HR 4.6.2 Labour Provider audit form

• Conducted on

  Date

• 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

  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)

Labour Provider - general

• 1. GLAA Licence number

• GLAA Licence - upload or take photo

  Media

• 2. GLAA last visit date

  Date

• 3. GLAA non-compliances and/or corrective actions viewed?

  Yes

  No

  N/A

• 4. Any outstanding non-conformances?

  Yes

  No

  N/A

• 5. Has the Labour User subscribed to the Active Check system on the GLAA website for this Labour Provider?

  Yes

  No

  N/A

• 6. Is the labour agency a member of ALP or other trade association? If Yes give details below:

  Yes

  No

  N/A

• 7. Is the labour agency registered on SEDEX?

  Yes

  No

  N/A

• Is the Labour Agency linked to the labour User on SEDEX?

  Yes

  No

  N/A

• 8. Is the labour agency registered with Stronger Together?

  Yes

  No

  N/A

• Is the Labour Provider a Stronger Together Partner

  Yes

  No

  N/A

• 9. Key managers attended the “Tackling Modern Slavery in UK Businesses and Supply Chains" workshop or similar in-house training based on it?

  Yes

  No

  N/A

• 10. Does the labour Agency have a Modern Slavery statement? (may not be required legally re: turnover)

  Yes

  No

  N/A

• 11. Is the labour agency third party audited – e.g. Clearview? If Yes give details below: e.g. last cert date

  Yes

  No

  N/A

• 12. Any third party audit outstanding non conformances? (detail below if Yes)

  Yes

  No

  N/A

• Detail

• 13. Is contractual paperwork with labour provider in the Business Trading name above?

  Yes

  No

  N/A

• 14. Is contractual paperwork with one of the Principal authority/authorized persons listed on GLAA cert?

  Yes

  No

  N/A

• If No who?:

• 15. Public Liability Insurance Provider (attach cert photo or enter details below):

  Media

• Public Liability Insurance Provider:

• Policy Number:

• Liability/cover limit (£):

• Expiry date:

  Date

• 16. Does the Labour Provider provide accommodation to workers?

  Yes

  No

  N/A

• If Yes, an Accommodation Audit should be conducted at least annually - has one been completed?

  Yes

  No

  N/A

Recruitment

• 17. How does the labour provider recruit it’s workers? Tick all that apply

  Select

• 18. Workers do not have to pay a recruitment fee (directly or indirectly) to the agency? If No and fees are paid provide details.

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• Date contract last reviewed?

  Date

• 20. Does the contract or TOB or Supply agreement include reference to the following?:

• -minimum payment period (if no work on arrival)

  Yes

  No

  N/A

• -charge rates

  Yes

  No

  N/A

• -payment terms between labour provider and user

  Yes

  No

  N/A

• -minimum wage compliance

  Yes

  No

  N/A

• -payment terms between labour provider and worker

  Yes

  No

  N/A

• -if subcontractors used, how these are managed

  Yes

  No

  N/A

• -working hours

  Yes

  No

  N/A

-health and safety management aspects covered in contract etc

• -health and safety risk assessments

  Yes

  No

  N/A

• -health and safety training

  Yes

  No

  N/A

• -provision of PPE

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

• 21. Are all the rates paid above the GLAA recommended minimum Charge Rate for each age group?

  Yes

  No

  N/A

• 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

• 22. Does your labour provider provide you with a list of staff working on your site?

  Yes

  No

  N/A

• 23. Do both the labour user and labour provider keep accurate records of workers hours?

  Yes

  No

  N/A

• 24. Is there a payroll system in place with all workers on the payroll ?

  Yes

  No

  N/A

• 25. Are systems in place for the payment of Tax/NI/VAT?

  Yes

  No

  N/A

• Detail example payments to HMRC (if information forthcoming):

• Attach photos of example HMRC docs if relevant

  Media

• 26. HMRC/PAYE number

• 27. VAT number

Transport

• 28. Does the labour provider provide transport? (If No, go to question 35)

  Yes

  No

  N/A

• Go to question 35

  Yes

  No

  N/A

• 29. Is it optional?

  Yes

  No

  N/A

• 30. Does the worker have to pay? (please give details in Notes):

  Yes

  No

  N/A

• 31. Does the labour provider have a PSV operators licence? (if >8 passenger seats)

  Yes

  No

  N/A

• Add photo of PSV operators licence

  Media

32. Vehicle and driver details

• 33. Insurance cover seen for vehicles used transport workers?

  Yes

  No

  N/A

• Insurance Provider

• Expiry Date

  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

  Yes

  No

  N/A

• Add photo of evidence of vehicle tax

  Media

• MOT - evidence seen of in date MOT certificate

  Yes

  No

  N/A

• Is any vehicle designed to take >8 passengers?

  Yes

  No

  N/A

• Is vehicle PSV registered?

  Yes

  No

  N/A

• Drivers name - (example from records or known driver)

• Drivers licence viewed - add picture of licence

  Yes

  No

  N/A

• Driver has PCV entitlement (+/- professional competence certificate) if >8 passenger seats

  Yes

  No

  N/A

Interviews

• 35. Does your labour provider conduct face to face interviews with potential employees?

