Appendix D: Sponsor Record Keeping Guidance

What is Appendix D?

Appendix D is part of the Home Office sponsor guidance. It sets out the record-keeping duties that sponsor licence holders must meet for every worker they sponsor. It lists the documents you must keep, how long you must keep them, and what happens if you fail to keep them.

Appendix D applies to sponsors under both the Worker and Temporary Worker route categories. Worker routes include Skilled Worker, Global Business Mobility (Senior or Specialist Worker, Minister of Religion, and International Sportsperson). Temporary Worker routes include Charity Worker, Creative Worker, the other Global Business Mobility routes, Government Authorised Exchange, International Agreement, Religious Worker, Scale-up, and Seasonal Worker.

Records can be kept as paper copies or in an electronic format. There is no prescribed method of storage, but you must be able to make the records available to the Home Office on request. Sponsors must also comply with their data protection obligations under the Data Protection Act 2018 and UK GDPR when retaining workers’ records.

Record-keeping duties for Student and Child Student sponsors are set out separately in the Sponsorship Duties section of the Student sponsor guidance, rather than in Appendix D.

What documents must sponsors keep under Appendix D?

Sponsor licence holders must keep documents in the following areas:

• Right to work evidence
• Sponsored worker’s date of entry evidence (where relevant)
• Recruitment evidence
• Salary and payment evidence
• Skill level evidence
• Additional evidence

The exact documents you need to keep depend on the worker’s route, role, and individual circumstances. The subsections below explain each area and give examples of the evidence usually required.

Right to work evidence

Sponsor licence holders must keep evidence that they have carried out right to work checks for every worker they employ, whether or not that worker is sponsored, and for every worker they sponsor, even if they are not that worker’s direct employer. These checks must be carried out before the worker starts work.

The duty to check every sponsored worker, even where the sponsor is not the direct employer, can apply to corporate groups. For example, A Group holds the sponsor licence, but the worker is employed by B Ltd, a company within the same corporate group. B Ltd must carry out the right to work check because it is the employer. A Group must still keep evidence that the check has been carried out. It can either obtain a copy of B Ltd’s right to work check, or carry out its own right to work check.

Sponsored worker’s date of entry evidence (where relevant)

Sponsors must check and retain evidence of a sponsored worker’s date of entry to the UK where the worker’s current or claimed permission resulted from a grant of entry clearance, and the sponsor sponsored that entry clearance application. For example, a worker applies overseas for a Skilled Worker visa sponsored by you, and then enters the UK on that visa.

This entry date check is not required where the worker has been granted, or is applying for, permission to stay in the UK, including extensions or switching applications made from within the UK. However, the sponsor must still carry out the standard right to work check in these cases.

Sponsors should normally keep a copy of the page in the worker’s passport showing the entry stamp, or, where the worker holds an eVisa only, a copy of the page showing the entry stamp endorsed on a blank page of the passport or travel document. Where the worker does not have an entry stamp, sponsors must still check the worker’s eVisa or vignette alongside evidence of travel to the UK, and make (though not necessarily retain) a record of the date of entry.

Recruitment evidence

Sponsors must be able to show how they recruited each sponsored worker. The records required depend on whether the role was subject to a formal resident labour market test, such as under the Tier 2 (General) route in place before 1 December 2020. This helps the Home Office assess whether the sponsored role meets the eligibility requirements.

Appendix D contains a very detailed list of evidence depending on the worker’s route, covering both roles where a formal resident labour market test was required and roles where it was not. If you find this difficult to navigate, contact our immigration lawyers for tailored advice. This article summarises the example documents sponsors must keep as recruitment evidence where no formal resident labour market test was required, such as for a Skilled Worker visa sponsored after December 2020, as this is more relevant to most sponsors now.

