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Contracts
Are written employment contracts provided to all employees on or before the first day or employment?
No staff have contracts.
Some but not all.
Yes every staff member has one but not by the first day of employment.
Yes and on or before day 1 of employment.
We don’t need written contracts.
Contracts
Do the contracts comply with up to date legislation (up to today's date) including terms and conditions of employment?
I don’t know.
I think so, but they haven't been checked for a couple of years.
Yes, they have been checked by a professional since April of this year.
We don’t have contracts.
No, I know they are not up to date.
Contracts
Have all contracts been signed, including any amendments or updates?
Yes all are signed, including amendments.
Mostly signed, though I couldn’t say conclusively that they all are.
Some are, some are not, we would need to go through them.
No contracts have been signed but we did give them to employees.
No, we don’t have any contracts.
Contracts
Have they all been retained in their most up to date form on file?
Yes, everything is up to date and filed correctly in a clear manner.
Some things are filed but we know there are gaps.
We have the documents but they are not in any sort of order of filing system.
We don’t have any contracts.
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Equality Act
Is the workplace free from discrimination, harassment or victimisation?
We can absolutely guarantee a discrimination, harassment and victimisation free workplace.
We do our best but we know that this is something we have to stay up to date with and continually train our managers on and monitor our workforce to ensure compliance.
We don’t currently have any issues, but we know this is because our staff are well known to us and we haven't had any of these sorts of problems yet, rather than as a result of any pro-active training or policy.
I am not sure, I am not 100% that I know what all of these terms really means, and if asked to explain them I would probably struggle.
We have issues and we struggle to manage them sometimes.
Equality Act
Are equal opportunities provided for all employees?
Yes, everyone can compete fairly for the same opportunities and we use independent and objective criteria as far as is reasonably possible, and we can evidence the decisions made.
We try and treat everyone fairly and we would never do anything unfair intentionally.
What do you mean by equal opportunities?
We have a policy in place but I couldn’t with any confidence comment further than that.
We have no policies in place and do not need them, our decisions are influenced by various factors according to business need.
Equality Act
Are policies and procedures in place to address complaints of discrimination or harassment?
Yes, we have policies which are regularly professionally reviewed and we absolutely adhere to them without exception every time they are needed.
We have policies in place, but we can't guarantee managers absolutely follow them, despite training and our best efforts to ensure they do.
We have policies in place but we haven't implemented training on them.
We do, but they haven't been reviewed for some time.
We don’t have any policies for this type of thing.
Equality Act
Do managers know how the policies work and do they know how to respond to complaints?
Yes, they are trained and we notify them of updates as and when they happen- all complaints are dealt with in the same way.
They know of the policies and have read them but haven't had specific training, we are reliant on the managers to implement them properly and couldn’t guarantee that this is the case every time.
If there was an issue the managers know where the policies are, but I couldn’t be 100% confident that they would remember to use them.
We don’t have any policies, complaints are just dealt with when they come in.
Our business doesn’t deal with complaints.
Equality Act
Do employees know about the policies and where they are kept?
Yes, the policies are easily accessible and updates are regularly notified.
They are shown the policies are when they join but cannot be sure they all know where they are.
They are supposed to be told where they are when they start or at other key points but can't be 100% sure this is always the case.
We have policies but we don’t tell them where they are.
We don’t have any policies.
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Working Time and Leave
Do you have Working Time Opt outs in place?
What is a Working Time Opt Out?
Yes but I don’t know why we have them?
Yes, though I don’t know where they are kept.
Yes and they are kept on personnel files.
Working Time and Leave
Are hours worked in compliance with the Working Time Regulations?
Yes, we monitor hours, cross check against any opt outs and ensure that all rest breaks are available and consideration is given to shift patterns to ensure compliance with breaks.
Mostly, though we are reliant on employees to tell us if there is an issue.
We aren’t monitoring enough and we know there is a risk to the business here.
No, we aren't monitoring enough but I don’t understand what the risk could be?
I don’t understand what you mean?
Working Time and Leave
Are records of working time properly updated and maintained?
We have a robust system to manage hours and record them, including who has completed a shift, the hours they have done, when and can clearly evidence breaks and time between shifts. We are able able to manage holiday calculation with part year or irregular hours workers due to the robust management of hours.
We keep a record but I can not be 100% sure that we have captured everything we need or that it is held in the most effective way.
We rely on staff to ensure that their hours are recorded and our checking system is very light touch and if we are honest not totally effective.
We don’t have a consistent system and it is open to abuse, if we were audited I would be worried about it.
We don’t keep any records.
Working Time and Leave
Do employees get the basic statutory entitlements for breaks, holidays, and parental leave?
