HR 4.6.2 Labour Provider audit form

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Conducted on
Prepared by

To be carried out minimum once per year - twice per year if a high turn over of workers (or other depending on customer requirements and seasonality of supply). Where possible this audit is to be carried out at (one of) the labour agency’s premises. However, it may be carried out by phone/email at the auditor’s discretion. Potential issues raised by workers during interviews should be followed up (normally anomalously). Select the names and hours of at least 3 recent agency workers and any agency vehicle reg nos used, prior to the audit
Name of Labour Provider
(Business Trading Name)
Date
Registered address
Address where audit undertaken (if different to above)
Person/s carrying out the audit
On behalf of which labour user?
Labour Provider person/s present (with job titles)

General

Labour Provider - general

1. GLAA Licence number
GLAA Licence - upload or take photo
2. GLAA last visit date
3. GLAA non-compliances and/or corrective actions viewed?
4. Any outstanding non-conformances?
5. Has the Labour User subscribed to the Active Check system on the GLAA website for this Labour Provider?
6. Is the labour agency a member of ALP or other trade association? If Yes give details below:
7. Is the labour agency registered on SEDEX?
Is the Labour Agency linked to the labour User on SEDEX?
8. Is the labour agency registered with Stronger Together?
Is the Labour Provider a Stronger Together Partner
9. Key managers attended the “Tackling Modern Slavery in UK Businesses and Supply Chains" workshop or similar in-house training based on it?
10. Does the labour Agency have a Modern Slavery statement? (may not be required legally re: turnover)
11. Is the labour agency third party audited – e.g. Clearview? If Yes give details below: e.g. last cert date
12. Any third party audit outstanding non conformances? (detail below if Yes)
Detail
13. Is contractual paperwork with labour provider in the Business Trading name above?
14. Is contractual paperwork with one of the Principal authority/authorized persons listed on GLAA cert?
If No who?:
15. Public Liability Insurance Provider (attach cert photo or enter details below):
Public Liability Insurance Provider:
Policy Number:
Liability/cover limit (£):
Expiry date:
16. Does the Labour Provider provide accommodation to workers?
If Yes, an Accommodation Audit should be conducted at least annually - has one been completed?

Recruitment

17. How does the labour provider recruit it’s workers? Tick all that apply
18. Workers do not have to pay a recruitment fee (directly or indirectly) to the agency? If No and fees are paid provide details.

Contract with labour user

Contract between labour provider and labour user

Information may in the form of a Contract plus TOB/Supply Service Schedule/Agreement etc
19. Is contract between labour provider & labour user documented and signed by both parties?
Date contract last reviewed?
20. Does the contract or TOB or Supply agreement include reference to the following?:
-minimum payment period (if no work on arrival)
-charge rates
-payment terms between labour provider and user
-minimum wage compliance
-payment terms between labour provider and worker
-if subcontractors used, how these are managed
-working hours

-health and safety management aspects covered in contract etc

-health and safety risk assessments
-health and safety training
-provision of PPE

Charge rates

Charge rates:

20a. What is the hourly charge rate (£) paid to workers >18 olds
20b. What is the hourly charge rate (£) paid to workers >21 olds?
20c. What is the hourly charge rate (£) paid to workers >25 year olds?
20d. Is overtime paid in same way as for employed staff on labour user site?
21. Are all the rates paid above the GLAA recommended minimum Charge Rate for each age group?
If No – state reasons given (if any) by the labour provider. If substantial difference (e.g. >10% below) further investigation may be necessary – e.g. NI/Holiday pay payments/Tax payments. If just below may be acceptable if eg. company has low overheads - family business operating out of their home for example.

Labour provider Information

Labour provider information

22. Does your labour provider provide you with a list of staff working on your site?
23. Do both the labour user and labour provider keep accurate records of workers hours?
24. Is there a payroll system in place with all workers on the payroll ?
25. Are systems in place for the payment of Tax/NI/VAT?
Detail example payments to HMRC (if information forthcoming):
Attach photos of example HMRC docs if relevant
26. HMRC/PAYE number
27. VAT number

Transport

28. Does the labour provider provide transport? (If No, go to question 35)
Go to question 35
29. Is it optional?
30. Does the worker have to pay? (please give details in Notes):
31. Does the labour provider have a PSV operators licence? (if >8 passenger seats)
Add photo of PSV operators licence

