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Appendix D Sponsor Licence (For Irish Businesses In UK)

Appendix D lists the documentary evidence that employers and educational institutions holding Sponsor Licences in the UK must retain in relation to their sponsored foreign national workers or students.

If you are an Irish company operating in the UK, and want to know more about what documents you must keep according to Appendix D or the compliance checks conducted by the Home Office, call us today on +353 061 518 025 to receive bespoke advice.

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    What Is Appendix D?

    Appendix D is one of the key documents related to the Sponsorship Licence framework for employers and education providers based in the UK sponsoring a foreign national worker or student to come and work/study in the country.

    This document is an appendix to the full policy guidance published by the Home Office on sponsoring a worker/temporary worker or a student and lists the documents Sponsor Licence holders must keep to fulfil their sponsorship requirements.

    It specifies the required format in which documents must be retained and the duration they must be kept for. Appendix D also lists the data protection guidelines that a Sponsor Licence holder must adhere to while retaining such documents.

    Complying with their duties and obligations as specified by the Home Office is a key condition for employers and education providers to avoid a downgrade, suspension or even revocation of their Sponsor Licences.

    Being an Irish company in the UK who holds a sponsor licence for recruiting overseas workers, you must, therefore, be fully aware of the record keeping requirements listed in the Appendix D.

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    Documents Sponsors Need To Keep

    Appendix D has categorised the documentary evidence to be retained by employers or educational institutions into five parts.

    While the first four parts apply to sponsored workers, the fifth part is applicable to migrants coming to the UK under the Student or Child Student route, including those who were previously enrolled on Tier 4.

    Part 1: Documents to be Kept for Sponsored Workers

    • Proof that your sponsored workers have legal right to work in the UK
    • Document(s) showing that the sponsored workers entered the UK on or after their visa validity start date
    • Copy of their National Insurance (NI) numbers, unless the workers are exempt from having the same
    • Their up-to-date contact details, such as UK residential address, personal email ID, mobile and/or landline telephone number(s) etc. and any historical record of the same
    • Parental consent or a letter to that effect from legal guardians if the sponsored worker is a child (i.e. under 18 years of age)
    • Copy of the Disclosure and Barring Service (DBS) check letter, if the job requires one
    • The sponsored worker’s absence records
    • Any other documents specified in the sponsor guidance for employers and, if relevant, in the Appendix Creative Workers codes of practice or the Sporting code of practice
    • If the sponsoring employer is licensed on the Global Business Mobility – Service Supplier route, they will have to keep a copy of:
      • Any contract they were awarded for the supply of a service
      • The tender document for that contract or proof of how the contract was awarded in case there was no formal tender process
    • If the sponsoring employer is licensed on the Global Business Mobility – Secondment Worker route, they will have to keep a copy of:
      • Any agreement or contract for goods or investment between them and the concerned overseas company/organisation
      • Document(s) showing how they were awarded the contract or investment
      • The tender document for the contract for goods or proof of how the contract was awarded in case there was no formal tender process
    • A copy of the foreign worker’s Academic Technology Approval Scheme (ATAS) certificate (or of the electronic approval notice received from the Foreign and Commonwealth Office) in case they require it for undertaking the job
    • A child performance licence from the local authority if the employer is sponsoring a child below school-leaving age on the Creative Worker route

    Our team of legal experts can help your business comply with immigration rules in the UK. Contact Us

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      Part 2: Evidence of Sponsored Workers’ Recruitment Process

      Employers must keep documentary evidence of how their sponsored foreign workers were recruited. The Home Office has put this requirement in place to ascertain the genuineness of a vacancy.

      If you are an employer who hired overseas workers under any of the following routes, you will have needed to conduct a formal resident labour market test (RLMT) or take similar steps to protect the settled workforce:

      • The Tier 2 (General), the Tier 5 (Temporary Worker) Religious Workers, the Tier 2 (Minister of Religion), the Tier 2 (Sportsperson), and the Tier 5 (Temporary Worker) Creative and Sporting routes in place before 1 December 2020
      • The T5 (Temporary Worker) Religious Worker, the T5 Creative or Sporting Worker, and the T2 Sportsperson routes in place between 1 December 2020 and 10 October 2021 (both dates inclusive)

      For routes when a RLMT is no longer required the employer must still be able to explain how their foreign worker was hired.