Yes, we have detailed knowledge and are up to date with all types of leave including full time, part time, irregular hours and part year holiday entitlements, paternity, maternity, adoption, shared parental leave, as well as flexible working, parental leave, bereavement and carers leave, we know what employees are entitled to and what their pay entitlement is.
I know the most common ones but need to remind myself on the rates and who is entitled to what. I am confident everyone gets their legal entitlement.
I get confused with some elements and could not be 100% confident we have got it right, though we have done our best.
We know employees don’t get everything they should, but we haven't had any claims or any enforcement to date.
We don’t pay our staff anything other than their wages.
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Health and Safety
Do you have a health and safety policy in place?
Yes, it was drafted by a professional specifically for our business and it is regularly reviewed, updated and provided to employees who are required to read it.
We have one that we have had for ages, it was written for us but hasn’t been updated for a while.
We have one, but we pulled it from the internet, and then either used it as it was or changed it.
We don’t have one.
Health and Safety
Are risk assessments conducted regularly and actions implemented promptly?
Yes, we conduct them, act on the actions and regularly update them with a clear audit trail. Employees are familiar with them and follow them.
We did them some time ago, and we followed the actions but to be honest haven't paid much attention to them since or updated them.
We took some from the Internet or another business as we knew we needed them on file but they are not bespoke and we haven't really actioned much if anything from them.
We don’t have risk assessments in place.
Health and Safety
Are employees provided with proper training?
Yes, employees receive basic training when they onboard and then role specific training at regular intervals as well as having access to training to support their development as well. We also implement health and safety training for all staff.
We do some light touch training but know we should do more, it is a matter of time and resources.
Very little, we do some when employees start or occasional training when absolutely needed but no more than that.
We do not train our staff.
Health and Safety
Do your employees have proper equipment or a safe working environment?
Yes, all equipment is regularly checked, our premises have been reviewed by a professional and this process is repeated regularly so that we can be absolutely confident our workplace is safe.
We had a check done a while ago and our equipment has the required safety checks but we haven't don’t much with regard to our premises or working environment for a while.
We PAT test or test equipment but nothing else.
We haven't done any safety checks on our equipment or premises.
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Pay and Benefits
Are employees paid in accordance with the up to date National Minimum Wage or National Living Wage?
We can guarantee that we are absolutely compliant with all staff for the minimum wage and living wage, and that this takes account of all hours worked including for salaried staff.
We are relatively confident but we don’t have robust systems to confirm this, we have to ask the accountant or payroll though they are reliant on the accuracy of the information we give to them.
Not confident, the change sometimes takes us by surprise or we have had employees correct us in the past. We don’t review it for salaried staff who work additional hours.
We know we are not compliant but we try our best and we struggle to keep up with the pace of business sometimes.
We don’t pay minimum wage staff are reliant on tips or commission to bring their wages up.
Pay and Benefits
Do you have a mechanism for noting when an age threshold will be crossed?
Yes we have a robust system that tells us in advance and can show us what the increase will cost us as a business. We are never taken by surprise and staff are always paid according to their age threshold on time.
We use a calendar or diary but it is easy to forget and sometimes it takes us by surprise but we don’t often miss the deadline.
We don’t have a mechanism and are reliant on employees or our accountant to remind us.
I don’t understand what you mean by age threshold?
Pay and Benefits
Are payroll records accurate and up to date?
Yes, these are managed either by an internal payroll or a professional external provider.
Mostly, we manage it ourselves but we feel we do a good job though it’s a job that causes a bit of a headache.
An external team does the payroll but I feel we are outgrowing them to some extent.
No we are sometimes late paying people and our records are a bit of a mess.
Pay and Benefits
Are statutory benefits such as sick pay, maternity, paternity pay as required by law paid?
Absolutely, we plan for the leave, know when it is occurring, what the rates are and the relevant dates and eligibility parameters.
Yes but I am not always familiar with the rates or eligibility and often have to look it up but it is always paid on time.
I always have to ask someone, I am not familiar with it, but when I am it then gets paid.
I get really confused, but try my best and I worry I will miss something.
No we don’t pay these benefits.
Pay and Benefits
Are you calculating holiday pay (particularly for irregular workers or part year workers) in line with current case law?
Yes, I am aware of Harpur Brazel case and also understand that irregular hours, part year and part time/full time hours are calculated differently. I keep up to date with the government consultations and feel confident doing the calculations or advising employees on their entitlements (or correcting an employee's view)
I can do some calculations but not all of them, and sometimes need to check the rules. I don’t have full confidence that I am correct with it.
I use online calculators but struggle with some of the concepts and get confused, I try my best but would get a little nervous if an employee challenged me on it.
I calculate everyone's holiday the same way.
We don’t pay holiday pay or we roll it up.
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Employee Privacy and Data Protection
Is there a data protection policy in place, compliant with the up to date UK Data Protection Law?
