UK Immigration Audit - Types, Compliance Visit, Documents required

Complying with the sponsor licence duties and responsibilities is an ongoing responsibility. To ensure that the sponsor is doing this, the UKVI’s officials do compliance monitoring of licensed sponsors. Monitoring is done through on-site inspections and digital immigration audits (a remote compliance check). Digital audits give the Home Office a wider reach and shorter notice periods. Site inspections can be announced or unannounced, but UKVI is now increasingly conducting desktop audits. 

An employer with a sponsor licence must be prepared to demonstrate at any moment that their right to work checks, HR files, and reporting logs are in line with the standards outlined in the immigration rules and sponsor guidance. Any failure to cooperate with the Home Office, such as denying the officials access to their premises, withholding records, or missing digital-audit deadlines, allows the Home Office to suspend or revoke the licence.

What is Immigration Audit?

An immigration audit is an inspection of approved sponsors by UKVI at some point during the validity period of their sponsor licence.  This is to ensure that the information the sponsor gave as part of their licence application is accurate and that they are able and continuing to comply with the sponsor's duties and responsibilities, including where the sponsor 

• Is a legitimate operating business or institution

• Can comply with sponsor duties

• Is employing sponsored workers lawfully

• Has effective HR and record-keeping systems

UKVI may also visit the sponsor’s business premises to carry out an audit/checks before deciding on their sponsor licence application.

On-site inspections 

UKVI compliance officers may make a visit (announced or unannounced) to a sponsor’s premises for a compliance audit. The sponsor must cooperate with the officers during the inspection. 

The compliance officers will expect immediate access to any location where sponsored workers are based and will request the sponsor for original copies (paper form or electronic form) of the documents listed in Immigration Rules - Appendix D of the Sponsor Guidance.

Digital desktop immigration audits 

The Home Office has been increasingly relying on remote compliance checks. In this process, it sends an email to the sponsor for uploading specified evidence to a secure portal, typically within 5 or 10 working days. Home Office requests often cover a sample list of sponsored workers and ask the sponsor to provide copies of their passports, visas, work contracts, payslips, recruitment advertisements, and their absence records.

Types of Immigration Audits

There are 2 types of immigration audits. 

1. Pre-Licence Audit

This is conducted before approving a sponsor licence application. It checks whether the organisation is ready to fulfil sponsor duties and often includes an unannounced site visit.

2. Post-Licence Audit

This can be conducted at any time after a licence is granted. Post-Licence audits can be routine, triggered by concerns (e.g., reports, compliance issues). It can be announced or unannounced.

What happens during a Home Office compliance visit?

UKVI compliance officers visit a sponsor’s business premises to check that:

• Information they have given to UKVI is accurate and complete

• They are able to offer jobs at the route-specific skill level

• They are genuine, and you are operating or trading lawfully in the UK

• There are no reasons for UKVI to believe that the sponsor represents a threat to immigration control

• The sponsor is committed to, and is complying with, all their sponsorship duties

One can expect UKVI to review their record-keeping, reporting, and immigration status monitoring processes and documentation to ensure that they remain compliant.

The UKVI compliance officer may not give any indication of their assessment or sthe ponsor’s ability to comply with sponsor duties during their visit.

Documents usually requested by UKVI for an Immigration Audit

During an immigration audit, UKVI compliance officers may ask the organisation for various documents related to:

1. Business

UKVI may ask the sponsor for Companies House records, certificate of incorporation of the business, VAT registration (if applicable), proof that the business is actively trading (invoices, contracts), an organisational chart showing reporting lines, and a lease agreement or proof of business premises.

2. Employer's Sponsor Licence and their compliance with sponsor duties

UKVI may ask the sponsor for the details of their sponsor licence, licence rating, CoS (Certificates of Sponsorship), SMS (Sponsor Management System) records, Key Personnel (AO (Authorising Officer), Level 1 and/or Level 2 Users) details, and proof of timely reporting of changes to UKVI.

3. Right to Work Check

UKVI may ask the sponsor for copies of their sponsored worker (s)’ passports and visas, BRPs (Biometric Residence Permits) or eVisa checks, evidence of right-to-work checks (date, method, checker’s name), and follow-up check records where visas are time-limited.

4. Human Resource System/Policies and Procedures

UKVI officers may ask the sponsor for recruitment and employees’ onboarding policies, workers' absence and disciplinary policies, record-keeping procedures, and systems for tracking visa expiry dates.

5. Sponsored Workers

UKVI compliance officers, during their visit, may ask the sponsor for documents related to the sponsored migrant workers, which include

• the workers' employment contract,

• the workers' job details 

• bank statements that show salary payments to them, 

• details of their work location, 

• records of their attendance and absence, and 

• evidence of their qualifications and experience (if required).

