Help with recruiting staff
In this guide:
- Recruiting staff
- Recruiting new staff and other alternatives
- Help with recruiting staff
- Recruiting staff: your options
- Recruiting full-time or part-time employees
- Recruiting staff on fixed-term employment contracts
- Recruiting agency workers
- Recruiting freelancers and outside contractors
- Zero-hours contracts
- Recruiting directors and managers
- Recruiting seasonal staff
- Recruiting staff and data protection issues
- Recruiting staff: seven things you should know
- 8 tips for employing staff for the first time
- Recruiting effectively to grow your business (video)
Recruiting new staff and other alternatives
Consider if you need more staff and what alternatives there are to taking on new staff.
Before spending time and money on employing someone new, you should weigh up whether you really need to recruit new staff. To do this, look at your staffing needs in relation to the wider objectives of the business.
You may need extra help immediately or you may simply be thinking about your future staffing requirements. In both cases, it's valuable to plan as far ahead as you can.
What to consider when recruiting staff
You should consider why you're looking for extra help and how long you will need it for.
When considering staff recruitment ask yourself the following questions:
- Are you considering taking on your first employee to help you grow your business or handle an increasing workload?
- Are you replacing an employee who has left? If so, why did the previous employee leave and what skills and experience have you lost? Do you need to control staff turnover?
- Do you need to bring in a new skill or skills to your business that none of your existing employees possess?
- Has your workload increased? If so, is the workload likely to continue or is it just a temporary increase?
- What will be the impact of taking on a new staff member? Do you have somewhere for them to sit? Will you need to buy new equipment for them?
- Do you need cover for yourself in the long term?
Registering as a new employer
If you are taking on your first employee, you may be required to register as an employer with HM Revenue & Customs (HMRC). See how to employ someone: step-by-step guidance. This guidance provides information on what you will need to register as an employer and takes you through the registration process. Alternatively, you can call the HMRC New Employer Helpline on Tel 0300 200 3211 or Textphone 0300 200 3212.
You can register as an employer online with HMRC.
You are also required to check whether any potential employee is eligible to enter, stay, and work in the UK. See ensure your workers are eligible to work in the UK.
Alternatives to taking on new staff
Since recruitment can be expensive and time-consuming, other options you could consider include:
- re-organising the company structure
- sharing work among existing employees
- upskilling staff which has the benefit of creating development opportunities in the form of temporary promotions
- promoting existing staff
- training existing employees so they attain the skills you require to grow your business - see staff training.
- asking part-time employees if they would consider full-time work or some additional hours
- improving the efficiency of the business, perhaps by rearranging tasks
- offering overtime
- adopting flexible working arrangements, eg allowing some staff to begin earlier/later to provide cover for a longer part of the day
- hiring temporary workers from an employment agency
- offering short-term opportunities - see advertise apprenticeship opportunities on JobApplyNI
In term of employment relations, relying on the goodwill of staff to cover unforeseen extra duties may be fine as a short term solution. However, predictable staff shortages due to a lack of planning or in a deliberate attempt to save costs is likely to damage working relations with your existing workforce. It is also potentially damaging to your business reputation which in turn may make it harder to attract staff in the future.
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Help with recruiting staff
Practical help for employers to recruit staff in Northern Ireland.
If you need help with recruiting or retaining staff, the Department for Communities' (DfC) range of employer services and provision can offer support. See further information on the support available from DfC on finding staff.
From multi-national companies to the shop-owner on the corner, DfC operates a tailored recruitment service across Northern Ireland that offers recruitment advice and support to employers.
A team of highly experienced staff can discuss and tailor a level of service to meet your needs from start to finish. This service may include advice and guidance, advertisement and promotion of vacancies, CV sifting, and interview facilities, access to a range of employment and disability support provision, bespoke events, and inclusion within employability and skills initiatives.
Dedicated staff to help with your recruitment needs
Client Executives
A dedicated Client Executive is appointed for large and public sector businesses offering employers a single point of contact for all their recruitment needs.
Email: dfcemployerservices@communities.gov.uk
Tel: 028 9037 6183Employer Adviser
Small, medium, and micro-sized employers can avail of bespoke support from a dedicated Employer Adviser based within each local Jobs & Benefits office. See the contacts list for Employer Advisers in each Jobs & Benefits office.
Cross Border Partnership Employment Services (CBPES)
Provides a one stop shop with information and guidance for people commuting across the border in order to work. Read more information on Cross Border Partnership Employment Services.
Dedicated services to help with your recruitment needs
Participation at job fairs
An opportunity for employers to showcase their vacancies and for jobseekers to speak with employers about job opportunities.
Meet the Employer events
This is an event where employers can come into our Jobs & Benefits offices to speak with job seekers about the vacancies and opportunities they offer and what it is like to work for them.
Bespoke recruitment events
Our employer engagement staff can facilitate employer recruitment events through the use of DfC's office’s facilities, offering pre-selection/application sifting, candidate matching, sourcing suitable applicants, interview facilities, and in-person assistance on the day.
Dedicated recruitment website - JobApplyNI.com
JobApplyNI.com is a free, government-supported website developed by DfC that allows you to advertise your job vacancies online. Connected to a network of 35 Jobs and Benefits Offices throughout Northern Ireland and staffed with a locally based customer service team JobApplyNI is well-placed to service your recruitment needs.
Read more on how to register and advertise a job using JobApplyNI.com.
To access DfC's service:
- See finding staff
- Email: dfcemployerservices@communities.gov.uk
- Tel 028 9037 6183
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Recruiting staff: your options
Recruiting options for employers taking on new staff.
You must consider the type of worker you wish to employ, depending on factors such as:
- how constant the work is
- how long the work will last
- the number of hours of work each week
Staff recruitment options
You have a number of options for recruiting staff including:
Permanent employees
Permanent employees can be full-time or part-time. Permanent does not mean forever, it simply means there is no identified end date ie they have an open-ended employment contract with you. You have obligations to them, but they will be an investment in your business. See recruiting full-time or part-time employees.
Fixed-term contract employees
Fixed-term contract employees have an employment contract with you for a predetermined time or until a specific task has been completed. You'll still have employer obligations but only for the duration of the contract. See recruiting staff on fixed-term contracts.
Employment agency
Temporary staff are engaged by the agency and supplied to you. Your contract is with the employment agency to supply you with staff, but you still have certain legal responsibilities towards the agency worker. See recruiting agency workers.
Self-employed freelancers, consultants, and contractors
This gives you the minimum of employer obligations. But you need to be sure that the people are legally defined as self-employed. See am I legally classed as self-employed?
Zero-hours contracts
These allow you to employ people casually ie as and when required, and to have people on-call to work whenever necessary and mutually convenient. Generally, you are not obliged to offer work, nor is there a responsibility for the worker to accept any work. Look at the terms of any zero-hours contract carefully as it may affect the employment status of the worker and your responsibility towards them. See zero-hours contracts.
Children or young people
If you plan to employ children or young people, you must keep in mind that there are restrictions on the hours and types of work that they can legally carry out. See employing children and young people.
You will have to make tax arrangements for all employees and may also have to make tax arrangements for workers directly engaged by you. See employment status.
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Recruiting full-time or part-time employees
Employer responsibilities to full-time and part-time employees.
Regardless of whether your employees are full-time or part-time, you will have responsibilities to them. Some apply straight away, others after a minimum period of continuous employment - see continuous employment and employee rights.
What employers must provide to full-time and part-time staff
Written statement of employment
You must give them a written statement of the main terms and conditions of their contract of employment within two months of starting their employment where the contract of employment is to last more than one month. See the written statement of employment.
Itemised pay statement
You must give them an itemised pay statement at or before the time of payment. See pay: employer obligations.
Health and safety
You'll have to make sure the working environment is safe and secure. See safer ways of working.
Insurance
You must also have insurance to protect against claims for any illnesses, injuries, or diseases your employees may pick up as a result of working for you. See business insurance: the basics.
Tax and payroll duties
You'll need to register as an employer with HM Revenue & Customs (HMRC) to set up a payroll, deducting tax and National Insurance contributions from your employees' pay and forwarding the money to HMRC. See how to register as an employer.
Breaks and holidays
Your employees will be entitled to a minimum level of paid holiday, a maximum length of a working week (unless they opt out of this), and minimum levels of rest breaks. See hours, rest breaks, and the working week. Also, see know how much holiday to give your staff.
Paying staff
They must also be paid at least the national minimum wage. Find out the National Minimum Wage and National Living Wage rates.
Sickness
If members of your staff are off sick for more than three working days, they may be entitled to statutory sick pay. See manage absence and sickness.
Statutory entitlements
If your employee is pregnant or is about to or has recently become a parent, they may be entitled to maternity, paternity, adoption leave, or shared parental leave. They may also be entitled to parental leave during the first 18 years of their child's life (longer for a disabled child). Since April 2022, parents may also be eligible for parental bereavement leave and pay.
Read more on statutory leave and pay entitlements.
Flexible working
You must also seriously consider any requests from employees who wish to work more flexibly. See flexible working: the law and best practice. Since April 2015, any eligible employee has the right to make a flexible working request, not just those with children or caring responsibilities.
Fair treatment
You must treat your employees fairly and avoid discrimination. If things do go wrong, all employees are entitled to fair treatment, whether you must dismiss them, make their position redundant, or if you're selling your business. Read more on how to prevent discrimination and value diversity.
Reasonable adjustments
If your employee is disabled, you must make 'reasonable' adjustments to reduce or remove the impact of physical features of your premises if they put the employee at a substantial disadvantage compared with non-disabled employees. Read more on disabled access and facilities in business premises.
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Recruiting staff on fixed-term employment contracts
Advantages and disadvantages of using fixed-term employment contracts when recruiting new staff.
There may be times when it's best for your business to take on somebody on a fixed-term employment contract.
What is a fixed-term employment contract?
A fixed-term employment contract is one which either:
- lasts for a specified time, set in advance
- ends with the completion of a specified task
- ends when a specified event does or does not take place
For example, if you're a shopkeeper you may want to take on someone for just three months to cover the busy run-up to Christmas. Or you may wish to employ someone specifically to cover for another person who is on maternity, adoption or parental leave.
Employer considerations when using fixed-term employment contracts
Fixed-term employment contracts give you the advantage of bringing in specific skills and labour as and when they are needed.
It's important to remember that unless there are special circumstances that can be justified, you have a legal responsibility to treat fixed-term employees the same as comparable permanent employees. This means you must give them:
- the same pay and conditions
- the same or equivalent benefits package
- the same or equivalent pension scheme
- the same opportunity to apply for vacancies for permanent posts in the business
Fixed-term employees also have access to the same employment rights as their permanent equivalents.
Under the Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations (Northern Ireland) 2002, any employee who has been on a fixed-term contract for four or more years (excluding any period before 1 October 2002) will usually be classed in law as a permanent employee if their contract is renewed, or if they are re-engaged on a new fixed-term contract.
The only exemptions to this are when employment on a further fixed-term contract is objectively justified to achieve a legitimate aim, eg a genuine business aim that can be objectively justified, and is also a necessary and appropriate way to achieve that aim, or the period of four years has been lengthened under a collective or workplace agreement.
These regulations do not apply to apprentices, students on work experience of a year or less, or people on certain training courses and temporary work schemes.
You will need to make the same tax arrangements for fixed-term employees that you would for permanent employees.
See fixed-term employment contracts and 'equal treatment' principle.
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Recruiting agency workers
Information about the employment rules and regulations related to using agency workers.
Using agency staff can be ideal, especially when you need emergency temporary cover. It can cost more than employing a temporary staff member directly, but a big benefit is that all of the administration is handled by the recruitment agency.
You usually pay the agency, and the agency pays the worker. The rate the agency charges you could include elements of National Insurance payments, holiday and sick pay, as well as an administration fee and profit margin.
Rights of agency workers
Under the Agency Workers Regulations (Northern Ireland) 2011, agency workers are entitled to the same basic working and employment conditions as permanent staff, provided that they have been in the same role with the same employer for 12 weeks.
It is the recruitment agency's responsibility to ensure agency workers receive the rights they are entitled to such as those under the Working Time Regulations and national minimum wage law. See hours, rest breaks, and the working week and who should be paid the minimum wage.
However, under the Agency Workers Regulations (Northern Ireland) 2011, agency workers are also entitled to equal access to their employer's collective facilities and job vacancies from the first day of their assignment. It will be your responsibility to ensure that these rights are met. Agency workers regulations NI guidance.
You must also ensure that you do not discriminate against agency workers who are working on your business premises.
In addition, under the Parental Leave (EU Directive) (Flexible Working) Regulations (Northern Ireland) 2013, employed agency workers who are returning to work from a period of parental leave are also extended the right to request flexible working. See flexible working: the law and best practice.
