Worker review 1
Use the worker name or an internal reference if you do not want to print personal names.
Sponsor licence audit checklist: prepare for a Home Office compliance visit
A sponsor licence audit checklist lists the records the Home Office can ask to see during a compliance visit; this free template lets you work through them worker by worker and note anything missing. Each section cites the current GOV.UK guidance it comes from.
This is a free internal-review template for Worker sponsor licence holders. It helps you organise records before an internal review or possible Home Office compliance visit. It is not an official Home Office form, it is not exhaustive, and completing it does not prove or guarantee compliance. Check the current GOV.UK sponsor guidance that applies to your licence and sponsored routes.
Free to use Printable No login or email Sources checked 8 October 2026
On smaller screens, scroll each checklist table sideways to reach all fields.
Checked on 8 October 2026 against Appendix D (version 10/26, valid from 8 October 2026) and Part 3 (version 08/26). Each section names its source. Lines marked as internal-review prompts help you organise evidence; they are not all mandatory in every case, and route-specific items apply only where relevant.
Section 1
Sponsor licence and organisation records
Use this section to check the sponsor-side records and access arrangements that support the licence itself.
Source: Appendix D introduction (licence application documents) and sections 5(g)–(h); Part 3 C2.4 and C2.16. Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Current sponsor licence details | ||
Licensed routes | ||
Organisation name and address details | ||
Relevant organisation or ownership changes | ||
Current key personnel | ||
Authorising Officer | ||
Key Contact | ||
At least one Level 1 User at all times (Level 2 Users are being phased out) | ||
Internal responsibility for sponsor duties | ||
Access and handover arrangements | ||
Documents submitted with the sponsor licence application (keep for as long as you hold the licence) | ||
GBM Service Supplier or Secondment contracts and tender evidence, where relevant |
Section 2
Sponsored-worker register
Repeat this worker-level review structure for the sponsored workers you want to sample. Print extra copies if you need more worker pages.
Internal-review aid: the field layout below is a practical review structure, not a claim that every sponsor keeps every worker file in exactly this format.
Worker review 2
Use the worker name or an internal reference if you do not want to print personal names.
Worker review 3
Use the worker name or an internal reference if you do not want to print personal names.
Section 3
Identity, immigration and right-to-work evidence
Check the evidence you hold and whether the date, method, and follow-up position are readable from the record.
The right evidence depends on the worker’s circumstances. Use this as a review prompt, not a substitute for the current right-to-work guidance.
Source: Appendix D sections 1.1, 1.2, 5(a)–(c). Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Right-to-work check evidence, carried out before work started | ||
Online checks done through the “Check a job applicant’s right to work” share-code service | ||
Another organisation’s check evidence, where it employs your sponsored worker | ||
Follow-up check date for time-limited permission | ||
Date of entry evidence, where you sponsored the worker’s entry clearance | ||
Copy of the National Insurance number (unless exempt) | ||
History of contact details: UK address, personal email and phone, kept up to date | ||
Parental consent letter for workers under 18 |
Section 4
Certificate of Sponsorship and role evidence
Use this section to compare the worker file against the role details that support the sponsorship record.
This checklist does not validate occupation-code or salary eligibility. It is an internal-review aid for record control.
Source: Appendix D sections 3(c), 4(a)–(c), 5(d), 5(i); Part 3 C1.42. Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Assigned CoS record and occupation code | ||
Detailed job description: duties, responsibilities, skills, qualifications and experience | ||
Contract of employment or written statement: names, signatures, start and end dates, job, hours and pay | ||
Actual role matches the CoS job description and occupation code | ||
Copies of qualifications, or evidence of skills and experience such as references | ||
Registration or accreditation needed for the job (for example GMC registration) | ||
DBS check copy, where the role requires one | ||
ATAS certificate or FCDO approval, where the role requires one |
Section 5
Recruitment records
Recruitment evidence can matter for some routes and circumstances. Use this section to gather what you hold and note any gaps.
Most routes, including Skilled Worker, use section 2.2 (no formal labour market test). Formal-test items in section 2.1 apply only to the routes listed there.
Source: Appendix D sections 2.1 and 2.2. Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Advert copy (screenshot, printout or text), where it ran and for how long | ||
Number of applicants and number shortlisted | ||
At least one record of how you chose the candidate (interview notes, questions, scoring or selection reasons) | ||
If you did not advertise: an explanation, with evidence where practicable, of how you identified the worker | ||
Route-specific recruitment evidence (formal labour market test routes, care roles, Religious Worker letters) |
Section 6
Attendance, contact and work-location monitoring
This section focuses on how the sponsor can show current work location, contact-detail management, and absence or escalation monitoring.
Part 3 sets the reporting thresholds shown here; how you monitor attendance is up to you.