6. Financials and Taxes

The sponsor may be asked to show their PAYE (Pay As You Earn) and HMRC (HM Revenue & Customs) records, P60s and P45s, company accounts (audited or unaudited), and Pension and NI (National Insurance) records

UKVI may request these documents in advance or during a site visit. To review these documents, an officer may interview staff and sponsored workers, compare records with CoS and SMS entries. UKVI may also carry out unannounced inspections.

How can sponsors prepare for an Immigration Audit?

An organisation having or applying for a sponsor licence must be prepared for an immigration audit. They should do the following for this purpose.

A sponsor is required to put in continuous effort to stay compliant with their duties and responsibilities in line with the immigration regulations, both before and after formal immigration audits. While immigration audits are crucial in identifying any compliance gaps, the period between the Home Office audits is equally important for sponsors to maintain a robust compliance posture. Sponsors who manage their compliance proactively will have reduced the risk of facing penalties. They will have hassle-free recruitment processes and will be able to develop trust with relevant regulatory authorities.

1. Mock audits

Mock audits help significantly in highlighting issues before the UKVI officers arrive. Through a mock audit, sponsors can undertake a full review of all documentation and supporting HR paperwork against the standards and requirements of the Home Office. They should identify lacking records in content as required by UKVI, or where information is not kept up to date. Mock interviews with staff most likely to be interviewed by UKVI can also be quite useful.

2. Review HR Policies and Systems

The sponsor should have migrant workers’ clear recruitment and onboarding procedures, systems to track their visa expiry dates, their absence monitoring and reporting processes, and consistent record-keeping across all workers. The UKVI will request sight of the sponsor’s HR policies as part of the site inspection.

3. Maintain the Sponsorship Management system

Sponsors are expected to keep their SMS information up to date, providing a snapshot of their business at any given time. Those who fail to maintain the information in the SMS are in breach of the sponsor’s duties.

Sponsors must report changes on the SMS (Sponsorship Management system) within required deadlines, update UKVI on changes to sponsored workers’ roles, salaries, work locations, or absences, and ensure Key Personnel (AO, KC, Level 1, and/or Level 2 users) are active and properly trained.

4. Maintaining accurate pre-employment checks

The Home Office expects sponsors to take reasonable steps to make sure the identity documents submitted by the workers are genuine and that the individuals presenting for work are the same persons the documentation relates to.

The sponsor should conduct right-to-work checks before employment starts, maintain clear copies (electronic or paper) of visas, passports, BRPs, or eVisas, and record the date of each check and the method of each check.

5. Keep up to date

All sponsors are expected to be up to date on the duties placed on them. UK Immigration Rules, including for sponsors, change frequently and directly or indirectly impact employers and what they need to do in order to remain compliant. Sponsors should subscribe to updates on Immigration Rules changes to ensure they stay informed and can react accordingly and on time by adapting their systems, policies, and processes, and communicating these changes internally.

6. Personal records of leavers

The Home Office has the right to request sponsors for a worker’s documents for up to 2 years after a sponsored worker has left their job, but organisations are often seen to have deleted or destroyed documents of leavers before this date. Sponsors may be imposed penalties if they are unable to produce this documentation when the Home Office requests it.

7. Train Staff

This is essential to provide appropriate training to the relevant staff involved in a sponsor’s immigration compliance processes. All personnel in the organisation who are involved in recruiting, onboarding, and line management of migrant workers should be trained and skilled in fulfilling immigration duties. The sponsor can show evidence of an ongoing commitment to best practice, which will act as a further indicator to the Home Office of compliant operations.

The sponsor should ensure that HR staff in the organisation understand sponsor duties, sponsored workers understand their job role and visa conditions, and prepare staff for possible UKVI interviews.

8. Be ready for a UKVI site visit

The sponsor and the relevant personnel should keep documents accessible at the business premises, ensure sponsored workers are working at the stated location, and the premises should reflect genuine business activity.

Possible outcomes of an Immigration Audit

If the UKVI is satisfied during their immigration audit, the organisation will be granted a sponsor licence, or those already a sponsor will retain their licence. 

On the other hand, if UKVI finds that the sponsor has failed to comply with sponsor duties, it may downgrade, suspend, or even revoke their sponsor licence.

Failing an immigration audit can result in:

• Loss of the sponsor licence

• Sponsored workers losing their right to work

• Business disruption and reputational damage

• Future sponsor licence applications being refused

How can Visa and Migration help?

Our immigration lawyers, based on their experience of Home Office compliance requirements, can conduct a mock immigration audit of your business in advance of any UKVI inspection visit. 

Our lawyers will give you invaluable insights into UKVI practice and procedure. A mock audit of your business from our team will ensure that you are, and remain, as a sponsor, compliant with all immigration requirements.

For expert advice and queries, you can call us at +44 (0)20 3411 1261 or write at info@visaandmigration.com