Even though agency staff do not work directly for you, you are still responsible for their health and safety. In fact, they are likely to be at greater risk because they don't know the business well. See agency workers' health and safety for more information.
Choosing an employment agency
You should also do some research before using an employment agency to ensure you are happy with the agency's reputation.
By law, employment agencies must comply with the Employment (Miscellaneous Provisions) (Northern Ireland) Order 1981 and the Conduct of Employment Agencies and Employment Businesses Regulations (Northern Ireland) 2005. These regulations stop them, for example, from charging workers fees for finding jobs. They must also ensure a worker has any qualifications legally required to do the work. See employment agencies.
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Recruiting freelancers and outside contractors
Consider whether your business would benefit from the use of freelancers and outside contractors.
One way your business can take advantage of extra skills and labour without taking on many of the responsibilities of an employer is to use freelancers or outside contractors. These are workers who are self-employed or belong to separate outside companies.
For example, you might use an outside IT contractor to build your business website or hire a freelance PR consultant when you want a promotional push for your business.
Advantages and disadvantages of freelancers and outside contractors
An advantage of using freelancers and outside contractors is that in many cases they look after all their own income tax affairs and National Insurance contributions. But it's always a good idea to check that you won't be responsible for deducting tax and National Insurance from their payments. Read more on IR35 and other special rules.
People who are genuinely self-employed may not be entitled to the same rights afforded to employees. However, depending on the contract under which they are providing services, they may qualify as workers. Under these circumstances, they would be entitled to workers' rights such as holidays and holiday pay. If you are in any doubt about a person's employment status, you should seek professional advice.
Freelancers and contractors still have a right to the national minimum wage. But if they are being paid by their own firms so this will not affect you.
As an employer, you still have responsibilities for the health and safety of freelancers and contractors. See how to write a health and safety policy for your business. Also, you should check whether your insurance is affected by having non-employees working on your premises.
Remember too that you should avoid discrimination against anyone who carries out work for you, whether they are employed by you or self-employed. See how to prevent discrimination and value diversity.
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Zero-hours contracts
Description of zero-hours contracts and employer responsibilities relating to them.
There is no legal definition of a zero-hours contract in either Northern Ireland or Great Britain employment law. In general terms, a zero-hours contract is one in which you do not have to guarantee the individual any work and the individual is not obliged to accept any work offered by you.
There is no exact legislation which specifically prohibits or addresses the unfair practices associated with the use of zero hours contracts. Zero hours contracts have attracted attention as they may leave some individuals who rely on them in a precarious position, where working does not bring the standard of living that it should.
Employer responsibilities under zero-hours contracts
Zero-hours contracts are legal under domestic law. If you freely enter into a zero-hours contract with an individual, it is a legitimate form of contract between you and the individual.
There are concerns that individuals who work under zero-hours contracts have no protection under domestic employment law, or that they cannot be an employee. This is not a correct assumption - as in any employment relationship, the employment rights which an individual is entitled to will depend on their employment status.
It is likely that the majority of individuals on zero-hours contracts are either workers or employees.
In many cases, a zero-hours contract staff member will be legally classified as a 'worker' and thus will have some of the rights that an employee has such as statutory holiday entitlement and National Minimum Wage. However, the way the relationship with that worker develops may enhance the employment status to that of an 'employee', who has additional employment rights such as accruing the right to take maternity leave or pay and the right to request flexible working.
Advantages of zero-hours contracts
As an employer, the advantages of zero-hours contracts include:
Flexibility
Zero-hours contracts allow you to adapt to changes in demand, eg offering more work when new orders arrive and being able to scale back when they do not. Furthermore, you could use zero-hours contracts to increase the range of services offered such as creating specialist roles or having staff available in different geographical locations.
There are instances, such as students seeking summer employment, where, for example, the flexibility of a zero hours contract suits both parties and is therefore a situation that is broadly accepted.
Supporting expansion plans
Through this flexibility, your business could also grow, with limited risk in terms of recruiting permanent staff if you find that the additional services you planned are not taken up. On the other hand, if expansion is successful, zero-hours contracts provide a rapid pathway to fixed-term, annualised hours, full-time, or guaranteed hours of work.
Retention of skills
You could retain the skills and experience of staff who might wish to partially retire or who decide to work part-time.
Knowledge of the company and its culture
You could also retain a pool of trained and skilled staff, who know the culture of the business and its procedures, rather than agency staff who may not.
Disadvantages of zero-hours contracts
Sense of unfairness of zero-hours contracts
You should be aware of the welfare of any individual you employ on a zero-hours contract.
For example, not every zero-hours worker will be happy that they are on such a contract because of a lack of job security. In addition, the inclusion of exclusivity clauses, which means a worker cannot work anywhere else, in some zero-hours contracts has been banned in GB since 26 May 2015. This is currently under review by the Northern Ireland Assembly. Exclusivity clauses may in the future be banned in Northern Ireland in certain employment contracts.
It should also be made clear when advertising or interviewing for a job, or in the contract itself, that an individual is hired on a zero-hours contract, or that there is a possibility they could be offered no work or 'zero-hours'.
As an employer, you need to fulfil and understand your responsibilities towards individuals you hire on a zero-hours contract in terms of their employment rights such as the National Minimum Wage and holiday rights. See who should be paid the minimum wage and know how much holiday to give your staff.
Inflexibility and short notice for staff
Asking an individual to work at very short notice, which does not allow them to, for example, fulfil family commitments, eg to arrange childcare, could be problematic for them, causing tension, stress or upset. This can also lead to a feeling of always being on call and can make it difficult to plan ahead.
You should note that where there are long-term zero-hours contracts in place, where work is regularly offered and accepted, there is the potential for difficulties regarding the actual employment status of the individual on the zero-hours contract.
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Recruiting directors and managers
Skills directors and managers should have and the responsibilities they should be given.
Directors
Every limited company must have at least one director. Directors are appointed by the shareholders as the people who can best run the company on their behalf.
Directors have a range of responsibilities in areas such as health and safety, tax, and employment law. There are serious penalties for not meeting these responsibilities which makes appointing the right director very important.
There are also restrictions on who can become a director. People who may not become directors include anyone who:
- has been disqualified by the courts from becoming a director
- is an undischarged bankrupt, unless they have permission from the courts
- is under 16 years of age
For information on the appointment of directors, see recruiting company directors and running a company or partnership.
Managers
You may wish to take on someone to cover you while you're away so that you can spend more time growing the business. Consider whether it would be a good idea to appoint someone to whom you can delegate the day-to-day running of the business.
When preparing the job description, the advert, and the interview questions, you will need to keep in mind the additional qualities, experience, and skills the candidate will need to take on the managerial role.
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Recruiting seasonal staff
As an employer, there are various options available to you to deal with a seasonal rush.
You may find your business is subject to seasonal fluctuations in demand. For example, December is a busy time for many businesses, particularly retailers who have to deal with a spike in demand as the Christmas period approaches.
Other areas of work that may be influenced by seasonal differences include farming, construction, and gardening.
The simplest strategy is to try to make do with the existing workforce. Increasing overtime and offering weekend or evening work may be enough to bridge the gap. However, if more labour is needed, new people will have to be brought in. See employing staff for seasonal businesses.
There are various options available to deal with this seasonal rush.
Agency workers
Using agency workers is one possibility. Employment agencies take much of the administrative burden of finding appropriate staff and can respond quickly to fluctuating demand.
However, employers also need to be aware of the Agency Workers Regulations (Northern Ireland) 2011, which give workers entitlements to the same employment conditions as permanent employees after a 12-week qualification period.
Read more on recruiting agency workers.
Zero-hours contracts
Zero-hours contracts can give great flexibility to employers and workers. Normally these contracts create an employment relationship in which there is no obligation for one side to offer work, nor the other to accept it.
They avoid the cost of agency fees and make it straightforward to take on extra staff when needed. But it's important to point out that zero-hours workers have the same rights and protections as other workers, such as annual leave, the national minimum wage, and pay for work-related travel.
Read more on zero-hours contracts.
Short fixed-term contracts
It may be more appropriate or effective to use short fixed-term contracts and buy in labour for a particular project or period.
Fixed-term work terminates after a specified period, but contract workers are entitled to the same pay and conditions as permanent staff, equivalent benefits, information about permanent vacancies, and protection from unfavourable treatment.
It's good practice to make notice provisions in fixed-term contracts in case employment needs to be terminated early.
Read more on understanding fixed-term contracts.
Pensions for seasonal and temporary workers
Like other staff, seasonal and temporary workers must be assessed to see if they qualify for automatic enrolment into a workplace pension. Assessing these types of employees can take more time because of varying hours and earnings.
Employers who know their staff will be working for them for less than three months can use postponement. This postpones the legal duty to assess staff for three months. During this postponement period, employers will not need to put staff into a pension unless they ask to be put into one. Employers who do delay have to tell their employees in writing. See the Pensions Regulator's guidance on employing seasonal or temporary staff.
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Recruiting staff and data protection issues
How data protection procedures apply to staff recruitment information.
The Data Protection Act covers information gathered during the recruitment and selection process - eg information in application forms or CVs. Staff involved in recruitment should handle any personal information gathered securely. Under the UK General Data Protection Regulations (UK GDPR), you must explain to job applicants what you do with their personal data. An applicant privacy notice should cover what you do with job applicants' personal data during an active recruitment process, and what you should do at the end of that process with the personal data of both unsuccessful applicants and successful applicants who do not accept the job they are offered.
See the Information Commissioner's Office (ICO) guidance on the Data Protection Act 2018.
You should also make sure that any recruitment advertisements clearly identify your organisation or the employment agency you are using.
Application forms should not ask for irrelevant or unnecessary personal information, such as banking details. See advertising a job and interviewing candidates.
Using recruitment information
If you are going to use information gathered during recruitment processes for other purposes, such as marketing, you must explain this clearly to those involved. Information should not be shared with other organisations without the individual's consent.
Sensitive data recorded for equal opportunities purposes - for example, concerning disabilities, race or sexual orientation - must be used for that purpose only.
Finally, if you are going to check the information supplied by applicants, you should let them know why and how you plan to do so. For example, criminal record checks should always be done through AccessNI. See AccessNI criminal records checks.
Giving references
If someone asks you for information about a worker's record or for a reference for them, you should always check their identity and whether they are entitled to this information. You should only supply a confidential reference or information about a worker if you are absolutely sure that you have their explicit and unambiguous consent to do so.
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Recruiting staff: seven things you should know
If you want to expand your business, one way to do this is to take on new staff.
If you want to expand your business, one way to do this is to take on new staff. Recruiting new staff means taking a chance and investing in your business so it's essential that you choose the right recruitment methods to suit your individual business needs.
Staff recruitment essentials
1. Decide if you really need to recruit new staff
You're going to be spending time and money on recruiting someone new, so look at your staffing needs in relation to your business objectives. Consider why you're looking for extra help and how long you will need it for. Could another option be more viable such as sharing work amongst existing employees, reorganising the company structure, or rearranging tasks? See recruiting new staff and the alternatives.
2. Register as a new employer
If you are taking on your first employee, you may be required to register as an employer with HM Revenue & Customs (HMRC). Most new employers can register online but some will need to register by email, by telephone, or with an HMRC office. See how to register as an employer.
3. Consider the type of worker you wish to employ
The options you have for employing a new worker will depend on factors such as how constant the work is, how long it will last, and the number of hours per week. There are a number of options available including permanent employees, fixed-term contract employees, self-employed freelancers or contractors, and employment agency staff. In addition, do you need someone there on a full-time or part-time basis? See recruiting staff: your options.
4. Write a job description and person specification
Preparing a job description is not a legal requirement but it can help with deciding the scope of the work, advertising the job, and clarifying what applicants will have to do in the job. It can also help to identify a new recruit's performance and identify their training needs. If you decide to include a person specification, you should include the essential and desirable knowledge, experience, and skills you are looking for. If you already have an existing job description and person specification for a role, these should be reviewed prior to a recruitment exercise to ensure they are still accurate. See writing a person specification and job description.
5. Decide how much you should pay
Offering a competitive salary and benefits will help you to attract the best person for the job. However, you should balance this with how low you need to keep your costs. Work out what you can afford and assess whether the job requires specialised skills that should be reflected in the wages. See how to set the right pay rates.
6. Advertise and interview for the position
There are many options available when advertising a job including newspapers, online recruitment sites, and employment agencies. Decide on the most appropriate option for your business, ensuring you reach as wide a group of suitably qualified potential candidates as you can. When you have the replies to your advertisement, compare the skills and experience against the job description, draw up a list of candidates, and invite them to interview. Carry out appropriate preparation for the interview so it will be as easy as possible for you and the candidate. See recruitment forms and templates.
