Auto Enrolment Compliance Checklist

1. Compliance Overview

Objective: Ensure that [YOUR COMPANY NAME] complies with all legal requirements regarding auto enrolment pension schemes.

Responsible Party: [YOUR NAME], [YOUR DEPARTMENT]

Date of Last Review: [DATE]

Next Scheduled Review: [DATE]

2. Regulatory Requirements

1. Assessment of Eligible Workers

• Regular assessment of eligible workers for auto enrolment.

• Accurate classification of workers as eligible jobholders, non-eligible jobholders, or entitled workers.

• Documentation of assessment results and employee classifications.

2. Employee Communication

• Provision of auto enrolment information to eligible workers.

• Explanation of pension scheme details, contributions, and opt-out options.

• Timely communication of auto enrolment obligations to new employees.

3. Pension Scheme Management

1. Scheme Selection

• Selection of a suitable auto enrolment pension scheme.

• Assessment of scheme features, costs, and suitability for employees.

• Registration with the chosen pension scheme provider.

2. Contributions

• Calculation and deduction of employee contributions based on qualifying earnings.

• Employer contributions made in compliance with regulatory requirements.

• Submission of contribution data to the pension scheme provider on time.

4. Employee Opt-Out Process

1. Opt-Out Procedure

• Establishment of a clear opt-out process for employees.

• Provision of opt-out forms and guidance to eligible workers.

• Handling of opt-out requests promptly and accurately.

2. Opt-Out Reporting

• Reporting of opt-out requests to the pension scheme provider.

• Compliance with deadlines for reporting opt-out information.

• Retention of opt-out records for audit purposes.

5. Compliance Monitoring

1. Regular Review

• Periodic review of auto enrolment processes and procedures.

• Identification of any gaps or non-compliance issues.

• Implementation of corrective actions as needed.

2. Recordkeeping

• Maintenance of accurate records related to auto enrolment compliance.

• Documentation of auto enrolment assessments, communications, and contributions.

• Retention of records for the required statutory period.

6. Employee Training

1. Training Programs

• Training provided to relevant staff on auto enrolment regulations and procedures.

• Awareness of auto enrolment responsibilities among HR and payroll personnel.

• Ongoing education on changes in auto enrolment legislation.

7. Signature

By signing below, you acknowledge that you have reviewed and understand the contents of this Auto Enrolment Compliance Checklist.

[YOUR NAME]

[YOUR COMPANY NAME]

Date:[DATE]

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