  Yes

  No

  N/A

• 36. Does the interview include?:

• -employment history

  Yes

  No

  N/A

• -literacy

  Yes

  No

  N/A

• -ability to understand English & communicate

  Yes

  No

  N/A

• -confirming legality to work at the site

  Yes

  No

  N/A

• -confirming any disability

  Yes

  No

  N/A

• 37. Are records kept to confirm this (with date & name of interviewer)?

  Yes

  No

  N/A

• 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

  Media

• 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

• 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?

  Yes

  No

  N/A

• Copy of passport/photo identity card available? (confirming entitlement to work)

  Yes

  No

  N/A

• Right to work check completed?

  Yes

  No

  N/A

• Copy of Registration form?

  Yes

  No

  N/A

• Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?

  Yes

  No

  N/A

• Bank account details and phone numbers/addresses/landlord cross checked with other workers details

  Yes

  No

  N/A

• Record of working hours kept?

  Yes

  No

  N/A

• Maximum working hours complied with? (including hours for other labour users)

  Yes

  No

  N/A

• WTD signed if appropriate? (if more than 48hours per week)

  Yes

  No

  N/A

• Copy of comprehensive wage slips? (itemized inc. income tax & NI)

  Yes

  No

  N/A

• National Minimum or Living Wage complied with?

  Yes

  No

  N/A

• Any further deductions made? (apart from those legally required)

  Yes

  No

  N/A

• Are signed consent forms available for above deductions? - attach copies

  Yes

  No

  N/A

• Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*

  Yes

  No

  N/A

• Signed medical screening questionnaire?

  Yes

  No

  N/A

• Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)

  Yes

  No

  N/A

• Evidence of Health & Safety training received?

  Yes

  No

  N/A

• Training signed by trainer and trainee?

  Yes

  No

  N/A

• Signed Data Release/Privacy Policy (GDPR)?

  Yes

  No

  N/A

• * 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

• 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?

  Yes

  No

  N/A

• Copy of passport/photo identity card available? (confirming entitlement to work)

  Yes

  No

  N/A

• Right to work check completed?

  Yes

  No

  N/A

• Copy of Registration form?

  Yes

  No

  N/A

• Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?

  Yes

  No

  N/A

• Bank account details and phone numbers/addresses/landlord cross checked with other workers details

  Yes

  No

  N/A

• Record of working hours kept?

  Yes

  No

  N/A

• Maximum working hours complied with? (including hours for other labour users)

  Yes

  No

  N/A

• WTD signed if appropriate? (if more than 48hours per week)

  Yes

  No

  N/A

• Copy of comprehensive wage slips? (itemized inc. income tax & NI)

  Yes

  No

  N/A

• National Minimum or Living Wage complied with?

  Yes

  No

  N/A

• Any further deductions made? (apart from those legally required)

  Yes

  No

  N/A

• Are signed consent forms available for above deductions? - attach copies

  Yes

  No

  N/A

• Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*

  Yes

  No

  N/A

• Signed medical screening questionnaire?

  Yes

  No

  N/A

• Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)

  Yes

  No

  N/A

• Evidence of Health & Safety training received?

  Yes

  No

  N/A

• Training signed by trainer and trainee?

  Yes

  No

  N/A

• Signed Data Release/Privacy Policy (GDPR)?

  Yes

  No

  N/A

• * 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

• 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?

  Yes

  No

  N/A

• Copy of passport/photo identity card available? (confirming entitlement to work)

  Yes

  No

  N/A

• Right to work check completed?

  Yes

  No

  N/A

• Copy of Registration form?

  Yes

  No

  N/A

• Registration Form fully completed – including employment history (if any) and emergency contact details, address and payment details?

  Yes

  No

  N/A

• Bank account details and phone numbers/addresses/landlord cross checked with other workers details

  Yes

  No

  N/A

• Record of working hours kept?

  Yes

  No

  N/A

• Maximum working hours complied with? (including hours for other labour users)

  Yes

  No

  N/A

• WTD signed if appropriate? (if more than 48hours per week)

  Yes

  No

  N/A

• Copy of comprehensive wage slips? (itemized inc. income tax & NI)

  Yes

  No

  N/A

• National Minimum or Living Wage complied with?

  Yes

  No

  N/A

• Any further deductions made? (apart from those legally required)

  Yes

  No

  N/A

• Are signed consent forms available for above deductions? - attach copies

  Yes

  No

  N/A

• Any records of benefits received? (e.g. paid annual leave, smp, sick pay)*

  Yes

  No

  N/A

• Signed medical screening questionnaire?

  Yes

  No

  N/A

• Signed food handlers hygiene statement/policy? (may be part of medical screening questionnaire)

  Yes

  No

  N/A

• Evidence of Health & Safety training received?

  Yes

  No

  N/A

• Training signed by trainer and trainee?

  Yes

  No

  N/A

• Signed Data Release/Privacy Policy (GDPR)?

  Yes

  No

  N/A

• * 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)

• Add evidence of maternity or paternity pay if not included in worker records in last section

  Media

• Add evidence of holiday pay if not included in worker records in last section

  Media

• Add evidence of holiday days logged if not included in worker records in last section

  Media

• Add evidence of sick pay if not included in worker records in last section

  Media

• Comments and recommendations:

• Signed on behalf of labour user:

  Sign

• Date:

  Date

• Signed on behalf of labour provider/agency:

  Sign

• Thank you for your time and co-operation