7. Make a job offer
The final stage of the recruitment process involves choosing the successful candidate. You can inform them by telephone or email, followed up by a formal confirmation in a letter which should set out the main terms and conditions of the job. It should also state whether the offer is conditional, ie subject to the outcome of checks, or unconditional, ie not subject to any further checks. Once the offer is accepted, a contract of employment exists between you and the employee. See job offers and staff inductions.
Further information on recruitment can be found in the Invest Northern Ireland Employers' Handbook which outlines both legal essentials and best practice guidelines for effective HR management.
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8 tips for employing staff for the first time
When you become an employer for the first time and take on a new employee, there are important checks you must make.
When you become an employer for the first time and take on a new employee, there are important checks you must make. Here are eight key steps that you should consider when employing staff for the first time.
Tips for employing staff for the first time
1. Decide how much to pay your employee
Almost all workers are legally entitled to the National Minimum Wage. The National Living Wage is higher than the National Minimum Wage - workers get it if they are 21 years old and over. See National Minimum Wage and National Living Wage - rates and overview.
2. Carry out pre-employment checks
You should carry out an initial identity check on workers and verify their references and qualifications. You may also wish to include health checks as part of your recruitment process. See pre-employment checks.
3. Check if your employee has the right to work in the UK
You must check whether your employee is legally entitled to work in the UK. See ensure your workers are eligible to work in the UK.
4. Check if you need to apply for a criminal records check
Certain types of employment (eg security or working with children or vulnerable adults) require an AccessNI criminal records check. See AccessNI criminal records checks.
5. Get employment insurance
You will need employers' liability insurance as soon as you become an employer. This insurance enables businesses to meet the costs of damages and legal fees for employees who are injured or fall ill at work through the fault of the employer. See employers' liability insurance.
6. Send details of the job in writing to your employee
Once you have chosen your new employee, you should send them details of the job in writing. This should set out the main terms and conditions of the job. You also need to give your employee a written statement of employment particulars if you're employing them for more than one month.
7. Tell HM Revenue & Customs (HMRC) you are an employer
If you employ someone, you will need to register as an employer with HMRC. See registering and getting started with PAYE.
8. Check if you need to automatically enrol your employee into a workplace pension scheme
All employers must provide workers with a qualifying workplace pension. Read more on automatic enrolment into a workplace pension.
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Recruiting effectively to grow your business (video)
Advice on how effective recruitment will ensure you get the right people to grow your business.
A short 2-minute video explaining how effective recruitment will ensure you get the right people to grow your business.
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Recruiting effectively to grow your business (video)
In this guide:
- Recruiting staff
- Recruiting new staff and other alternatives
- Help with recruiting staff
- Recruiting staff: your options
- Recruiting full-time or part-time employees
- Recruiting staff on fixed-term employment contracts
- Recruiting agency workers
- Recruiting freelancers and outside contractors
- Zero-hours contracts
- Recruiting directors and managers
- Recruiting seasonal staff
- Recruiting staff and data protection issues
- Recruiting staff: seven things you should know
- 8 tips for employing staff for the first time
- Recruiting effectively to grow your business (video)
Recruiting new staff and other alternatives
Consider if you need more staff and what alternatives there are to taking on new staff.
Before spending time and money on employing someone new, you should weigh up whether you really need to recruit new staff. To do this, look at your staffing needs in relation to the wider objectives of the business.
You may need extra help immediately or you may simply be thinking about your future staffing requirements. In both cases, it's valuable to plan as far ahead as you can.
What to consider when recruiting staff
You should consider why you're looking for extra help and how long you will need it for.
When considering staff recruitment ask yourself the following questions:
- Are you considering taking on your first employee to help you grow your business or handle an increasing workload?
- Are you replacing an employee who has left? If so, why did the previous employee leave and what skills and experience have you lost? Do you need to control staff turnover?
- Do you need to bring in a new skill or skills to your business that none of your existing employees possess?
- Has your workload increased? If so, is the workload likely to continue or is it just a temporary increase?
- What will be the impact of taking on a new staff member? Do you have somewhere for them to sit? Will you need to buy new equipment for them?
- Do you need cover for yourself in the long term?
Registering as a new employer
If you are taking on your first employee, you may be required to register as an employer with HM Revenue & Customs (HMRC). See how to employ someone: step-by-step guidance. This guidance provides information on what you will need to register as an employer and takes you through the registration process. Alternatively, you can call the HMRC New Employer Helpline on Tel 0300 200 3211 or Textphone 0300 200 3212.
You can register as an employer online with HMRC.
You are also required to check whether any potential employee is eligible to enter, stay, and work in the UK. See ensure your workers are eligible to work in the UK.
Alternatives to taking on new staff
Since recruitment can be expensive and time-consuming, other options you could consider include:
- re-organising the company structure
- sharing work among existing employees
- upskilling staff which has the benefit of creating development opportunities in the form of temporary promotions
- promoting existing staff
- training existing employees so they attain the skills you require to grow your business - see staff training.
- asking part-time employees if they would consider full-time work or some additional hours
- improving the efficiency of the business, perhaps by rearranging tasks
- offering overtime
- adopting flexible working arrangements, eg allowing some staff to begin earlier/later to provide cover for a longer part of the day
- hiring temporary workers from an employment agency
- offering short-term opportunities - see advertise apprenticeship opportunities on JobApplyNI
In term of employment relations, relying on the goodwill of staff to cover unforeseen extra duties may be fine as a short term solution. However, predictable staff shortages due to a lack of planning or in a deliberate attempt to save costs is likely to damage working relations with your existing workforce. It is also potentially damaging to your business reputation which in turn may make it harder to attract staff in the future.
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Help with recruiting staff
Practical help for employers to recruit staff in Northern Ireland.
If you need help with recruiting or retaining staff, the Department for Communities' (DfC) range of employer services and provision can offer support. See further information on the support available from DfC on finding staff.
From multi-national companies to the shop-owner on the corner, DfC operates a tailored recruitment service across Northern Ireland that offers recruitment advice and support to employers.
A team of highly experienced staff can discuss and tailor a level of service to meet your needs from start to finish. This service may include advice and guidance, advertisement and promotion of vacancies, CV sifting, and interview facilities, access to a range of employment and disability support provision, bespoke events, and inclusion within employability and skills initiatives.
Dedicated staff to help with your recruitment needs
Client Executives
A dedicated Client Executive is appointed for large and public sector businesses offering employers a single point of contact for all their recruitment needs.
Email: dfcemployerservices@communities.gov.uk
Tel: 028 9037 6183Employer Adviser
Small, medium, and micro-sized employers can avail of bespoke support from a dedicated Employer Adviser based within each local Jobs & Benefits office. See the contacts list for Employer Advisers in each Jobs & Benefits office.
Cross Border Partnership Employment Services (CBPES)
Provides a one stop shop with information and guidance for people commuting across the border in order to work. Read more information on Cross Border Partnership Employment Services.
Dedicated services to help with your recruitment needs
Participation at job fairs
An opportunity for employers to showcase their vacancies and for jobseekers to speak with employers about job opportunities.
Meet the Employer events
This is an event where employers can come into our Jobs & Benefits offices to speak with job seekers about the vacancies and opportunities they offer and what it is like to work for them.
Bespoke recruitment events
Our employer engagement staff can facilitate employer recruitment events through the use of DfC's office’s facilities, offering pre-selection/application sifting, candidate matching, sourcing suitable applicants, interview facilities, and in-person assistance on the day.
Dedicated recruitment website - JobApplyNI.com
JobApplyNI.com is a free, government-supported website developed by DfC that allows you to advertise your job vacancies online. Connected to a network of 35 Jobs and Benefits Offices throughout Northern Ireland and staffed with a locally based customer service team JobApplyNI is well-placed to service your recruitment needs.
Read more on how to register and advertise a job using JobApplyNI.com.
To access DfC's service:
- See finding staff
- Email: dfcemployerservices@communities.gov.uk
- Tel 028 9037 6183
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Recruiting staff: your options
Recruiting options for employers taking on new staff.
You must consider the type of worker you wish to employ, depending on factors such as:
- how constant the work is
- how long the work will last
- the number of hours of work each week
Staff recruitment options
You have a number of options for recruiting staff including:
Permanent employees
Permanent employees can be full-time or part-time. Permanent does not mean forever, it simply means there is no identified end date ie they have an open-ended employment contract with you. You have obligations to them, but they will be an investment in your business. See recruiting full-time or part-time employees.
Fixed-term contract employees
Fixed-term contract employees have an employment contract with you for a predetermined time or until a specific task has been completed. You'll still have employer obligations but only for the duration of the contract. See recruiting staff on fixed-term contracts.
Employment agency
Temporary staff are engaged by the agency and supplied to you. Your contract is with the employment agency to supply you with staff, but you still have certain legal responsibilities towards the agency worker. See recruiting agency workers.
Self-employed freelancers, consultants, and contractors
This gives you the minimum of employer obligations. But you need to be sure that the people are legally defined as self-employed. See am I legally classed as self-employed?
Zero-hours contracts
These allow you to employ people casually ie as and when required, and to have people on-call to work whenever necessary and mutually convenient. Generally, you are not obliged to offer work, nor is there a responsibility for the worker to accept any work. Look at the terms of any zero-hours contract carefully as it may affect the employment status of the worker and your responsibility towards them. See zero-hours contracts.
Children or young people
If you plan to employ children or young people, you must keep in mind that there are restrictions on the hours and types of work that they can legally carry out. See employing children and young people.
You will have to make tax arrangements for all employees and may also have to make tax arrangements for workers directly engaged by you. See employment status.
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Recruiting full-time or part-time employees
Employer responsibilities to full-time and part-time employees.
Regardless of whether your employees are full-time or part-time, you will have responsibilities to them. Some apply straight away, others after a minimum period of continuous employment - see continuous employment and employee rights.
What employers must provide to full-time and part-time staff
Written statement of employment
You must give them a written statement of the main terms and conditions of their contract of employment within two months of starting their employment where the contract of employment is to last more than one month. See the written statement of employment.
Itemised pay statement
You must give them an itemised pay statement at or before the time of payment. See pay: employer obligations.
Health and safety
You'll have to make sure the working environment is safe and secure. See safer ways of working.
Insurance
You must also have insurance to protect against claims for any illnesses, injuries, or diseases your employees may pick up as a result of working for you. See business insurance: the basics.
Tax and payroll duties
You'll need to register as an employer with HM Revenue & Customs (HMRC) to set up a payroll, deducting tax and National Insurance contributions from your employees' pay and forwarding the money to HMRC. See how to register as an employer.
Breaks and holidays
Your employees will be entitled to a minimum level of paid holiday, a maximum length of a working week (unless they opt out of this), and minimum levels of rest breaks. See hours, rest breaks, and the working week. Also, see know how much holiday to give your staff.
Paying staff
They must also be paid at least the national minimum wage. Find out the National Minimum Wage and National Living Wage rates.
Sickness
If members of your staff are off sick for more than three working days, they may be entitled to statutory sick pay. See manage absence and sickness.
Statutory entitlements
If your employee is pregnant or is about to or has recently become a parent, they may be entitled to maternity, paternity, adoption leave, or shared parental leave. They may also be entitled to parental leave during the first 18 years of their child's life (longer for a disabled child). Since April 2022, parents may also be eligible for parental bereavement leave and pay.
Read more on statutory leave and pay entitlements.
Flexible working
You must also seriously consider any requests from employees who wish to work more flexibly. See flexible working: the law and best practice. Since April 2015, any eligible employee has the right to make a flexible working request, not just those with children or caring responsibilities.
Fair treatment
You must treat your employees fairly and avoid discrimination. If things do go wrong, all employees are entitled to fair treatment, whether you must dismiss them, make their position redundant, or if you're selling your business. Read more on how to prevent discrimination and value diversity.
Reasonable adjustments
If your employee is disabled, you must make 'reasonable' adjustments to reduce or remove the impact of physical features of your premises if they put the employee at a substantial disadvantage compared with non-disabled employees. Read more on disabled access and facilities in business premises.
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Recruiting staff on fixed-term employment contracts
Advantages and disadvantages of using fixed-term employment contracts when recruiting new staff.
There may be times when it's best for your business to take on somebody on a fixed-term employment contract.
What is a fixed-term employment contract?
A fixed-term employment contract is one which either:
- lasts for a specified time, set in advance
- ends with the completion of a specified task
- ends when a specified event does or does not take place
For example, if you're a shopkeeper you may want to take on someone for just three months to cover the busy run-up to Christmas. Or you may wish to employ someone specifically to cover for another person who is on maternity, adoption or parental leave.
Employer considerations when using fixed-term employment contracts
Fixed-term employment contracts give you the advantage of bringing in specific skills and labour as and when they are needed.