32. Vehicle and driver details

33. Insurance cover seen for vehicles used transport workers?
Insurance Provider
Expiry Date
34. Vehicle Reg No (example at random from records or a vehicle seen in use)
Evidence of current vehicle tax payment seen - may be a screen shot or email
Add photo of evidence of vehicle tax
MOT - evidence seen of in date MOT certificate
Is any vehicle designed to take >8 passengers?
Is vehicle PSV registered?
Drivers name - (example from records or known driver)
Drivers licence viewed - add picture of licence
Driver has PCV entitlement (+/- professional competence certificate) if >8 passenger seats

Interviews/induction

Interviews

35. Does your labour provider conduct face to face interviews with potential employees?
36. Does the interview include?:
-employment history
-literacy
-ability to understand English & communicate
-confirming legality to work at the site
-confirming any disability
37. Are records kept to confirm this (with date & name of interviewer)?
38. Please list induction documents issued by labour provider or take photos (if first visit/new docs since last audit) (indicate any translations available for each doc where relevant):
Photos of induction docs
39. Please describe any further training carried out by labour provider (eg. videos, labour user specific training):
40. State how translations are undertaken if documents are mainly in English

Worker records 1

Worker records

41. Worker records (copy all relevant docs for at least one of the workers and ID/payslips for others)
Name of worker
Worker number
Nationality
Age
Signed contract with Labour Provider?
Copy of passport/photo identity card available? (confirming entitlement to work)
Right to work check completed?
Copy of Registration form?
Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?
Bank account details and phone numbers/addresses/landlord cross checked with other workers details
Record of working hours kept?
Maximum working hours complied with? (including hours for other labour users)
WTD signed if appropriate? (if more than 48hours per week)
Copy of comprehensive wage slips? (itemized inc. income tax & NI)
National Minimum or Living Wage complied with?
Any further deductions made? (apart from those legally required)
Are signed consent forms available for above deductions? - attach copies
Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*
Signed medical screening questionnaire?
Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)
Evidence of Health & Safety training received?
Training signed by trainer and trainee?
Signed Data Release/Privacy Policy (GDPR)?
* If staff chosen have not been paid the benefits listed (eg. recently recruited) then ask to see examples for other workers (ideally from those working at labour user site)

Worker records 2

Worker records

41. Worker records (copy all relevant docs for at least one of the workers and ID/payslips for others)
Name of worker
Worker number
Nationality
Age
Signed contract with Labour Provider?
Copy of passport/photo identity card available? (confirming entitlement to work)
Right to work check completed?
Copy of Registration form?
Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?
Bank account details and phone numbers/addresses/landlord cross checked with other workers details
Record of working hours kept?
Maximum working hours complied with? (including hours for other labour users)
WTD signed if appropriate? (if more than 48hours per week)
Copy of comprehensive wage slips? (itemized inc. income tax & NI)
National Minimum or Living Wage complied with?
Any further deductions made? (apart from those legally required)
Are signed consent forms available for above deductions? - attach copies
Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*
Signed medical screening questionnaire?
Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)
Evidence of Health & Safety training received?
Training signed by trainer and trainee?
Signed Data Release/Privacy Policy (GDPR)?
* If staff chosen have not been paid the benefits listed (eg. recently recruited) then ask to see examples for other workers (ideally from those working at labour user site)

Worker records 3

Worker records

41. Worker records (copy all relevant docs for at least one of the workers and ID/payslips for others)
Name of worker
Worker number
Nationality
Age
Signed contract with Labour Provider?
Copy of passport/photo identity card available? (confirming entitlement to work)
Right to work check completed?
Copy of Registration form?
Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?
Bank account details and phone numbers/addresses/landlord cross checked with other workers details
Record of working hours kept?
Maximum working hours complied with? (including hours for other labour users)
WTD signed if appropriate? (if more than 48hours per week)
Copy of comprehensive wage slips? (itemized inc. income tax & NI)
National Minimum or Living Wage complied with?
Any further deductions made? (apart from those legally required)
Are signed consent forms available for above deductions? - attach copies
Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*
Signed medical screening questionnaire?
Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)
Evidence of Health & Safety training received?
Training signed by trainer and trainee?
Signed Data Release/Privacy Policy (GDPR)?
* If staff chosen have not been paid the benefits listed (eg. recently recruited) then ask to see examples for other workers (ideally from those working at labour user site)

Holiday pay & maternity/paternity/sick pay

Add evidence of maternity or paternity pay if not included in worker records in last section
Add evidence of holiday pay if not included in worker records in last section
Add evidence of holiday days logged if not included in worker records in last section
Add evidence of sick pay if not included in worker records in last section