Prepare for a Home Office Immigration Compliance Audit

Compliance officers may ask questions during an audit to better understand your practices and procedures. Sample questions include:

• How do you conduct right-to-work checks for new employees?
• Can you demonstrate your process for monitoring visa expiry dates?
• How do you ensure that sponsored employees work in their designated roles?
• What steps do you take to report changes in circumstances to the Home Office?
• Can you provide evidence of the recruitment process for sponsored roles?

Documents and Records Checked

Home Office immigration compliance officers will review various documents and records, including:

• Employee Records: Copies of passports, visas, and right-to-work documents for all or a sample of sponsored employees, depending on the scale of your immigration programme.
• Payroll Records: Evidence of salary payments to ensure compliance with the minimum salary requirements. They will most likely validate this later against HMRC records.
• Attendance Records: Timesheets or other attendance records to verify working hours and conditions.
• Recruitment Documentation: Evidence of the recruitment process, including job advertisements and interview records.
• Communication Records: Documentation of communications with the Home Office regarding changes in circumstances or other relevant matters.

Post-Audit: What Happens Next?

After the audit, the Home Office will provide feedback, highlighting any areas of non-compliance and necessary corrective actions. There are typically three potential outcomes:

1. Satisfactory Outcome: If you are found to be compliant, you will receive confirmation, and no further action will be required.
2. Minor Issues Identified: If minor issues are identified, you may receive an action plan outlining required improvements and a deadline for implementation.
3. Serious Non-Compliance: Significant non-compliance could result in your sponsor licence being downgraded, suspended, or revoked. You may also face penalties or other enforcement actions.

Preparing for a Home Office Immigration Audit

Preparation is key to ensuring a postive audit process. Here are some steps to help you get ready:

1. Regular Internal Audits: Conduct regular internal audits to review your compliance with sponsorship duties and identify any areas for improvement.
2. Training: Ensure that key personnel, such as HR managers and immigration officers, are adequately trained on sponsor licence requirements and right-to-work checks.
3. Record-Keeping: Maintain accurate and up-to-date records of all sponsored employees, including copies of relevant documents and records of right-to-work checks.
4. Monitoring Changes: Implement robust procedures for monitoring and reporting changes in your organisation and the circumstances of your sponsored employees.
5. Documentation: Ensure all required documentation is readily accessible and well-organised.
6. Mock Audits: Consider conducting external mock immigration audits to simulate the Home Office audit process and identify any potential issues.

If you encounter any issues or need assistance in preparing for an audit, seeking professional advice can be invaluable. At Immtell, a UK immigration consultancy led by Gavin Webster, a former Home Office compliance officer, we specialise in helping companies navigate the complexities of sponsor licence compliance.

We offer a range of immigration consulting services, including:

• Compliance Audits: Conducting thorough mock immigration compliance audits to identify and address non-compliance areas.
• Training: Providing comprehensive training for you and your staff on sponsor licence requirements and right-to-work checks.
• Record-Keeping Assistance: Helping you maintain accurate and up-to-date records of your sponsored employees.
• Audit Preparation: Offering guidance and support to help you prepare for Home Office audits, including mock audits and documentation reviews. We can also be present during a Home Office compliance audit in an advisory capacity.