It's important to remember that unless there are special circumstances that can be justified, you have a legal responsibility to treat fixed-term employees the same as comparable permanent employees. This means you must give them:
- the same pay and conditions
- the same or equivalent benefits package
- the same or equivalent pension scheme
- the same opportunity to apply for vacancies for permanent posts in the business
Fixed-term employees also have access to the same employment rights as their permanent equivalents.
Under the Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations (Northern Ireland) 2002, any employee who has been on a fixed-term contract for four or more years (excluding any period before 1 October 2002) will usually be classed in law as a permanent employee if their contract is renewed, or if they are re-engaged on a new fixed-term contract.
The only exemptions to this are when employment on a further fixed-term contract is objectively justified to achieve a legitimate aim, eg a genuine business aim that can be objectively justified, and is also a necessary and appropriate way to achieve that aim, or the period of four years has been lengthened under a collective or workplace agreement.
These regulations do not apply to apprentices, students on work experience of a year or less, or people on certain training courses and temporary work schemes.
You will need to make the same tax arrangements for fixed-term employees that you would for permanent employees.
See fixed-term employment contracts and 'equal treatment' principle.
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Recruiting agency workers
Information about the employment rules and regulations related to using agency workers.
Using agency staff can be ideal, especially when you need emergency temporary cover. It can cost more than employing a temporary staff member directly, but a big benefit is that all of the administration is handled by the recruitment agency.
You usually pay the agency, and the agency pays the worker. The rate the agency charges you could include elements of National Insurance payments, holiday and sick pay, as well as an administration fee and profit margin.
Rights of agency workers
Under the Agency Workers Regulations (Northern Ireland) 2011, agency workers are entitled to the same basic working and employment conditions as permanent staff, provided that they have been in the same role with the same employer for 12 weeks.
It is the recruitment agency's responsibility to ensure agency workers receive the rights they are entitled to such as those under the Working Time Regulations and national minimum wage law. See hours, rest breaks, and the working week and who should be paid the minimum wage.
However, under the Agency Workers Regulations (Northern Ireland) 2011, agency workers are also entitled to equal access to their employer's collective facilities and job vacancies from the first day of their assignment. It will be your responsibility to ensure that these rights are met. Agency workers regulations NI guidance.
You must also ensure that you do not discriminate against agency workers who are working on your business premises.
In addition, under the Parental Leave (EU Directive) (Flexible Working) Regulations (Northern Ireland) 2013, employed agency workers who are returning to work from a period of parental leave are also extended the right to request flexible working. See flexible working: the law and best practice.
Even though agency staff do not work directly for you, you are still responsible for their health and safety. In fact, they are likely to be at greater risk because they don't know the business well. See agency workers' health and safety for more information.
Choosing an employment agency
You should also do some research before using an employment agency to ensure you are happy with the agency's reputation.
By law, employment agencies must comply with the Employment (Miscellaneous Provisions) (Northern Ireland) Order 1981 and the Conduct of Employment Agencies and Employment Businesses Regulations (Northern Ireland) 2005. These regulations stop them, for example, from charging workers fees for finding jobs. They must also ensure a worker has any qualifications legally required to do the work. See employment agencies.
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Recruiting freelancers and outside contractors
Consider whether your business would benefit from the use of freelancers and outside contractors.
One way your business can take advantage of extra skills and labour without taking on many of the responsibilities of an employer is to use freelancers or outside contractors. These are workers who are self-employed or belong to separate outside companies.
For example, you might use an outside IT contractor to build your business website or hire a freelance PR consultant when you want a promotional push for your business.
Advantages and disadvantages of freelancers and outside contractors
An advantage of using freelancers and outside contractors is that in many cases they look after all their own income tax affairs and National Insurance contributions. But it's always a good idea to check that you won't be responsible for deducting tax and National Insurance from their payments. Read more on IR35 and other special rules.
People who are genuinely self-employed may not be entitled to the same rights afforded to employees. However, depending on the contract under which they are providing services, they may qualify as workers. Under these circumstances, they would be entitled to workers' rights such as holidays and holiday pay. If you are in any doubt about a person's employment status, you should seek professional advice.
Freelancers and contractors still have a right to the national minimum wage. But if they are being paid by their own firms so this will not affect you.
As an employer, you still have responsibilities for the health and safety of freelancers and contractors. See how to write a health and safety policy for your business. Also, you should check whether your insurance is affected by having non-employees working on your premises.
Remember too that you should avoid discrimination against anyone who carries out work for you, whether they are employed by you or self-employed. See how to prevent discrimination and value diversity.
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Zero-hours contracts
Description of zero-hours contracts and employer responsibilities relating to them.
There is no legal definition of a zero-hours contract in either Northern Ireland or Great Britain employment law. In general terms, a zero-hours contract is one in which you do not have to guarantee the individual any work and the individual is not obliged to accept any work offered by you.
There is no exact legislation which specifically prohibits or addresses the unfair practices associated with the use of zero hours contracts. Zero hours contracts have attracted attention as they may leave some individuals who rely on them in a precarious position, where working does not bring the standard of living that it should.
Employer responsibilities under zero-hours contracts
Zero-hours contracts are legal under domestic law. If you freely enter into a zero-hours contract with an individual, it is a legitimate form of contract between you and the individual.
There are concerns that individuals who work under zero-hours contracts have no protection under domestic employment law, or that they cannot be an employee. This is not a correct assumption - as in any employment relationship, the employment rights which an individual is entitled to will depend on their employment status.
It is likely that the majority of individuals on zero-hours contracts are either workers or employees.
In many cases, a zero-hours contract staff member will be legally classified as a 'worker' and thus will have some of the rights that an employee has such as statutory holiday entitlement and National Minimum Wage. However, the way the relationship with that worker develops may enhance the employment status to that of an 'employee', who has additional employment rights such as accruing the right to take maternity leave or pay and the right to request flexible working.
Advantages of zero-hours contracts
As an employer, the advantages of zero-hours contracts include:
Flexibility
Zero-hours contracts allow you to adapt to changes in demand, eg offering more work when new orders arrive and being able to scale back when they do not. Furthermore, you could use zero-hours contracts to increase the range of services offered such as creating specialist roles or having staff available in different geographical locations.
There are instances, such as students seeking summer employment, where, for example, the flexibility of a zero hours contract suits both parties and is therefore a situation that is broadly accepted.
Supporting expansion plans
Through this flexibility, your business could also grow, with limited risk in terms of recruiting permanent staff if you find that the additional services you planned are not taken up. On the other hand, if expansion is successful, zero-hours contracts provide a rapid pathway to fixed-term, annualised hours, full-time, or guaranteed hours of work.
Retention of skills
You could retain the skills and experience of staff who might wish to partially retire or who decide to work part-time.
Knowledge of the company and its culture
You could also retain a pool of trained and skilled staff, who know the culture of the business and its procedures, rather than agency staff who may not.
Disadvantages of zero-hours contracts
Sense of unfairness of zero-hours contracts
You should be aware of the welfare of any individual you employ on a zero-hours contract.
For example, not every zero-hours worker will be happy that they are on such a contract because of a lack of job security. In addition, the inclusion of exclusivity clauses, which means a worker cannot work anywhere else, in some zero-hours contracts has been banned in GB since 26 May 2015. This is currently under review by the Northern Ireland Assembly. Exclusivity clauses may in the future be banned in Northern Ireland in certain employment contracts.
It should also be made clear when advertising or interviewing for a job, or in the contract itself, that an individual is hired on a zero-hours contract, or that there is a possibility they could be offered no work or 'zero-hours'.
As an employer, you need to fulfil and understand your responsibilities towards individuals you hire on a zero-hours contract in terms of their employment rights such as the National Minimum Wage and holiday rights. See who should be paid the minimum wage and know how much holiday to give your staff.
Inflexibility and short notice for staff
Asking an individual to work at very short notice, which does not allow them to, for example, fulfil family commitments, eg to arrange childcare, could be problematic for them, causing tension, stress or upset. This can also lead to a feeling of always being on call and can make it difficult to plan ahead.
You should note that where there are long-term zero-hours contracts in place, where work is regularly offered and accepted, there is the potential for difficulties regarding the actual employment status of the individual on the zero-hours contract.
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Recruiting directors and managers
Skills directors and managers should have and the responsibilities they should be given.
Directors
Every limited company must have at least one director. Directors are appointed by the shareholders as the people who can best run the company on their behalf.
Directors have a range of responsibilities in areas such as health and safety, tax, and employment law. There are serious penalties for not meeting these responsibilities which makes appointing the right director very important.
There are also restrictions on who can become a director. People who may not become directors include anyone who:
- has been disqualified by the courts from becoming a director
- is an undischarged bankrupt, unless they have permission from the courts
- is under 16 years of age
For information on the appointment of directors, see recruiting company directors and running a company or partnership.
Managers
You may wish to take on someone to cover you while you're away so that you can spend more time growing the business. Consider whether it would be a good idea to appoint someone to whom you can delegate the day-to-day running of the business.
When preparing the job description, the advert, and the interview questions, you will need to keep in mind the additional qualities, experience, and skills the candidate will need to take on the managerial role.
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Recruiting seasonal staff
As an employer, there are various options available to you to deal with a seasonal rush.
You may find your business is subject to seasonal fluctuations in demand. For example, December is a busy time for many businesses, particularly retailers who have to deal with a spike in demand as the Christmas period approaches.
Other areas of work that may be influenced by seasonal differences include farming, construction, and gardening.
The simplest strategy is to try to make do with the existing workforce. Increasing overtime and offering weekend or evening work may be enough to bridge the gap. However, if more labour is needed, new people will have to be brought in. See employing staff for seasonal businesses.
There are various options available to deal with this seasonal rush.
Agency workers
Using agency workers is one possibility. Employment agencies take much of the administrative burden of finding appropriate staff and can respond quickly to fluctuating demand.
However, employers also need to be aware of the Agency Workers Regulations (Northern Ireland) 2011, which give workers entitlements to the same employment conditions as permanent employees after a 12-week qualification period.
Read more on recruiting agency workers.
Zero-hours contracts
Zero-hours contracts can give great flexibility to employers and workers. Normally these contracts create an employment relationship in which there is no obligation for one side to offer work, nor the other to accept it.
They avoid the cost of agency fees and make it straightforward to take on extra staff when needed. But it's important to point out that zero-hours workers have the same rights and protections as other workers, such as annual leave, the national minimum wage, and pay for work-related travel.
Read more on zero-hours contracts.
Short fixed-term contracts
It may be more appropriate or effective to use short fixed-term contracts and buy in labour for a particular project or period.
Fixed-term work terminates after a specified period, but contract workers are entitled to the same pay and conditions as permanent staff, equivalent benefits, information about permanent vacancies, and protection from unfavourable treatment.
It's good practice to make notice provisions in fixed-term contracts in case employment needs to be terminated early.
Read more on understanding fixed-term contracts.
Pensions for seasonal and temporary workers
Like other staff, seasonal and temporary workers must be assessed to see if they qualify for automatic enrolment into a workplace pension. Assessing these types of employees can take more time because of varying hours and earnings.
Employers who know their staff will be working for them for less than three months can use postponement. This postpones the legal duty to assess staff for three months. During this postponement period, employers will not need to put staff into a pension unless they ask to be put into one. Employers who do delay have to tell their employees in writing. See the Pensions Regulator's guidance on employing seasonal or temporary staff.
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Recruiting staff and data protection issues
How data protection procedures apply to staff recruitment information.
The Data Protection Act covers information gathered during the recruitment and selection process - eg information in application forms or CVs. Staff involved in recruitment should handle any personal information gathered securely. Under the UK General Data Protection Regulations (UK GDPR), you must explain to job applicants what you do with their personal data. An applicant privacy notice should cover what you do with job applicants' personal data during an active recruitment process, and what you should do at the end of that process with the personal data of both unsuccessful applicants and successful applicants who do not accept the job they are offered.
See the Information Commissioner's Office (ICO) guidance on the Data Protection Act 2018.
You should also make sure that any recruitment advertisements clearly identify your organisation or the employment agency you are using.
Application forms should not ask for irrelevant or unnecessary personal information, such as banking details. See advertising a job and interviewing candidates.
Using recruitment information
If you are going to use information gathered during recruitment processes for other purposes, such as marketing, you must explain this clearly to those involved. Information should not be shared with other organisations without the individual's consent.
Sensitive data recorded for equal opportunities purposes - for example, concerning disabilities, race or sexual orientation - must be used for that purpose only.
Finally, if you are going to check the information supplied by applicants, you should let them know why and how you plan to do so. For example, criminal record checks should always be done through AccessNI. See AccessNI criminal records checks.
Giving references
If someone asks you for information about a worker's record or for a reference for them, you should always check their identity and whether they are entitled to this information. You should only supply a confidential reference or information about a worker if you are absolutely sure that you have their explicit and unambiguous consent to do so.