Where no formal resident labour market test was required, sponsors should keep the following evidence:

• If the role was advertised: details of any advertisements placed, including a screenshot, printout, or photocopy of the advert, or a record of the text of the advert, along with information about where the job was advertised and for how long
• A record of the number of people who applied for the job, and the number shortlisted for interview or other stages of the recruitment process
• At least one other item of evidence showing how the most suitable candidate was identified, such as interview notes for the successful candidate, a list of common interview questions, notes on why the successful candidate was chosen and others rejected, or details of any scoring or grading process used
• If the role was not advertised: an explanation, and where practicable evidence, of how the sponsor identified that the worker was suitable, for example through a university milk round, prior legal employment on another route, or a speculative application supported by interview or reference checks

Sponsors are not required to retain application forms, CVs, or interview notes relating to unsuccessful candidates.

Salary and payment evidence

Sponsors must keep records showing that each sponsored worker is being paid in line with the salary and other details stated on their Certificate of Sponsorship, and in accordance with the relevant sponsor guidance.

The required salary records include:

• Payslips: showing the worker’s name, National Insurance number, tax code, any allowances paid, and deductions made. For LLP members, this includes evidence of drawings and profit share
• Evidence of salary payment: showing the amount and frequency of all payments made to the worker, and the transfer of each payment into the worker’s named bank account or pre-paid card
• Employment or service contracts: a copy of the contract of employment or for services, or a written statement of employment particulars, showing the names and signatures of the parties, the start and end dates, details of the job, the working hours, and an indication of pay
• Evidence of allowances: where the worker receives allowances as part of their salary package, evidence of the value of those allowances, unless this is already clearly shown in the contract or payslips

Allowances do not usually count towards the salary threshold or going rate for Skilled Worker sponsorship, unless an exception applies.

Skill level evidence

Sponsors must keep the following evidence related to the skill level of sponsored workers:

• A detailed job description outlining the duties, responsibilities, skills, qualifications, and experience required for the post
• Copies of any relevant qualifications the worker holds to confirm their skill level, such as a degree certificate, or other evidence of relevant experience, such as references from a previous employer
• Copies of any registration, professional accreditation, or confirmation letters the worker needs to do their job, for example proof of registration with the General Medical Council for a doctor

Where the job advert stated that a qualification was mandatory, the sponsor must keep evidence that the sponsored worker holds that qualification. If the sponsor decides to waive that requirement for a particular worker, it must retain detailed reasons for doing so.

Additional evidence

Most sponsors need to provide the following additional evidence:

• A copy of the worker’s National Insurance number, unless they are exempt from requiring one
• A history of the worker’s contact details, including their UK residential address, personal email address, and telephone number, kept up to date
• A copy of the worker’s Disclosure and Barring Service check, where required for their role
• A record of the worker’s absences

There are also route-specific documents. For example, International Sportsperson sponsors must keep a copy of the worker’s endorsement letter from the relevant sports governing body, and Global Business Mobility – Secondment Worker sponsors must keep a copy of the relevant investment agreement or contract.

How long do sponsors need to keep those documents?

Sponsors must keep documents relating to sponsored workers throughout the sponsorship period and until whichever is earlier: one year after sponsorship ends, or the date a compliance officer has examined and approved the records, where this is less than one year after sponsorship ends.

Some records have different or longer retention requirements. This includes International Sportsperson endorsement letters and supporting endorsement-application documents, which must be retained for two years after the endorsement expires. Some Appendix D records may also need to be retained for longer to meet other legal record-keeping duties, such as legislation on preventing illegal working.

In addition to the documents required under Appendix D, sponsors must keep the documents provided with their application to become a licensed sponsor for as long as they hold a sponsor licence.

What happens if sponsors failed to keep those documents?

If sponsors fail to keep the records required under Appendix D, the Home Office may take compliance action against them. This can include downgrading the sponsor’s licence rating, suspending the licence while further checks are carried out, or, in more serious cases, revoking the licence altogether. The Home Office may also reduce or remove a sponsor’s ability to assign further Certificates of Sponsorship while these issues are addressed.

Reference:

GOV.UK: Workers and Temporary Workers: guidance for sponsors – Appendix D: record-keeping duties