      Depending on whether a RLMT was needed or not, the supporting documents are divided into two sections. When an RLMT was required or you have taken other steps to rule out displacement of a settled worker, you must keep the following documents:

      • Copy of job advertisement including the job title, location, duties and responsibilities, skills and experience needed, indication of the salary and application closing date
      • All applications shortlisted for final interview, mentioning the applicants’ details, such as their names, addresses, and dates of birth
      • Interview notes or other documentation for each settled worker, who was either rejected or did not accept the job offer, showing the reasons why they were not employed
      • Copy of national records that you searched while conducting the RLMT, if applicable
      • Proof that you have complied with the relevant creative sector code of practice while hiring through the Creative Worker route to confirm it will not displace a suitable settled worker (or any other relevant evidence where such a code does not exist)
      • A copy of the endorsement letter for the worker issued by the relevant sports governing body as well as all documents and information submitted with your application to obtain such endorsement, if you are hiring through the International Sportsperson route

      If an RLMT is not required, then you must keep:

      • Details of the job advertisement including a screenshot, printout or photocopy of the advert, or a record of the text, and information about where the job was advertised and for how long
      • The total number of applicants and the number of people shortlisted for further stages of the hiring process, e.g. an interview
      • Evidence of how you identified the most suitable candidate, such as interview notes, interview questionnaire common for all candidates, any scoring or grading process you used, or notes on why the successful candidate was selected and why others were rejected
      • If you did not place a job advert, then documentary evidence of how you selected the foreign worker for the said role, such as:
        • Evidence that you identified the worker through a university milk round
        • Documents showing that the worker was already legally working for you on another immigration route and you selected them for the concerned role based on their previous performance etc.

      Part 3: Salary Documents for Sponsored Workers

      • The worker’s payslips showing their name, NI number, tax code, any allowances paid and any deductions made
      • Evidence of the amount and frequency of salary payments made to the worker
      • An employment contract between the sponsoring employer and their sponsored employee, showing the names and signatures of both parties involved, the start and end dates of the contract, job description, working hours, and salary package
      • Evidence of the value of any allowances paid to the foreign worker as part of their salary package, unless that is already mentioned on their employment contract or payslips

      Part 4: Skill Level Proofs of Sponsored Workers

      • A detailed job description specifying the duties and responsibilities of the post(s) offered, including the required skills, qualifications and experience
      • Copies of documents which prove that the sponsored worker possesses the relevant qualifications and/or experience for the job, such as a degree certificate, reference letters from their previous employer(s) or any other documentary evidence to that effect
      • Copies of any registration/professional accreditation certificates and/or any confirmation letter the sponsored worker must possess to perform their job duties
      • Details of the sponsored worker’s technical or specialist skills, if they are coming to the UK under the Creative Worker route

      Part 5: Record Keeping Duties for Students

      • Copy of the foreign student’s current passport, showing any personal identity details including biometric information, visa stamps or immigration status document, including their leave to remain and entitlement to study with a licensed sponsor in the UK
      • Copy of their biometric residence permit (BRP) or eVisa
      • The student’s attendance or absence records
      • Past and present records of the student’s contact details in the UK, such as their residential address, landline and/or mobile telephone numbers, email IDs etc.
      • Copy of the foreign student’s ATAS certificate (or of the electronic approval notice received from the Foreign and Commonwealth Office) in case they require it for their course of study
      • Higher Education Providers (HEPs) endorsing an international student under the Tier 1 Start-up route are required to keep documentary proof of the selection process resulting in such endorsement
      • Details of the name of the foster carer and of the address where the foster carer and the student will be living, if the migrant is on a Child Student visa and is going to be in a private foster care arrangement in the UK
      • Copies, or originals where possible, of any documents reviewed by you as part of the process of issuing an acceptance letter to the foreign student

      How Long Should Sponsor Licence Holders Keep These Records?