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Recruiting staff: seven things you should know
If you want to expand your business, one way to do this is to take on new staff.
If you want to expand your business, one way to do this is to take on new staff. Recruiting new staff means taking a chance and investing in your business so it's essential that you choose the right recruitment methods to suit your individual business needs.
Staff recruitment essentials
1. Decide if you really need to recruit new staff
You're going to be spending time and money on recruiting someone new, so look at your staffing needs in relation to your business objectives. Consider why you're looking for extra help and how long you will need it for. Could another option be more viable such as sharing work amongst existing employees, reorganising the company structure, or rearranging tasks? See recruiting new staff and the alternatives.
2. Register as a new employer
If you are taking on your first employee, you may be required to register as an employer with HM Revenue & Customs (HMRC). Most new employers can register online but some will need to register by email, by telephone, or with an HMRC office. See how to register as an employer.
3. Consider the type of worker you wish to employ
The options you have for employing a new worker will depend on factors such as how constant the work is, how long it will last, and the number of hours per week. There are a number of options available including permanent employees, fixed-term contract employees, self-employed freelancers or contractors, and employment agency staff. In addition, do you need someone there on a full-time or part-time basis? See recruiting staff: your options.
4. Write a job description and person specification
Preparing a job description is not a legal requirement but it can help with deciding the scope of the work, advertising the job, and clarifying what applicants will have to do in the job. It can also help to identify a new recruit's performance and identify their training needs. If you decide to include a person specification, you should include the essential and desirable knowledge, experience, and skills you are looking for. If you already have an existing job description and person specification for a role, these should be reviewed prior to a recruitment exercise to ensure they are still accurate. See writing a person specification and job description.
5. Decide how much you should pay
Offering a competitive salary and benefits will help you to attract the best person for the job. However, you should balance this with how low you need to keep your costs. Work out what you can afford and assess whether the job requires specialised skills that should be reflected in the wages. See how to set the right pay rates.
6. Advertise and interview for the position
There are many options available when advertising a job including newspapers, online recruitment sites, and employment agencies. Decide on the most appropriate option for your business, ensuring you reach as wide a group of suitably qualified potential candidates as you can. When you have the replies to your advertisement, compare the skills and experience against the job description, draw up a list of candidates, and invite them to interview. Carry out appropriate preparation for the interview so it will be as easy as possible for you and the candidate. See recruitment forms and templates.
7. Make a job offer
The final stage of the recruitment process involves choosing the successful candidate. You can inform them by telephone or email, followed up by a formal confirmation in a letter which should set out the main terms and conditions of the job. It should also state whether the offer is conditional, ie subject to the outcome of checks, or unconditional, ie not subject to any further checks. Once the offer is accepted, a contract of employment exists between you and the employee. See job offers and staff inductions.
Further information on recruitment can be found in the Invest Northern Ireland Employers' Handbook which outlines both legal essentials and best practice guidelines for effective HR management.
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8 tips for employing staff for the first time
When you become an employer for the first time and take on a new employee, there are important checks you must make.
When you become an employer for the first time and take on a new employee, there are important checks you must make. Here are eight key steps that you should consider when employing staff for the first time.
Tips for employing staff for the first time
1. Decide how much to pay your employee
Almost all workers are legally entitled to the National Minimum Wage. The National Living Wage is higher than the National Minimum Wage - workers get it if they are 21 years old and over. See National Minimum Wage and National Living Wage - rates and overview.
2. Carry out pre-employment checks
You should carry out an initial identity check on workers and verify their references and qualifications. You may also wish to include health checks as part of your recruitment process. See pre-employment checks.
3. Check if your employee has the right to work in the UK
You must check whether your employee is legally entitled to work in the UK. See ensure your workers are eligible to work in the UK.
4. Check if you need to apply for a criminal records check
Certain types of employment (eg security or working with children or vulnerable adults) require an AccessNI criminal records check. See AccessNI criminal records checks.
5. Get employment insurance
You will need employers' liability insurance as soon as you become an employer. This insurance enables businesses to meet the costs of damages and legal fees for employees who are injured or fall ill at work through the fault of the employer. See employers' liability insurance.
6. Send details of the job in writing to your employee
Once you have chosen your new employee, you should send them details of the job in writing. This should set out the main terms and conditions of the job. You also need to give your employee a written statement of employment particulars if you're employing them for more than one month.
7. Tell HM Revenue & Customs (HMRC) you are an employer
If you employ someone, you will need to register as an employer with HMRC. See registering and getting started with PAYE.
8. Check if you need to automatically enrol your employee into a workplace pension scheme
All employers must provide workers with a qualifying workplace pension. Read more on automatic enrolment into a workplace pension.
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Recruiting effectively to grow your business (video)
Advice on how effective recruitment will ensure you get the right people to grow your business.
A short 2-minute video explaining how effective recruitment will ensure you get the right people to grow your business.
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Volunteers and tax requirements
Advantages and disadvantages of taking on volunteers
The business benefits and risks of taking on voluntary workers.
Many not-for-profit organisations benefit from taking on volunteers, eg to serve on committees, raise funds, create websites or databases, and deliver mailshots. Other businesses may offer work experience or secondment opportunities to help build links with local communities or within their industry or to help attract potential recruits.
Business benefits of using volunteers
Volunteers can offer several advantages to businesses, including:
- Saving money and resources.
- Engaging with a more diverse range of skills, experience, and knowledge.
- Raising awareness of your brand and what your business does.
- Building relationships within your local community. Providing volunteering opportunities provides opportunities for social inclusion, skills development, and potential routes to employment.
- Giving you a different perspective on challenges or opportunities for your business as volunteers express their opinions or ideas.
- Building stronger teams and improving staff morale.
Taking on volunteers - business considerations
Before taking on a volunteer you should consider:
- Whether your organisation has a suitable vacancy for a volunteer.
- The need for inductions and, possibly, task-specific training. See preparing for an induction.
- What workspace the volunteer will need. Try to minimise disruption and demands on paid staff.
- In the absence of pay/benefits, the need to make them feel recognised, involved, and appreciated.
- Their need to work flexibly. Think about the needs of paid staff and whether you can adopt across-the-board flexibility.
- The fact that, as an employer, you have a similar duty of care on health and safety issues to volunteers as to employees - see volunteers and health and safety.
Volunteers will need managing. Therefore, you could give a paid member of staff responsibility for co-ordinating volunteers and their training and supervision. This will help avoid friction between volunteers and paid workers.
You should consult volunteers on the level of involvement they would like, eg in meetings or discussion groups.
AccessNI checks
You do not have to get an AccessNI check for volunteers unless they are working with children or vulnerable adults in a 'regulated' or care position such as a care home or a school, or in an occupation/position covered by the Rehabilitation of Offenders (Exceptions) Order (NI) 1979 and the Rehabilitation of Offenders (Exceptions) (Amendment) Order (Northern Ireland) 2019.
For more information, see AccessNI criminal records checks.
Northern Ireland Council for Voluntary Action (NICVA) employer guidance on the voluntary sector.
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What volunteers are entitled to
How to avoid creating a situation where a volunteer might consider themselves a worker or employee.
Individuals who are genuinely volunteers have no employment rights but may still be able to claim state benefits and/or allowances.
Volunteer agreements
There have been cases where volunteers have succeeded in claiming to be a worker or even an employee. It is important to be aware of this because workers benefit from certain statutory employment rights, eg the right to receive the national minimum wage, while employees benefit from the full range of such rights including unlawful discrimination.
Therefore, when you take on a volunteer, any agreement you have with them must be worded so that the volunteer is clear that it is not a contract of employment, eg the agreement must not suggest that you and the volunteer have any obligations towards each other or that it is a contract for services.
Instead, you should:
- Give the individual a volunteer agreement and role description in writing.
- Not promise anything in return for the volunteer's work.
Volunteer expenses
However, as part of the agreement, you may:
- Give a volunteer relevant training.
- Give relevant supervision.
- Reimburse actual expenses a volunteer incurs when volunteering, eg travel, food, drink, or any equipment needed. You may also consider covering out-of-pocket expenses eg phone calls, stationery, or postage necessary for a volunteer to work.
Note that you should never give a volunteer a gift or reward other than in an isolated case.
There are statutory rates of mileage reimbursements that can be paid if you have used your own car for volunteering and/or carrying passengers. Provided there is no profit element (ie no excess is paid), they are not subject to tax or National Insurance Contributions.
See expenses and allowance for volunteers.
Volunteers and the National Minimum Wage (NMW)
For the purposes of the NMW legislation, volunteers are not workers and are therefore not entitled to be paid the NMW.
However, you must ensure that the individual is genuinely a volunteer, ie that it's not possible for them to claim they are - in fact - a worker.
Voluntary workers are a category of worker specifically exempt from being entitled to the NMW. See who should be paid the minimum wage.
State benefits and allowances available to volunteers
Volunteers may continue to be eligible for benefits and allowances such as Universal Credit or Personal Independence Payment (PIP). See volunteering while on benefits.
Those receiving Universal Credit will need to attend meetings at their Jobs and Benefits office, and your organisation will need to accommodate these visits.
Find your nearest Jobs and Benefits Office.
You have no duty to inform the benefits office who is volunteering - this is for the individual volunteer to decide.
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Volunteers and health and safety
Understand your workplace health and safety obligations for volunteers.
Organisations staffed entirely by volunteers aren't required to carry out a risk assessment. It is good practice to treat volunteers with the same consideration for health and safety as you would treat paid staff.
You legal requirements
The legal obligations for the health and safety of volunteers are:
- a general duty of care to avoid causing injury
- a duty to ensure that people not in your employment, and who may be affected by your operations, are not exposed to health and safety risks
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Taking on young volunteers
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
There are no specific restrictions on volunteering by young people in not-for-profit organisations. However, you should follow the working-time rules that apply to regular employees.
You should ensure that young people are afforded protection. See Volunteer Now's guidance on safeguarding.
Volunteers and voluntary workers are not entitled to the National Minimum Wage - see who should be paid the minimum wage.
Insurance for young people
If you use volunteers who are under 16 years old, you must ensure that your employer's liability and public liability insurance policies cover young workers and volunteers under 16 years old.
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Volunteers and tax requirements
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable.
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable - this would include expenses paid to volunteers for carrying out volunteering for your business.
You do not have to report certain business expenses and benefits like:
- business travel
- phone bills
- business entertainment expenses
- uniform and tools for work
You do not need to apply for an exemption if you’re paying HMRC’s benchmark rates for allowable expenses.
The exemption also means that the expenses or benefits do not count as earnings for NIC purposes.
For further details see expenses and benefits for employers.
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Volunteers and health and safety
Advantages and disadvantages of taking on volunteers
The business benefits and risks of taking on voluntary workers.
Many not-for-profit organisations benefit from taking on volunteers, eg to serve on committees, raise funds, create websites or databases, and deliver mailshots. Other businesses may offer work experience or secondment opportunities to help build links with local communities or within their industry or to help attract potential recruits.
Business benefits of using volunteers
Volunteers can offer several advantages to businesses, including:
- Saving money and resources.
- Engaging with a more diverse range of skills, experience, and knowledge.
- Raising awareness of your brand and what your business does.
- Building relationships within your local community. Providing volunteering opportunities provides opportunities for social inclusion, skills development, and potential routes to employment.
- Giving you a different perspective on challenges or opportunities for your business as volunteers express their opinions or ideas.
- Building stronger teams and improving staff morale.
Taking on volunteers - business considerations
Before taking on a volunteer you should consider:
- Whether your organisation has a suitable vacancy for a volunteer.
- The need for inductions and, possibly, task-specific training. See preparing for an induction.
- What workspace the volunteer will need. Try to minimise disruption and demands on paid staff.
- In the absence of pay/benefits, the need to make them feel recognised, involved, and appreciated.
- Their need to work flexibly. Think about the needs of paid staff and whether you can adopt across-the-board flexibility.
- The fact that, as an employer, you have a similar duty of care on health and safety issues to volunteers as to employees - see volunteers and health and safety.
Volunteers will need managing. Therefore, you could give a paid member of staff responsibility for co-ordinating volunteers and their training and supervision. This will help avoid friction between volunteers and paid workers.
You should consult volunteers on the level of involvement they would like, eg in meetings or discussion groups.
AccessNI checks
You do not have to get an AccessNI check for volunteers unless they are working with children or vulnerable adults in a 'regulated' or care position such as a care home or a school, or in an occupation/position covered by the Rehabilitation of Offenders (Exceptions) Order (NI) 1979 and the Rehabilitation of Offenders (Exceptions) (Amendment) Order (Northern Ireland) 2019.
For more information, see AccessNI criminal records checks.
Northern Ireland Council for Voluntary Action (NICVA) employer guidance on the voluntary sector.