Yes, we had it reviewed and provided by a professional and it is bespoke to our business. It is regularly reviewed and updated.
We had one prepared for us a while ago but we have't done much with it since.
We got one from the Internet but it isn't bespoke to our business and we haven't done anything with it.
We do not have a policy for this.
Employee Privacy and Data Protection
Are employees informed about their data protection rights and how data is processed?
Yes, there is a clear and accessible statement which is issued to all employees and when it is updated it is circulated to them again. It is written in clear plain English and training is provided to them.
We have a policy available but they need to be proactive to go and get it or find it in a handbook.
If they were to ask about it we could provide them with some information but to be honest I don’t really understand the subject or our responsibilities very well.
We don’t have a policy and we don’t inform employees about their rights.
Employee Privacy and Data Protection
Are appropriate security measures implemented to protect data?
Yes, we have engaged a business to ensure our IT security and to provide a service in respect of securing and protecting data. We are confident around our levels of security and have a plan in the event of a breach.
Everything is password protected but we don’t use multiple authentication or any other encryption methods. We know what we need to do in the event of a breach.
We have passwords in place but we don’t have a plan in the event of a breach and don’t understand what our legal obligations are in that respect.
We are paper based and utilised locked drawers, and some information that is held on computers or devices is mostly password protected.
We don’t have any security measures in place.
Employee Privacy and Data Protection
Are you regularly updating employees and managers on their data protection obligations?
Yes, if we introduce a new process or there is a different way data is collected or a reason for collecting it we update staff and we arrange regular training.
To some extent, if something changes it may get communicated but we know we are not doing as much as we probably should.
We don’t really do this and don’t understand why we need to.
We feel it isn't necessary.
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Termination and Redundancy
Are fair procedures followed in cases of dismissal or redundancy?
Always, even if an employee has been with us less than 2 years, we can guarantee we always follow a procedure, and it is consistently applied and undertaken in a neutral and unbiased manner, with full records kept of the process and decision.
Mostly, we use the 2 year rule on occasion and whilst managers do try and follow the processes we know that sometimes some don’t follow it to the letter or they forget, though overall we feel that we are fair in the way we deal with things.
Very inconsistently, we tend to remember too late that procedures are needed, or we don’t have any but feel we are still fair. Decisions could however be inconsistent and we may struggle to show an audit trail.
We don’t use procedures, if we need to get rid of someone its our business and we can remove them.
Termination and Redundancy
Are proper notice periods provided and appropriate payments made?
Yes, employees either work their notice or they are paid in lieu, in full, according to their contract which we know are compliant with statutory minimums, we rarely dismiss without notice and only when there is a firm and evidenced belief in gross misconduct after following a procedure.
We follow the contracts in terms of notice periods, and I am mostly confident these are compliant with the law. We do however dismiss without notice on occasion.
I am not sure, I believe we do but could not be 100% sure.
No, we often dismiss without notice.
Termination and Redundancy
Are redundancy procedures compliant with legal requirements?
Yes, we understand that a process is required for consultation and we know the limits for collective consultation and the requirements for representatives, trade unions and government notifications. We feel entirely comfortable with the processes and that we are legally complaint.
We do our best, there can be a lot to it, and sometimes there is pressure to get through a process. We do hold consultations (or we haven't had any but I know in principle what we would need to do) but feel I would benefit from a little help with it as I am not 100% confident we would get it totally right.
I am not sure, I am not clear on what the legal requirements are.
We do not follow redundancy procedures.
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Immigration
Are right to work checks conducted for all employees?
Yes, we check every employee's ID either through a verified checking service or through checking original documentation. We are clear on what is required for right to work and understand the implications in getting it wrong or not doing it.
We check employees, but sometimes we forget and it is close to start date or they have started. We don’t always check original documents and we are not 100% sure on what is required.
We only check foreign employees.
We do not undertake right to work checks.
Immigration
Are necessary documents retained and copies made in accordance with immigration regulations?
Yes, every single check is stored properly and in accordance with regulations.
Yes we keep records but we are not entirely sure if we have everything we need or if we are complaint.
Yes, some but we are not consistent and not sure we have complete sets for everyone.
No we don’t have any records like this.
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Record Keeping
Are personnel files maintained for all employees?
Yes we have a robust system that is secure and up to date with information filed in a systematic and logical manner for all staff without exception.
We have a filing system and we do our best but couldn’t guarantee that everything is totally up to date or consistent across every employee. It is secured through.
We have files but know they are not up to date, we struggle a bit with the admin.
We don’t have a system at all, and rely on emails and electronic files but they are not in any sort of order.
We do not have any personnel files.
Record Keeping
Are records of key HR processes such as disciplinary actions and performance appraisals properly documented?
Yes, every stage of every process is properly documented using consistent precedent documentation or professionally drafted documentation that has been confirmed as being up to date. These are recorded and filed securely.
