

  • Policies have been communicated and there is an effective process in place to communicate updated policies,

  • Employees have a clear understanding of the policies and where to access them.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • A policy covering health, psychological safety, and wellbeing,

  • Employees are encouraged, supported, and participate in wellbeing initiatives,

  • Signing the Law Society’s Professional Wellbeing Charter has been considered,

  • Employees can give examples of good supports that are in place for their wellbeing (such as EAP training and education etc)

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • A diversity, equality, and inclusion policy in place,

  • Staff awareness of diversity, equality and inclusion policy,

  • Signing the Law Society’s Gender Equality, Diversity, and Inclusion (GEDI) charter has been considered.

**(Not applicable if there are no staff).


Can you provide evidence of the following:

  • Participation in professional development training,

  • Evidence of a central record of CPD.


Can you provide evidence of the following:

  • Managers/partners can demonstrate evidence of long-term planning of learning and development for their employees through budget allocations and employee training approval documentation,

  • Managers/partners can provide examples of how the organisation supports continuous learning (for example, scheduled CPD days, CPD attendance records).


Can you provide evidence of the following:

  • Employees can demonstrate evidence of access to professional development resources/legal library/legal research tools for all staff.