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What volunteers are entitled to
How to avoid creating a situation where a volunteer might consider themselves a worker or employee.
Individuals who are genuinely volunteers have no employment rights but may still be able to claim state benefits and/or allowances.
Volunteer agreements
There have been cases where volunteers have succeeded in claiming to be a worker or even an employee. It is important to be aware of this because workers benefit from certain statutory employment rights, eg the right to receive the national minimum wage, while employees benefit from the full range of such rights including unlawful discrimination.
Therefore, when you take on a volunteer, any agreement you have with them must be worded so that the volunteer is clear that it is not a contract of employment, eg the agreement must not suggest that you and the volunteer have any obligations towards each other or that it is a contract for services.
Instead, you should:
- Give the individual a volunteer agreement and role description in writing.
- Not promise anything in return for the volunteer's work.
Volunteer expenses
However, as part of the agreement, you may:
- Give a volunteer relevant training.
- Give relevant supervision.
- Reimburse actual expenses a volunteer incurs when volunteering, eg travel, food, drink, or any equipment needed. You may also consider covering out-of-pocket expenses eg phone calls, stationery, or postage necessary for a volunteer to work.
Note that you should never give a volunteer a gift or reward other than in an isolated case.
There are statutory rates of mileage reimbursements that can be paid if you have used your own car for volunteering and/or carrying passengers. Provided there is no profit element (ie no excess is paid), they are not subject to tax or National Insurance Contributions.
See expenses and allowance for volunteers.
Volunteers and the National Minimum Wage (NMW)
For the purposes of the NMW legislation, volunteers are not workers and are therefore not entitled to be paid the NMW.
However, you must ensure that the individual is genuinely a volunteer, ie that it's not possible for them to claim they are - in fact - a worker.
Voluntary workers are a category of worker specifically exempt from being entitled to the NMW. See who should be paid the minimum wage.
State benefits and allowances available to volunteers
Volunteers may continue to be eligible for benefits and allowances such as Universal Credit or Personal Independence Payment (PIP). See volunteering while on benefits.
Those receiving Universal Credit will need to attend meetings at their Jobs and Benefits office, and your organisation will need to accommodate these visits.
Find your nearest Jobs and Benefits Office.
You have no duty to inform the benefits office who is volunteering - this is for the individual volunteer to decide.
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Volunteers and health and safety
Understand your workplace health and safety obligations for volunteers.
Organisations staffed entirely by volunteers aren't required to carry out a risk assessment. It is good practice to treat volunteers with the same consideration for health and safety as you would treat paid staff.
You legal requirements
The legal obligations for the health and safety of volunteers are:
- a general duty of care to avoid causing injury
- a duty to ensure that people not in your employment, and who may be affected by your operations, are not exposed to health and safety risks
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Source URL
/content/volunteers-and-health-and-safety
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Taking on young volunteers
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
There are no specific restrictions on volunteering by young people in not-for-profit organisations. However, you should follow the working-time rules that apply to regular employees.
You should ensure that young people are afforded protection. See Volunteer Now's guidance on safeguarding.
Volunteers and voluntary workers are not entitled to the National Minimum Wage - see who should be paid the minimum wage.
Insurance for young people
If you use volunteers who are under 16 years old, you must ensure that your employer's liability and public liability insurance policies cover young workers and volunteers under 16 years old.
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Volunteers and tax requirements
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable.
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable - this would include expenses paid to volunteers for carrying out volunteering for your business.
You do not have to report certain business expenses and benefits like:
- business travel
- phone bills
- business entertainment expenses
- uniform and tools for work
You do not need to apply for an exemption if you’re paying HMRC’s benchmark rates for allowable expenses.
The exemption also means that the expenses or benefits do not count as earnings for NIC purposes.
For further details see expenses and benefits for employers.
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Source URL
/content/volunteers-and-tax-requirements
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Taking on young volunteers
Advantages and disadvantages of taking on volunteers
The business benefits and risks of taking on voluntary workers.
Many not-for-profit organisations benefit from taking on volunteers, eg to serve on committees, raise funds, create websites or databases, and deliver mailshots. Other businesses may offer work experience or secondment opportunities to help build links with local communities or within their industry or to help attract potential recruits.
Business benefits of using volunteers
Volunteers can offer several advantages to businesses, including:
- Saving money and resources.
- Engaging with a more diverse range of skills, experience, and knowledge.
- Raising awareness of your brand and what your business does.
- Building relationships within your local community. Providing volunteering opportunities provides opportunities for social inclusion, skills development, and potential routes to employment.
- Giving you a different perspective on challenges or opportunities for your business as volunteers express their opinions or ideas.
- Building stronger teams and improving staff morale.
Taking on volunteers - business considerations
Before taking on a volunteer you should consider:
- Whether your organisation has a suitable vacancy for a volunteer.
- The need for inductions and, possibly, task-specific training. See preparing for an induction.
- What workspace the volunteer will need. Try to minimise disruption and demands on paid staff.
- In the absence of pay/benefits, the need to make them feel recognised, involved, and appreciated.
- Their need to work flexibly. Think about the needs of paid staff and whether you can adopt across-the-board flexibility.
- The fact that, as an employer, you have a similar duty of care on health and safety issues to volunteers as to employees - see volunteers and health and safety.
Volunteers will need managing. Therefore, you could give a paid member of staff responsibility for co-ordinating volunteers and their training and supervision. This will help avoid friction between volunteers and paid workers.
You should consult volunteers on the level of involvement they would like, eg in meetings or discussion groups.
AccessNI checks
You do not have to get an AccessNI check for volunteers unless they are working with children or vulnerable adults in a 'regulated' or care position such as a care home or a school, or in an occupation/position covered by the Rehabilitation of Offenders (Exceptions) Order (NI) 1979 and the Rehabilitation of Offenders (Exceptions) (Amendment) Order (Northern Ireland) 2019.
For more information, see AccessNI criminal records checks.
Northern Ireland Council for Voluntary Action (NICVA) employer guidance on the voluntary sector.
Developed withActionsAlso on this siteContent category
Source URL
/content/advantages-and-disadvantages-taking-volunteers
Links
What volunteers are entitled to
How to avoid creating a situation where a volunteer might consider themselves a worker or employee.
Individuals who are genuinely volunteers have no employment rights but may still be able to claim state benefits and/or allowances.
Volunteer agreements
There have been cases where volunteers have succeeded in claiming to be a worker or even an employee. It is important to be aware of this because workers benefit from certain statutory employment rights, eg the right to receive the national minimum wage, while employees benefit from the full range of such rights including unlawful discrimination.
Therefore, when you take on a volunteer, any agreement you have with them must be worded so that the volunteer is clear that it is not a contract of employment, eg the agreement must not suggest that you and the volunteer have any obligations towards each other or that it is a contract for services.
Instead, you should:
- Give the individual a volunteer agreement and role description in writing.
- Not promise anything in return for the volunteer's work.
Volunteer expenses
However, as part of the agreement, you may:
- Give a volunteer relevant training.
- Give relevant supervision.
- Reimburse actual expenses a volunteer incurs when volunteering, eg travel, food, drink, or any equipment needed. You may also consider covering out-of-pocket expenses eg phone calls, stationery, or postage necessary for a volunteer to work.
Note that you should never give a volunteer a gift or reward other than in an isolated case.
There are statutory rates of mileage reimbursements that can be paid if you have used your own car for volunteering and/or carrying passengers. Provided there is no profit element (ie no excess is paid), they are not subject to tax or National Insurance Contributions.
See expenses and allowance for volunteers.
Volunteers and the National Minimum Wage (NMW)
For the purposes of the NMW legislation, volunteers are not workers and are therefore not entitled to be paid the NMW.
However, you must ensure that the individual is genuinely a volunteer, ie that it's not possible for them to claim they are - in fact - a worker.
Voluntary workers are a category of worker specifically exempt from being entitled to the NMW. See who should be paid the minimum wage.
State benefits and allowances available to volunteers
Volunteers may continue to be eligible for benefits and allowances such as Universal Credit or Personal Independence Payment (PIP). See volunteering while on benefits.
Those receiving Universal Credit will need to attend meetings at their Jobs and Benefits office, and your organisation will need to accommodate these visits.
Find your nearest Jobs and Benefits Office.
You have no duty to inform the benefits office who is volunteering - this is for the individual volunteer to decide.
Developed withAlso on this siteContent category
Source URL
/content/what-volunteers-are-entitled
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Volunteers and health and safety
Understand your workplace health and safety obligations for volunteers.
Organisations staffed entirely by volunteers aren't required to carry out a risk assessment. It is good practice to treat volunteers with the same consideration for health and safety as you would treat paid staff.
You legal requirements
The legal obligations for the health and safety of volunteers are:
- a general duty of care to avoid causing injury
- a duty to ensure that people not in your employment, and who may be affected by your operations, are not exposed to health and safety risks
Developed withHelpAlso on this siteContent category
Source URL
/content/volunteers-and-health-and-safety
Links
Taking on young volunteers
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
It's common for businesses to use young volunteers for part-time volunteering or for volunteering during school holidays.
There are no specific restrictions on volunteering by young people in not-for-profit organisations. However, you should follow the working-time rules that apply to regular employees.
You should ensure that young people are afforded protection. See Volunteer Now's guidance on safeguarding.
Volunteers and voluntary workers are not entitled to the National Minimum Wage - see who should be paid the minimum wage.
Insurance for young people
If you use volunteers who are under 16 years old, you must ensure that your employer's liability and public liability insurance policies cover young workers and volunteers under 16 years old.
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Source URL
/content/taking-young-volunteers
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Volunteers and tax requirements
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable.
You may ask for an exemption from HM Revenue & Customs (HMRC) not to report expenses or benefits that are not taxable - this would include expenses paid to volunteers for carrying out volunteering for your business.
You do not have to report certain business expenses and benefits like:
- business travel
- phone bills
- business entertainment expenses
- uniform and tools for work
You do not need to apply for an exemption if you’re paying HMRC’s benchmark rates for allowable expenses.
The exemption also means that the expenses or benefits do not count as earnings for NIC purposes.
For further details see expenses and benefits for employers.
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Your responsibilities to employees transferred into your business
In this guide:
- Responsibilities to employees if you buy or sell a business
- TUPE legislation in Northern Ireland
- Your responsibilities to employees transferred into your business
- What is meant by a TUPE transfer
- The transfer of employee liability information
- Your responsibilities to employees transferred out of your business
- Changing terms and conditions after a business transfer
- Dismissal before or after a business transfer
- Informing and consulting employees about business transfers
- Transfers of insolvent businesses
- TUPE transfers: the impact on employee relations
TUPE legislation in Northern Ireland
Employer guidance on TUPE legislation in Northern Ireland.
On 6 April 2006, the revised Transfer of Undertakings (Protection of Employment) Regulations 2006 (the "2006 Regulations") (S.I. 2006/246) and the Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006 (the "SPC Regulations") (S.R. 2006 No. 177) came into operation.
Northern Ireland TUPE legislation
The legislation.gov.uk website presents the legislation in detail:
- Transfer of Undertakings (Protection of Employment) Regulations 2006
- Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006
The 2006 Regulations made UK-wide provision for the treatment of employees, and related matters, on the transfer of a business or undertaking, so that when all or part of a business is bought or sold, the terms and conditions of the employees who transfer in the sale may be preserved.
The 2006 Regulations also implemented certain service provision change elements, but within those regulations, these elements apply in Great Britain only. Separate regulations, namely the SPC Regulations, were required for Northern Ireland, as Great Britain did not have the necessary powers to legislate on this matter for Northern Ireland.
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Your responsibilities to employees transferred into your business
You take over certain responsibilities when an employee is transferred into your business.
Employees who transfer to your employment do so on their pre-existing terms and conditions and with their continuous employment preserved. This also applies to employees who have already transferred on a previous transfer.
You also take over responsibility/liability for any:
- outstanding disciplinary and grievance situations
- ongoing industrial tribunal claims
- any potential legal actions which may be brought
- collective agreements in force at the time of the transfer, which means that you must continue to recognise the recognised trade union(s) that the staff transferring are members of
Occupational pension and share-option schemes
You do not have to offer transferred employees who are members of - or eligible to join - an occupational pension scheme (OPS) exactly the same pension rights.
However, you must still offer those employees a minimum level of occupational pension provision.
You can opt to provide access to an OPS or make employer contributions to a stakeholder pension scheme. If you choose a stakeholder or a defined contribution scheme, you will have to match the employee's contributions up to 6%. This can be increased if both parties agree.
All employers have to provide their employees with a workplace pension scheme. To read more about these obligations, see automatic enrolment into a workplace pension.
If you don't take over the previous business' shares, you won't be able to provide such shares to your staff. If the previous employer had share or share-option schemes, you must provide equivalent schemes.