We do keep a record of what we do, but I am not 100% confident that we capture absolutely everything and we do not always have precedents or professionally written documentation.
We keep some records, but it is inconsistent and we are drafting letters as we go or using ones we have used before or found on the internet. I could not be confident that we are consistent but I feel that we are.
Our record keeping is poor and we know that the standard of our documentation and processes needs work, there are inconsistencies and it makes me nervous.
We do not keep any records.
Record Keeping
Are employee records stored securely and retained for the required duration?
We keep employee records and store them securely, we also have processes in place that tell us how long we should keep information for and when it should be securely destroyed. We have full confidence in our system and believe there is very little room for error.
We maintain records and store them securely, we have a policy on retention but if we are completely honest we more often than not forget about it and it is likely if there was an audit we may have retained things for too long or not long enough.
We do store records but we don’t really have a system for working out how old a record is or how long we should keep them. I know we aren’t compliant in this area, its not deliberate, but we are busy with other things or just haven't got to it
We don't have any system or didn’t realise there were rules on how long information can be stored.
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Compliance
Are managers aware of the limitations they are subject to when it comes to terminating an employee?
Yes, managers always liaise either with HR, a knowledgable senior manager or our lawyers before a dismissal. Dismissals are never immediate or knee-jerk, always follow a process and managers are aware of the risks to the business from an employment law perspective. Managers have been trained and we update them regularly.
Managers know that there are risks, but on occasion they are able to undertake terminations without referring to another individual in the business or an adviser. We trust their judgement and for them to be fair.
Managers are trusted to make their own decisions, and generally we do not place limitations on their decision making when it comes to terminating employees, especially if someone has been employed less than 2 years.
All dismissals are undertaken by one person and they are free to use their own judgement on issues.
We do not place limitations on the managers when it comes to terminations.
Compliance
Are appraisals carried out on a regular basis and done so consistently?
Appraisals are done at regular intervals, using consistent documentation and by managers or individuals who have been briefed on the appraisal process and received some training on the process. We are confident that they are completed consistently.
Appraisals are diarised and we try and do them regularly however the timescales sometimes slip and on occasion we are late getting them done. We use the same form year after year, and don’t feel we get much out of them.
We don’t do them regularly, and when we do we feel it is just an opportunity for employees to complain about the workplace, their manager or pay. I don’t feel the business gets anything out of them and it seems to take a lot of time.
We don’t do appraisals.
Compliance
Are any employees subject to 'special treatment' or given additional latitude either because of their position, skills or relationship with someone in the business?
Never, we treat our employees equally and consistently. Whilst it can sometimes lead to difficult decisions we know that for a stable and fair workplace, that respects everyone equally, that we have to operate in a fair and transparent manner.
Only on the odd occasion. We do think that sometimes there should be exceptions and that we can justify them, but as far as possible we try and be consistent and limit those examples or exceptions as far as we possibly can.
We know we have issues with consistency and with the perception that some people are treated differently. This isn't because of anything sinister but some people simply have skills/clients/other that mean they are invaluable to the business and they would be hard to replace so often exceptions are made. We know this causes annoyance to other staff but feel there isn't much we can do about the situation.
No, people are treated according to their seniority or what they bring to the table. We are highly competitive and can't afford to operate another way at the moment.
There is no consistency, but I feel as a business owner I can manage people how I like.
Compliance
Have you engaged any individual agency worker for more than 12 weeks?
No, I am not sure why you are asking me this question.
Yes we regularly have agency staff more than 12 weeks but do not know why this would be an issue and don’t take any steps with them.
No, our agency arrangements are always short term.
Yes, and after 12 weeks we take the relevant steps to ensure equality of terms.
Yes and we take relevant steps to ensure equality of terms before the 12 week deadline.
Compliance
Have you ever done an Equal Pay Assessment?
Yes, we do one regularly because by law we have to complete pay gap reporting.
Yes, we do one regularly by choice to review any pay gaps, not because we are required to.
What is an equal pay assessment?
No, we don’t need to do one.
No, though we by law should undertake Pay Gap Reporting.
Compliance
Do you have Employment or HR management system in place at the moment?
Yes but we have some concerns about it or don’t believe it is supporting the business to the extent required.
Yes but we know we have outgrown it and need more support.
Yes but we don’t use it or don’t see the value in it.
No we manage everything ourselves.
No, an external provider manages everything for us.
Compliance
Do you have HR or Employment Law support in place at the moment?
Yes, we have an Employment Solicitor engaged to assist where we have issues
Yes, we utilise an external HR Consultancy
Yes, we have a combination of HR Consultancy and external Employment solicitors
We have inhouse HR but no external support
We have inhouse HR with support from either an external HR specialist or Employment Solicitors
We have no HR or Employment Law support currently
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