HR and Compliance Audits

Comprehensive audits for your business needs.

At Saltwater HR, we don’t just look at your paperwork – we look at how your people processes actually work in practice.

Our HR and compliance audits are designed to help small businesses identify risks, close compliance gaps and strengthen operational efficiency.

Whether you’re preparing for growth, an ISO review, or simply want peace of mind that your HR foundations are sound, we’ll assess where you stand and give you a clear, prioritised plan for improvement.

What We Audit

Our audits can cover any or all of the following areas, depending on your needs:

HR documentation and record-keeping – contracts, handbooks, policies and personnel files.
Right to Work and data protection compliance – including GDPR, retention and access controls.
Health, safety and risk management – ensuring statutory obligations are being met.
Training and competency records – evidence of induction, H&S, and ongoing development.
Employee relations and communication – how policies are applied and issues managed.
Performance and reward frameworks – clarity, consistency and alignment to business goals.
Business continuity and resilience – people-related risks, succession planning and contingency.

How It Works

Discovery
We start with a short briefing call to understand your business, structure and priorities.
Document Review
We assess key documents and systems for compliance, completeness and consistency.
Operational Assessment
We speak with managers or review workflows to see how processes work in practice.
Audit Report & Recommendations
You’ll receive a detailed report outlining compliance gaps, risks, and practical actions – ranked by priority.
Follow-Up Support
We can help you implement changes, update documentation or deliver training where needed.

Audits can be conducted remotely or onsite, depending on your business needs.

When to Book an Audit

You’ve grown quickly and want to make sure your HR processes have kept pace.
You’re preparing for ISO 9001, 22301 or 27001 certification.
You’ve inherited HR systems from someone else and need an independent review.
You’ve had an issue (grievance, data breach, absence trend) and want to prevent recurrence.
You’re planning to outsource HR and want a baseline review before starting.

What You’ll Get

A clear, plain-English report with compliance ratings (Red / Amber / Green).
Action plan with priority recommendations and practical next steps.
Optional templates and checklists to help you make improvements quickly.

Why Saltwater HR

Saltwater HR is led by Nicky, a consultant with qualifications in both HR and audit – CIPD Level 5 in People Management, a Postgraduate Certificate in Employment Law, and certification as a CQI/IRCA Lead Auditor. This blend of expertise means every audit is grounded in compliance, but focused on how things work in practice.

We understand the realities of running a small business: limited time, competing priorities and the need for advice that’s straightforward, commercial and achievable. Each audit is scoped to your organisation – not a generic checklist – and designed to identify practical improvements that will make a tangible difference.

By combining HR, risk and quality-management principles, we offer a joined-up approach that helps your people processes genuinely support your wider business goals, strengthening both compliance and performance.

FAQs

What is an HR and Compliance audit?

An HR and compliance audit is a structured review of how your people processes, documentation and systems operate in practice. It checks whether your business is compliant with current employment law and data-protection requirements, and whether your HR activities effectively support your commercial goals.

For ISO-certified organisations, audits are a formal requirement and form part of ongoing quality-management and risk-control processes. For others, an HR audit serves the same purpose – it helps you stay compliant, protect your business, and identify opportunities for improvement before small issues turn into costly risks.

An audit isn’t simply about ticking boxes. It’s about understanding how your policies, workflows and systems actually perform, and how well they contribute to a stable, efficient and legally compliant business.

Why are audits important?

Regular reviews create visibility and control. They help you spot outdated processes, unclear responsibilities or inefficiencies that may otherwise go unnoticed. By embedding a culture of review and improvement, you’re not only maintaining compliance – you’re building resilience.

For small businesses, this approach reduces the risk of costly errors, strengthens governance and creates confidence that your people processes can support growth. In short, regular audits protect and future-proof your business.

How often should an audit be carried out?

If your business holds an ISO certification – such as ISO 9001 (Quality Management), ISO 22301 (Business Continuity) or ISO 27001 (Information Security) – internal audits are typically required at least annually as part of the standard. These ensure processes are being followed, risks are reviewed and continual improvement is demonstrated.

Even if you’re not ISO-certified, it’s good practice to review your HR processes, workflows and policies every 12 to 18 months. Laws change frequently, systems evolve and small procedural gaps can develop over time. Regular reviews help you stay compliant and also uncover ways to improve efficiency, reduce risk and strengthen employee experience.

Who conducts the audits?

All audits are carried out personally by Nicky, Saltwater HR’s founder and lead consultant. Nicky holds the CIPD Level 5 Associate Diploma in People Management, a Postgraduate Certificate in Employment Law, and is a CQI/IRCA Certified Lead Auditor.

This means your audit is performed to professional quality-management standards, but interpreted through a small-business lens. You’ll receive practical insights, not generic checklists – and you’ll work directly with someone who understands how HR, compliance and operational risk fit together.

What happens during the audit process?

Each audit follows a clear, collaborative process:

Initial discussion – we start with a short call to understand your structure, systems and objectives.
Document review – we assess contracts, handbooks, policies and records for compliance and consistency.
Operational assessment – we look at how workflows function in practice, identifying inefficiencies, risks or gaps.
Report and recommendations – you receive a detailed report showing compliance status, improvement priorities and practical actions.
Follow-up support – we can help implement recommendations, provide training or re-audit to track progress.

Audits can be completed remotely or onsite, depending on your size and needs.

Contact Us

Reach out for audit services or enquiries.

Phone

07442 993534

Email

info@saltwaterhr.co.uk