Note that if you buy a privatised (previously public sector) undertaking, or win a contract to provide a service to a central or local government organisation, the government expects you to have pension arrangements that are broadly comparable with that enjoyed by the previously public-sector employees.
Changes to terms and conditions
Don't change transferred employees' terms and conditions if the reason for the change is either the transfer itself, eg to match those of your existing staff, or reasons connected to the transfer.
If you change an employee's terms and conditions in this way, this could amount to a breach of contract. The employee may then be able to resign and claim constructive dismissal.
If, however, the change is unconnected with the transfer, you should handle it like any other change of contract where there is provision for change in the contract or where change has been brought about by mutual agreement. For more information, see changing terms and conditions after a transfer and how to change an employee's terms of employment.
Labour Relations Agency (LRA) advice on agreeing and changing contracts of employment.
Information and consultation
Even if you are taking on transferred employees, you must still inform and consult representatives of your existing employees who may be affected by the transfer.
In addition, you must give details to the previous employer of any action, step, or arrangement you intend to take that will affect the transferring employees. There are no set timescales, however, you must do this before the transfer takes place with adequate time for consultation.
See informing and consulting employees about business transfers.
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What is meant by a TUPE transfer
What is and what is not included as a transfer for the purposes of TUPE.
A 'relevant transfer', ie a transfer to which the Transfer of Undertakings (Protection of Employment) Regulations 2006 and/or the Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006 (known collectively as TUPE) apply - occurs when:
- An economic entity is one which is stable and is transferred from one business (part or undertaking) to another, ie the entity is sold as a going concern and retains its identity after the transfer. This is known as a business transfer (standard transfer).
- A client engages a contractor to do work on its behalf or reassigns such a contract, including bringing the work in-house - this is known as a service provision change (extended transfer).
An economic entity
An economic entity is defined as an organised grouping of resources, eg a grouping of employees and assets such as premises and computer equipment that has the objective of pursuing an economic activity. Some transfers will qualify as both a business transfer and as a service provision change, eg outsourcing a service will often meet both definitions.
Examples of business transfers
- Sale of the whole or part of a business where the business continues in a similar format.
- Merger of two businesses.
Service provision change
Examples of service provision changes are where:
- a business contracts its security arrangements to an outside security business (outsourcing)
- a business decides to hire its own staff to provide catering to replace an outside catering business (in-sourcing)
- the contract to clean a client's premises is transferred from one cleaning contractor to another
TUPE applies equally to relevant transfers of large and small businesses, and to public and private undertakings. This means there would be a relevant transfer if you sold your business or if your business bought and operated another business.
Note that TUPE generally applies to second and subsequent transfers of the same undertaking. This means that, if you sell a business or part of a business that you previously bought or relinquish a contract that you previously took over, the employees you took over will now transfer to the new employer - as per the Court of Justice of the European Union (CJEU) interpretation of TUPE.
When TUPE does not apply
Not all transfers are relevant transfers. TUPE does not apply when:
- A client buys services from a contractor on a one-off basis - rather than the two parties entering into an ongoing relationship for the provision of the service.
- There is a transfer of share takeover - when a company's shares are sold to new shareholders, there is no transfer of the business - the same company continues to be the employer.
- A business transfers assets only - then there is no transfer of a business as a going concern eg if the equipment is sold.
- There is a transfer of an undertaking situated outside the UK - although similar provisions apply in the European Union.
- There is a change in business identity - if the work or organisational structure changes radically.
Whether TUPE applies in any particular case depends on all relevant circumstances. In the event of a dispute, only an industrial tribunal or a higher court can decide this.
Where TUPE applies, existing employees of the undertaking transferred automatically become employees of the business that takes the undertaking over. It is unlikely that agency workers fall within the definition of 'employee' for the purposes of TUPE ie they do not automatically transfer, it seems, on current law.
If you think you may become involved in a transfer situation to which TUPE applies, you should consider obtaining legal advice, as the legislation in this area can be complex. Choose a solicitor for your business.
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The transfer of employee liability information
The information you must provide to the new employer when you transfer employees out of your business.
When you transfer employees from your business, you must provide certain information about the employees who are transferring to the new employer. This is known as employee liability information.
The aim of this information is to give the new employer time to understand their obligations towards the transferred employees.
You must provide all information in writing not less than 14 days before the relevant transfer. This can be as electronic files as long as the new employer can readily access the information.
If there is not much information to pass on, eg because only a few employees are transferring, you can provide the information by telephone. Consider asking the new employer which method they would prefer. It would be prudent to keep a full record of all such information, either way.
You can provide the information in stages. However, you must have given all the information before - ideally at least two weeks before - the completion of the transfer. You can also provide the information via a third party if you wish.
You cannot agree with the new employer not to supply this information.
If you do not provide employee liability information, the new employer can make a complaint to an industrial tribunal. This could lead to a compensatory award for any loss the new employer incurs due to not having the information. Compensation is usually at least £500 per employee affected.
The information you must provide
You must provide:
- identity and ages of the employees who will transfer
- their statements of employment particulars
- details of any collective agreements that apply
- details of any formal disciplinary action taken in the past two years to which the statutory disciplinary and dismissal procedures apply
- details of any employee grievances raised in the past two years to which the LRA Code of Practice on Disciplinary and Grievance Procedures applies
- instances of any legal actions against you in the past two years by the transferring employees and any potential legal actions that may be brought
If any of this information changes before the transfer is complete, you must provide the changes in writing to the new employer.
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Your responsibilities to employees transferred out of your business
What you have to do if all or some of your employees transfer to another employer.
You have important responsibilities to your employees if they are transferred out of your business.
Who transfers?
Those who transfer are employees employed by the transferor and assigned to the organised grouping of resources that are going to be transferred.
Therefore those who cannot transfer are:
- those only temporarily assigned to the organised grouping
- the self-employed
- independent contractors
However, an employee can still transfer even if they don't spend all their time working for the grouping to be transferred.
Information and consultation
Under the Transfer of Undertakings (Protection of Employment) Regulations 2006 and/or the Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006 (known collectively as TUPE), you are required to inform and consult the representatives of those employees affected by the transfer. Inform and consult your employees.
Affected employees are not just those who are going to transfer - other employees in the business may be affected by the transfer and have a right to be informed and consulted too.
See informing and consulting employees about business transfers.
Refusal to transfer
If an employee refuses to transfer with a business, they have not been dismissed but have effectively resigned. This means that they lose the right to claim certain employment rights.
See resignations connected with a business transfer.
Employee liability information
When employees transfer out of your business, you must give the new employer certain information about those employees. See the transfer of employee liability information.
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Changing terms and conditions after a business transfer
When you can change employees' terms and conditions of employment following a business transfer.
In a business transfer situation, employees' existing terms and conditions are transferred to the new employer from the start of the new employment.
Employees should therefore not be disadvantaged by a transfer, ie by having less favourable terms and conditions in their new roles.
Economic, technical or organisational reason
If you are the new employer, you can only vary a contract for a reason related to the transfer if it's an economic, technical, or organisational (ETO) reason entailing changes in the workforce.
There is no legal definition of an ETO reason. However, it might relate to, for example:
- the profitability or market performance of your business - an economic reason
- the nature of the equipment or production processes which you operate - a technical reason
- the management or organisational structure of your business - an organisational reason
Note that you can't vary the contracts of the transferred employees in order to harmonise their terms and conditions with those of your existing employees in equivalent roles or grades. A pay cut does not count as an ETO. The transfer of a business subject to insolvency proceedings is a different matter, however - it is covered below. However, you could change terms and conditions - by agreement - if the changes are positive, eg fewer working hours or additional holiday entitlement.
Changing terms and conditions over time
After a certain period, eg six months, you might be tempted to consider it 'safe' to vary the contracts of the transferred employees as the reason for the change cannot have been by reason of the transfer.
However, there is no set period for this and no 'rule of thumb' used by the courts or specified in the regulations to define a period of time after which it is safe to assume that the transfer will not impact directly or indirectly on the employer's actions.
Changing terms and conditions after the transfer of an insolvent business
Note that there is greater flexibility to change terms and conditions if the business being transferred is insolvent - see transfers of insolvent businesses.
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Dismissal before or after a business transfer
Continuity of employment, dismissals, and the ETO defence for a business transfer.
Employees who transfer have their continuity of employment preserved. This means that those who had, for example, 18 months of service with their previous employer have - at the time of the transfer - 18 months' service with the new employer.
This is important as it means that employees with enough continuous employment maintain their right to claim certain employment protection rights, eg the right to claim unfair dismissal (one year's continuous employment). Employees also have the right to claim a statutory redundancy payment (two years). See continuous employment and employee rights.
Dismissals before the business transfer
An employee still transfers if they would have been employed in the undertaking immediately before the transfer had they not been unfairly dismissed - either because of the transfer or for a reason connected with the transfer.
The employee will be able to lodge a complaint at the Industrial Tribunal for unfair dismissal against either the previous or the new employer - as long as they have at least one year's continuous employment.
The Labour Relations Agency (LRA) provides an alternative to the Industrial Tribunal under the LRA Arbitration Scheme. Under the scheme claimants and respondents can choose to refer a claim to an arbitrator to decide instead of going to a tribunal. The arbitrator's decision is binding as a matter of law and has the same effect as a tribunal.
Employers do, however, have the 'ETO defence' - see below.
Dismissals after the business transfer
If you dismiss a transferred employee either because of the transfer or a reason connected with it, their dismissal is automatically unfair.
In certain circumstances, individuals may require at least one year's continuous employment.
The LRA Arbitration Scheme can again provide an alternative to the Industrial Tribunal.
Employers do, however, have the 'ETO defence' - see below.
The ETO defence
If there is an economic, technical or organisational (ETO) reason entailing changes in the workforce, a Transfer of Undertakings (Protection of Employment) Regulations 2006 and/or Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006 (known collectively as TUPE)-related dismissal may be fair.
However, even with this defence, the dismissing employer must still follow a fair dismissal procedure. See dismissing employees.
ETO reasons are narrow in practice and effectively amount to a genuine redundancy situation, eg insolvency of the transferred undertaking.
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Informing and consulting employees about business transfers
Which workplace representatives you must consult and what you should tell them.
Under the Transfer of Undertakings (Protection of Employment) Regulations 2006 and the Service Provision Change (Protection of Employment) Regulations (Northern Ireland) 2006, (collectively known as TUPE), you are required to inform and consult the appropriate workplace representatives of those employees affected by the transfer.
Affected employees are not just those who are going to transfer - other employees in either business may be affected by the transfer and have a right to be informed and consulted too.
Which representatives must I inform and consult?
The appropriate representatives who you must inform and consult are either:
- Representatives of a trade union you have recognised for the purposes of collective bargaining - if there is one. See work effectively with trade unions.
- Employee representatives appointed by the affected employees specifically for the purpose of being informed and consulted on the transfer or who have already been appointed for a different purpose and are suitable for this purpose too. For information on arranging the election of employee representatives, see employee representatives during business transfers.
If you have a pre-existing information and consultation (I&C) agreement in place, you have a duty to inform and consult employees or their representatives on - among other things - changes to the workforce. This means that you may have to inform and consult when planning to buy or sell a business.
However, you do not have to inform and consult at the same time under both TUPE and the I&C legislation - you can choose instead to 'opt out' of your I&C agreement and consult under the transfer legislation only.
What to tell TUPE representatives
The appropriate representatives must be informed of:
- the fact that the transfer is taking place, and when and why it will happen
- the legal, economic, and social implications for affected employees
- any actions, steps, or arrangements the employer envisages taking in relation to affected employees, eg redundancies, relocation, or changes to terms and conditions, or the fact that no measures will be taken
- any actions, steps, or arrangements the new employer envisages taking in relation to employees who will transfer - if the employer is the selling employer
- information relating to the use of agency workers, including the total number of agency workers engaged, the areas of the business in which they work, and the type of work they do
You must consider and respond to any representations made by the appropriate representatives, stating your reasons if you reject any of them.
When to give information to TUPE representatives
You must provide information to representatives long enough before the transfer date to give reasonable time for consultation.
The consultation must be undertaken with a view to seeking their agreement.
Rights of TUPE representatives
Representatives have the right to have:
- access to the affected employees
- access to facilities to enable them to carry out their duties, eg a phone line or office
- time off with pay to carry out representative duties
Representatives may be eligible for reinstatement or compensation if unfairly dismissed or treated detrimentally because of their status or actions as representatives.
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Transfers of insolvent businesses
What happens in situations where employees are being transferred as part of an insolvent business.
If you are transferring a business that is subject to insolvency proceedings and you owe money to the employees to be transferred, the responsibility to pay the full amount of the money owed does not transfer to the new employer.