      Appendix D requests an employer or educational institution to keep all documents related to their sponsored workers or students throughout the duration of their respective sponsorship period.

      In addition, such documents must be kept for either a year from the date on which a particular sponsorship ended or till the date on which a compliance officer has examined and approved those documents, whichever is earlier.

      Apart from the mandatory documents specified in Appendix D, an employer or education provider must also retain all documents that have been provided along with their Sponsor Licence application. Such documentary evidence must be retained for as long as they hold  Sponsor Licences.

      What Is the Prescribed Format for Keeping the Documents?

      UKVI has shown some leniency with regard to what format the documents must be kept in. A Sponsor Licence holder business or educational institution may retain either the physical paper copies of the relevant documents or their digital versions or a combination of both.

      However, regardless of whichever format you have stored your documents in, you must be able to make them available to the Home Office as and when requested.

      If you are an Irish company whose UK subsidiary or branch hires a considerable number of foreign workers, you may prefer to store the relevant documents in electronic format to facilitate the process of quickly retrieving and submitting them for Home Office inspection.

      Learn more about Appendix D and everything related to holding a sponsor licence in the UK. Contact Us

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        Sponsors’ Data Protection Obligations

        While retaining the mandatory documents for their sponsored foreign workers or students, employers and educational institutions in the UK must adhere to their data protection obligations as per the UK General Data Protection Regulation (GDPR) guidelines and the Data Protection Act 2018.

        You should refer to the Guide to the UK General Data Protection Regulations on the Information Commissioner’s Office website and the immigration exemption guidance, which discusses specific rights in the UK GDPR that can be restricted if they are likely to prejudice immigration rules.

        However, such exemptions can only be applied by the Secretary of State (including the Home Office and its agencies) and not by employers or educational institutions holding Sponsor Licences.

        Compliance Checks: What To Know

        The Home Office conducts occasional investigations to ensure that employers and education providers sponsoring workers and students are complying with their sponsor duties and responsibilities, of which record keeping is a key component.

        You, as an employer, may be subjected to either an online compliance check or an onsite compliance visit at any time while holding a valid sponsor licence or at the time of your licence renewal. Such visits from the Home Office officials may be announced or unannounced.

        It is, therefore, recommended to tackle the matter of document keeping as a daily task. Regular checks and reviews will ensure that your documents are in order as specified in Appendix D and help you be prepared for a compliance check, either online or in person.

        Failing to provide required documents to the Home Office when asked is considered a breach itself, and may result in a sponsor rating downgrade, a suspension or even a revocation of your licence.

        How Can IAS Help?

        Our team of expert immigration lawyers at IAS have the required knowledge and extensive experience in supporting companies and education providers with their Sponsorship Licences. We can assist you throughout the entire lifecycle of your sponsor licence, regardless of the complexities involved in your case.

        Being an Irish company in the UK, if you are looking for legal advice and/or assistance with your initial sponsor licence application or the day-to-day management of your sponsor duties, including record keeping as per Appendix D, we are here to help.

        To know more about the business immigration services we provide and/or to receive bespoke legal assistance, dial +353 061 518 025 today to speak with our team.

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                  Frequently Asked Questions

                  Only employers and education providers can act as sponsors to migrant workers and students, respectively. Individuals cannot obtain sponsor licences in the UK.

                  If you fail to comply with your sponsor licence duties, the Home Office may take several actions against you, including:

                  • Decrease your certificate of sponsorship allocation
                  • Downgrade your licence rating from ‘A’ to ‘B’, where you will not be allowed to sponsor any new workers until you have regained the A-rating
                  • Suspend your licence
                  • Revoke your licence
                  • Cancel your sponsored employees’ permission to remain in the UK
                  • Lodge a complaint with police or other relevant government departments if there is any indication that a criminal or civil offence has taken place
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