Checklist · Compliance self-audit
Sponsor Compliance Quick Audit Checklist
Use this checklist quarterly to identify compliance gaps before they become problems. If any item is unchecked, that is your next action. Print or save as PDF for your compliance file.
Group 01
Records — completeness and retrievability
- Every sponsored worker has a single, current worker file
- Files include role, salary, hours, work location, contract
- Current UK address, phone, and personal email recorded for each worker
- Files can be retrieved within 5 minutes per workerTest this — pick a random worker and time the retrieval.
- Files retained for duration of employment plus 2 years
- Records of any role / salary / location changes archived with date
Group 02
Right to work compliance
- Right to work check completed before employment began for every worker
- Check format is correct (share-code or manual) for the worker type
- Evidence copied and stored in retrievable format with check date
- Follow-up checks calendared for time-limited right to work expiry
- Any expired right to work has been re-checked within window
Group 03
SMS — accuracy and timeliness
- All sponsored workers shown active on SMS match actual employment
- All reportable changes in last quarter reported within 10 working days
- No outstanding alerts or required actions on SMS dashboard
- Workers who have left have been correctly stopped from sponsorship
- Salary on SMS matches actual salary being paid (sample 3 workers)
Group 04
Key personnel
- Authorising Officer is current, UK-based, and aware of duties
- Key Contact details on SMS are current and reachable
- Level 1 User is a current UK-based employee
- Any key personnel departures have been updated on SMS
- Key personnel have been briefed on sponsor duties in last 12 months
Group 05
Monitoring
- Sponsored workers are doing the sponsored role on the sponsored terms
- Attendance and unauthorised absence is being tracked
- Salary changes are being captured at source and reported
- Role changes that affect SOC, salary, or hours are flagged early
- Line managers know what triggers a reportable event
Group 06
Audit readiness
- An unannounced visit tomorrow would not cause panic
- Key personnel could answer Home Office questions on the spot
- Records would be produced within minutes for any sponsored worker
- Any compliance issues identified above have a date by which they will be fixed
Note: This checklist is for internal self-audit only. It is not a substitute for a formal compliance review or mock audit. If multiple items are unchecked, scope a structured compliance review before any Home Office visit or renewal.
Your adviser
Mehmood Rajoka
IAA-regulated UK Immigration Adviser · Firm Reg F202537009
Mehmood leads Harveys Legal's business immigration practice. He works directly with UK employers on sponsor licence applications, compliance, and Home Office audit readiness — focused on practical, commercially useful advice rather than legal theatre.
Regulated by
Immigration Advice Authority
Firm Reg No.
F202537009
Practice scope
UK business immigration
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