Redundancy Payments Service
The new employer is only responsible for the amount left after the employees have been paid from the Redundancy Payments Service (RPS). If you require further information or advice with an ongoing redundancy claim, you can call the Redundancy Payments Service Helpline on 028 9025 7562.
They should be able to make a claim through the RPS for:
- arrears of pay
- holiday pay - for days taken but not paid
They will not be able to claim statutory redundancy pay or pay in lieu of notice as - post-transfer - their job will not have ended.
For general advice on redundancies, you can get help from the Labour Relations Agency (LRA) Helpline on Tel 03300 555 300.
Permitted variations
You or the new employer - or the insolvency practitioner - can reduce pay and establish other less favourable terms and conditions after the transfer. These are known as permitted variations.
However, certain conditions must be met when doing this:
- the permitted variation must be agreed with you or the new employer - or the insolvency practitioner - and the appropriate representatives, ie trade union representatives if an independent trade union is recognised for collective bargaining purposes or, if not, elected employee representatives
- the agreement must be in writing and signed by each of the representatives or other authorised persons
- before the agreement is signed, the employer must provide all the affected employees with a copy of the agreement and any guidance the employees may need to understand it
You should also consider the following:
- any new terms and conditions agreed in a permitted variation must not breach other statutory entitlements, eg agreed pay rates must not be set below the national minimum wage
- any permitted variation must be made with the intention of safeguarding employment opportunities by ensuring the survival of the business - or part of it
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TUPE transfers: the impact on employee relations
Some negative effects of business transfers and how good staff relations and open communication can have a positive impact.
Transferring employees between businesses can affect staff morale. The result is often discontentment, not just in those transferred but also in staff left behind in the old business and existing employees in the new business.
Other effects on employees
If the process is not handled sensitively, the effects can include:
- feelings of displacement in the employees transferred
- anxiety among their ex-workmates who feel they might be next
- resentment among new workmates who distrust the reason the new employees have been introduced and may resent the fact that they have different terms and conditions
- a feeling of insecurity that may be common to all
However, if both employers know and meet their responsibilities fully and communicate openly throughout the process, then good relations can be maintained with all employees concerned.
Research shows that effective consultation can lead to better decision-making and smoother implementation of decisions and proposals, boosting productivity. This is because if employees feel they have input into decision-making, they will be more satisfied and motivated at work. See employee engagement.
You should be especially careful to emphasise the positive benefits of the sale or purchase and try to show how the prospects for all will be improved by the changes.
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Writing your grievance procedure
Grievance procedures and the employment contract
How to communicate your grievance procedure and whether or not to make it contractual.
By law, you must inform each employee of:
- the name of the person to whom they should apply to seek redress for a grievance
- how they should make this application
This information can be included in the employee's written statement of employment or the written statement may refer the employee to a document where they may find it, eg in a staff handbook.
If you fail to provide this information to an employee, and they succeed in another industrial tribunal claim against you, eg unlawful discrimination, they could be awarded two or four weeks' pay for this lapse.
The contractual status of grievance procedures
Your grievance procedure may not form part of an employment contract. Therefore, an employee may not be able to claim a breach of contract if you fail to follow it. If there is a dispute over this, it will be up to an industrial tribunal to decide on the outcome.
However, if you do choose to make your procedure contractual and you fail to follow it when dealing with a grievance, the employee could bring a breach of contract claim against you.
Read more on the employment contract.
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Writing your grievance procedure
A grievance procedure deals with grievances in a fair and reasonable manner.
If an employee has concerns or complaints about their work, employment terms, working conditions, or relationships with colleagues, they may want to discuss them or bring them to your attention. They will then want you to address and, if possible, resolve these grievances.
The best way to do this is to have a grievance procedure. If it deals with grievances in a fair and reasonable manner, you're much less likely to lose valued and skilled staff through resignation. It will also help you successfully defend any industrial tribunal claim for:
- constructive dismissal - see dismissing employees
- unlawful discrimination - see how to prevent discrimination and value diversity
The duty to provide a grievance procedure
You should provide each of your employees with a written grievance procedure. Your procedure should - at the very least - follow the good practice principles set out in the Labour Relations Agency (LRA) code of practice on disciplinary and grievance procedures.
If you unreasonably fail to follow the code and the issue ends up at an industrial tribunal, the tribunal could increase the employee's compensation by up to 50%.
The content of a grievance procedure
The exact nature of your procedure will depend on the size and structure of your organisation.
However, any grievance procedure should:
- Be simple and easy to follow.
- Allow for proceedings to be kept confidential.
- Aim to settle grievances fairly and quickly.
- State how and with whom to raise the grievance in the first place.
- Indicate that you will try to resolve most grievances informally, eg by discussions with the employee's immediate manager.
- Identify an alternative person with whom a grievance should be raised if the usual person is the subject of the grievance. For example, if the line manager is the person with whom grievances should be first raised but they are the subject of the grievance, the procedure should name someone else, eg the line manager's manager.
- Set out to whom the employee should appeal if they are not satisfied with the outcome of the initial grievance hearing - see appeals against grievance decisions.
- State that, if possible, a manager previously uninvolved in the matter will hear the appeal.
- Give time limits for each stage, particularly for lodging and hearing the appeal.
- Highlight that the employee has the right to be accompanied by a fellow worker or Trade Union Official (who may be either a full-time official employed by a union or a lay union official who has been reasonably certified in writing by his/her union as having experience of or as having received training in, acting as a worker's companion.
Help to write a grievance procedure
If you require further help drawing up your grievance procedure, the LRA has a free employment document toolkit. Once employers are registered they can unlock free core employment guides to help them build documents, policies, and procedures for their own organisation. Find out how to access the LRA's free employment document toolkit.
Consulting employees on your grievance procedure
You should involve your employees and, where appropriate, their representatives, when putting together your grievance procedure.
If you have any workplace representatives, it may be advisable for you to carry out this consultation through them, ie either with the recognised trade union or, if there is none, elected employee representatives.
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Preparing for a grievance hearing
What you must do before you hold a grievance hearing to ensure that it runs as smoothly as possible.
Before you hold a grievance hearing:
- Read through your grievance procedure so that you apply it correctly.
- Read through the Labour Relations Agency (LRA) Code of Practice on Disciplinary and Grievance Procedures.
- Carry out a full investigation, if necessary, eg where the employee is accusing a colleague of sexual harassment.
- Obtain statements from any witnesses and share them with the employee.
- Make sure you have all relevant facts and documents available for the hearing.
- Arrange for someone to take notes.
- Arrange a suitable time, date, and venue for the hearing.
- Give the employee plenty of notice of the meeting so they can prepare their case and consult any representatives. Remind them that they have the right to be accompanied at the hearing by a colleague or trade union official.
- Where appropriate, interview any manager or witnesses.
It may be necessary to have more than one grievance meeting when dealing with a grievance.
You may not have access to all of the information listed above before the first meeting. For example, the employee may provide you with information on witnesses at the meeting and you may need to investigate further, interview the witnesses concerned, and meet again with the employee who has raised the grievance.
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Holding a grievance hearing
How to run a grievance hearing, informing the employee of its outcome and dealing with delays.
For any grievance hearing, you should:
- ensure that it's private and won't be interrupted
- if the grievance concerns a line manager, consider who else can hear the complaint
- tell the employee about the right to be accompanied by a work colleague or trade union official (who may be either a full-time official employed by a union or a lay union official who has been reasonably certified in writing by his/her union as having experience of or as having received training in, acting as a worker's companion
- introduce everyone and explain why they are present
- explain the reason for the hearing and how it will be conducted
- listen carefully to the person's explanation of the problem - consider whether there is another issue that might be the root cause of the grievance
- listen to any conflicting points of view
- weigh up all the evidence to see whether there is an issue you need to address
- consider adjourning the meeting if further advice or information needs to be sought
- avoid snap decisions even if the solution initially seems obvious - consider possible repercussions
It's crucial that you deal with grievances sensitively and in the strictest confidence, particularly where they concern other employees. You'll need to develop specific procedures for very sensitive claims involving unfair treatment, eg discrimination, bullying, or harassment. Read more on bullying and harassment.
Making the decision
Once the hearing is over:
- decide what action to take - try to balance fairness to the person who raised the grievance without compromising the business or other employees
- inform the person who raised the grievance and, where appropriate, any other concerned parties - in writing - of your decision and the appeal process - read more on appeals against grievance decisions
- the person who raised the grievance should be given a full explanation as to how the decision was reached
- review your grievance procedure - if this particular claim has highlighted problems
Dealing with delays
If the employee is genuinely unable to attend the grievance hearing, eg because they are ill, offer them a reasonable date and time as an alternative.
You should let your employee know that decisions may be taken in their absence if they fail to attend rearranged meetings without good reason.
If the employee's companion cannot make the rearranged hearing, the employee must propose another date and time no more than five working days after the day proposed by you.
If the employee fails to attend the rearranged hearing without good reason, this stage of the procedure is complete and you can make your decision there and then. Don't forget that you will still have to tell the employee in writing of the decision and that they have the right to appeal.
If you cannot make the rearranged hearing, you must offer the employee a reasonable alternative date and time.
Dealing with long-term absence
An employee may become anxious and stressed in the run-up to a grievance hearing, for example, if their grievance relates to another employee and they have to face this person at work. This can lead in some cases to them being absent for weeks or even months due to stress-related illness.
If this situation arises, you can ask the employee's GP and/or an occupational health specialist for a medical report. You must gain the employee's agreement before doing so.
You should ask for the report to state whether or not the worker is fit enough to attend a hearing in the near future:
- If they are deemed fit enough, you should arrange the hearing with the employee in the normal way.
- If not, you might not be able to complete the grievance procedure without unreasonable delay. In this situation, depending on the circumstances, you may be able to treat the procedure as having been completed and make a decision in the employee's absence. However, you should still tell the worker that they can supply written representation or other material if they wish.
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Appeals against grievance decisions
What an employer can do when an employee appeals against the decision of the first grievance hearing.
An employee has the right to appeal against an employer's decision following the grievance hearing. You must notify them of this right when you write to give them your decision. Give them a deadline to notify you of their intention to appeal against the grievance, eg within five working days.
If the employee chooses to appeal, you must try to hold the appeal hearing without unnecessary delay.
Preparing for an appeal hearing
Before you hold an appeal hearing:
- Read through your grievance procedure to ensure that you are applying it correctly.
- Make sure you have all relevant facts and documents, especially if you have come across new evidence since the first hearing.
- Arrange for someone to take notes.
- Arrange a suitable date and venue for the appeal hearing.
- Inform the employee in plenty of time so they can prepare their case and consult any representatives. Remind them that they have the right to be accompanied at the hearing by a colleague or trade union official (who may be either a full-time official employed by a union or a lay union official who has been reasonably certified in writing by his/her union as having experience of or as having received training in, acting as a worker's companion.
- If the appeal concerns new evidence it may be necessary to interview any manager and/or witnesses.
- This may involve obtaining additional statements.
Holding an appeal hearing
The principles for holding an appeal hearing are generally the same as for the initial grievance hearing - read more on holding a grievance hearing.
However, at the appeal hearing, you should also consider:
- the reasoning behind the appeal
- any new evidence since the earlier decision
Ideally the person hearing the appeal shouldn't be the same person who heard the initial grievance hearing, eg a more senior manager who has not been involved with the grievance process at all. They will be able to hear any appeal without having any assumptions.
However, where the person hearing the appeal is the same person who heard the first hearing, they should act impartially and make sure they review the original decision carefully.
You should write to the employee with your decision and the reason for it as soon as possible after the hearing. Make it clear, if this is the case, that the decision is final.
Dealing with delays to appeal hearings
If the employee is genuinely unable to attend the appeal hearing, eg because they are ill, offer them a reasonable date and time as an alternative.
If the employee's companion cannot make the rearranged hearing, the employee must propose another date and time no more than five working days after your proposed date.
If the employee fails to attend the rearranged hearing, this stage of the procedure is complete and you can make your decision there and then. Don't forget that you will still have to tell the employee in writing of the decision.
If you cannot make the rearranged hearing, you must offer the employee an alternative at a reasonable date and time.
It is important that you notify the employee as soon as possible of any delays to the appeal process. If you fail to do so, an industrial tribunal could increase any compensation awarded against you.
Alternative Dispute Resolution
There may be circumstances where the employer and employee feel it would be beneficial to involve a third party to help in resolving the issue, through, for example, mediation. In such instances the grievance procedure may be temporarily set aside. Where this is the case the procedure should explain where and when mediators may be used.
Mediation is a process whereby an independent third party intervenes in a workplace dispute to assist the parties to reach a satisfactory outcome. The Labour Relations Agency (LRA) can provide a mediation service to assist the parties. You can also contact the LRA directly on Tel 03300 555 300 for further information.
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