Source: Appendix D section 5(e); Part 3 C1.15, C1.19–C1.23. Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Record of the worker’s absences (electronic or manual) | ||
Current normal work location | ||
Records of working patterns for hybrid workers | ||
Process for spotting more than 10 consecutive working days’ unauthorised absence | ||
Process for spotting unpaid or reduced-pay absence over 4 weeks in a calendar year | ||
Responsibility for identifying reportable changes |
Section 7
Salary and payroll alignment
Use this section to check that payroll records, pay evidence, and sponsored-employment records can be reconciled.
Internal-review aid: this template does not calculate salary eligibility or confirm that the sponsored role remains eligible.
Source: Appendix D section 3(a)–(d); Part 3 C1.15 and Annex C2(p). Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Salary shown on the CoS | ||
Payslips showing name, NI number, tax code, allowances and deductions | ||
Bank or prepaid-card evidence of each salary payment into the worker’s own account | ||
Evidence of the value of any allowances not shown in the contract or payslips | ||
Salary not paid in cash | ||
Pay not reduced below the CoS amount without reporting it | ||
Internal check that payroll records align with sponsored employment records |
Section 8
Changes and reporting evidence
Use this section to review whether changes were identified internally, whether reporting was considered, and whether SMS evidence is easy to retrieve.
Worker changes are reported through the Sponsor Management System within 10 working days, organisation changes within 20, unless Part 3 says otherwise. This template does not submit reports.
Source: Part 3 C1.13–C1.17 and C2.3–C2.4. Checked 8 October 2026.
| Review item | Checked | Date identified, reporting decision, SMS evidence, notes, and responsible person |
|---|---|---|
Worker did not start within 28 days (report within 10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
More than 10 consecutive working days’ unauthorised absence (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Unpaid or reduced-pay absence over 4 weeks in a calendar year (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Salary reduction (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Significant change to employment within the same occupation code (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Change of normal work location (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Sponsorship stopped, for example resignation, dismissal or contract ending (10 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Known or suspected breach of conditions (as soon as reasonably practicable) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. | ||
Organisation changes such as key personnel, address, structure or ownership (20 working days) Use the notes field for the date identified, reporting decision, SMS reference or screenshot location, internal notes, and responsible person. |
Section 9
Policies, processes and staff awareness
This section is for internal process control around sponsor duties, escalation, and periodic review.
Apart from the employment-rights evidence (Appendix D 5(l)), these are internal-review prompts. Part 3 Annex C2(b) treats having no processes or systems to meet your duties as a ground for revocation.
Source: Appendix D section 5(l); Part 3 C1.53 and Annex C2(b). Checked 8 October 2026.
| Review item | Checked | Notes or evidence location |
|---|---|---|
Evidence that workers were given information about their UK employment rights | ||
Written sponsor-compliance responsibilities | ||
Right-to-work process | ||
Sponsored-worker onboarding process | ||
Change-reporting process | ||
Absence escalation process | ||
Document-retention process | ||
Key-personnel training | ||
Manager awareness | ||
Periodic internal reviews | ||
Evidence of corrective actions |
Section 10
Review findings and action plan
Use the action table to record gaps, assign ownership, and note whether evidence has been added later.
| Finding | Worker or area affected | Risk or consequence | Required action | Owner | Target date | Completion date | Evidence added | Status |
|---|---|---|---|---|---|---|---|---|
Final review summary
Record format and retention (Appendix D, checked 8 October 2026)
- Records can be kept on paper or electronically, with no set storage system, but must be available to the Home Office on request (Appendix D introduction; Part 3 C1.38). Electronic copies must show all relevant parts (C1.37).
- Sponsored-worker records are kept for the whole sponsorship, then until one year after it ends or until a compliance officer has examined and approved them, whichever is sooner.
- Licence application documents are kept for as long as you hold the licence; International Sportsperson endorsement documents for 2 years after the endorsement expires (Appendix D 2.1(l)).
- Other laws, such as the illegal working rules, can require longer retention (Part 3 C1.40).
Compliance visit preparation
What a Home Office compliance visit can check
Part 3 section C7 describes how compliance checks work. Checked 8 October 2026.
- Checks can happen at any time, before or after a licence is granted, and visits may be announced or unannounced (C7.9).
- You must give full access to your premises and sites on demand, including client sites where sponsored workers are placed (C7.10).
- Officers may inspect your records and systems, including Appendix D record keeping, interview you and current or former sponsored workers, and check other workers for illegal working (C7.14–C7.15).
- Failing to provide an Appendix D document on request within the time limit is a ground for revocation (Annex C2(g)).
Source: Part 3: sponsor duties and compliance, version 08/26.
When a checklist stops being enough
Sponsor licence audit preparation software
A checklist is a point-in-time review. It stops being enough when the records change faster than you review them.
- You sponsor more than a handful of workers and their visa, right-to-work and follow-up dates fall at different times.
- Reportable changes have 10-working-day deadlines, so a quarterly review finds them too late.
- Evidence sits across inboxes and folders, and producing one worker's file on request takes more than a few minutes.
- More than one person updates records and you need to see who changed what.
Track this automatically
This template is free and blank: nothing you type here is saved. If you want the same records kept up to date for you, Soteriaa's sponsor licence compliance software is the paid tracked version: one record per sponsored worker, evidence filed against it, visa and right-to-work dates with a daily alert email, a change log, and worker or company packs you can download. Plans start at £25/month for up to 5 sponsored workers, with a free trial. It does not submit anything to the Home Office or guarantee the outcome of a visit.
What this template does not cover
Limits of the checklist
This page helps organise a review file. It does not make legal or eligibility decisions.
- It does not determine visa eligibility.
- It does not determine whether a role or occupation code is eligible.
- It does not calculate salary eligibility.
- It does not assign a Certificate of Sponsorship.
- It does not submit reports through the Sponsor Management System.
- It does not cover every route-specific requirement.
- It does not replace legal or immigration advice.
- It does not guarantee the outcome of a Home Office visit.
- It does not certify that the sponsor is compliant.
Methodology and official sources
How this page was put together
The checklist is manually maintained from current GOV.UK sponsor guidance. It does not scrape government pages at runtime.
- Requirement lines are taken from the GOV.UK guidance linked below; each checklist section names its source paragraphs.
- Where a prompt goes beyond an explicit Appendix D line item, it is labelled as an internal-review aid rather than a universal legal requirement.
- Visa permission can extend beyond a sponsor’s expected employment timeline, and route-specific facts can change, so confirm live guidance before relying on the checklist.
- Current GOV.UK sources for this page were checked on 8 October 2026.
- Workers and Temporary Workers: guidance for sponsors part 3: sponsor duties and compliance - GOV.UKVersion 08/26, valid from 28 August 2026. Checked 8 October 2026. Used for reporting duties (C1.13–C1.31, C2), record-keeping duties (C1.37–C1.41), immigration-law duties (C1.42) and compliance checks (C7).
- Workers and Temporary Workers: guidance for sponsors - Appendix D: record-keeping duties (accessible) - GOV.UKVersion 10/26, valid from 8 October 2026. Checked 8 October 2026. Used for the record lists in sections 1–5, document format and retention periods.
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Audit checklist FAQ
Questions about the sponsor licence audit checklist
Short answers about scope, record keeping, printing, and what the template does not do.
What is a sponsor compliance audit pack?
A sponsor compliance audit pack is an internal-review file or checklist used by a sponsor licence holder to organise worker records, reporting evidence, and follow-up actions before an internal review or possible Home Office compliance visit.
Is this an official Home Office template?
No. Soteriaa provides this page as a free internal-review template. It is not an official Home Office form and it is not exhaustive.
What records should a sponsor licence holder keep?
Appendix D (version 10/26, valid from 8 October 2026) groups them into five areas for each sponsored worker: right to work and date of entry checks, recruitment, salary, skill level, and additional evidence such as National Insurance number, contact history, absence records and evidence that you gave the worker information about their employment rights. You must also keep the documents you sent with your licence application for as long as you hold the licence.
Can sponsor records be stored electronically?
Yes. Appendix D says documents can be kept on paper or electronically, provided they can be made available to the Home Office on request, and Part 3 (C1.37) adds that all relevant parts must be visible if kept electronically.
How long should sponsored-worker records be kept?
Appendix D says to keep sponsored-worker records for the whole time you sponsor the worker, then until one year after sponsorship ends or until a compliance officer has examined and approved them, whichever is sooner. Licence application documents are kept for as long as you hold the licence, and International Sportsperson endorsement documents for 2 years after the endorsement expires. Other laws can require longer.
What can happen at a Home Office compliance visit?
Part 3 (section C7) says checks can happen at any time, announced or unannounced, on site or by video. Officers may inspect your records and systems, including Appendix D record keeping, interview you and current or former sponsored workers, and check other workers for illegal working. Officers give no indication of their assessment during the visit.
Does completing the checklist prove compliance?
No. Completing the checklist does not prove compliance, certify that the sponsor is compliant, or guarantee the outcome of a Home Office compliance visit.
Does the template replace the Sponsor Management System?
No. The template is an internal-review aid only. It does not assign a Certificate of Sponsorship and it does not submit reports through the Sponsor Management System.
Can this be used before a Home Office compliance visit?
Yes. It is designed to help a sponsor organise records before an internal review or possible Home Office compliance visit, but it is not a substitute for reading the current GOV.UK guidance that applies to the routes you sponsor.
Does Soteriaa provide immigration advice?
No. Soteriaa is independent software for employers. It is not the Home Office, it is not the Sponsor Management System, and it does not provide immigration advice.
Is the template free?
Yes. This blank template is free to use without a login or email gate. Soteriaa's paid sponsor workspace is a separate product that tracks the records and dates for you.
Keep your sponsor audit preparation records together.
Use this free checklist to review gaps, or try the sponsor workspace to track worker files, dates and evidence. Neither certifies compliance.