Right to Work Compliance Audit — Find the Gaps Before the Home Office Does
A right to work compliance audit is a review of your personnel records and hiring processes to establish whether you actually hold a statutory excuse for each worker — and to fix it where you do not. A statutory excuse is the only complete defence to an illegal working civil penalty, and it is established by carrying out the correct check, in the correct way, before employment starts. Employers most often discover the gaps when the Home Office does. This audit is designed to find them first.
Who this audit is for
If you have not had a penalty. Prevention costs a fraction of a defence, and a small fraction of a penalty at £45,000 per worker. An audit tells you where your statutory excuse is missing or defective while there is still time to correct it.
If you have just been through a penalty. The notice dealt with the workers the Home Office found. It did not deal with everyone else on your payroll, and it did not fix the process that produced the gap. Post-penalty repair is about the workers who were not named and the system that let it happen.
The service is suitable for businesses of any size, including sponsor-licence holders, regulated care providers, hospitality businesses, professional practices and employers with a mixed workforce. We tailor the sample and reporting to your headcount, risk profile and the records you actually hold.
What we review
1. Personnel file sampling
A review of a proportionate sample of worker files, including documents, online-check evidence, dates and records of how each check was completed.
2. The digital check process
Whether online checks, share codes and any permitted identity-service checks are being used for the right workers and recorded in a way that can be produced later.
3. Statutory excuse verification
Whether the material on file is capable of establishing a statutory excuse, and which files need corrective action or legal advice.
4. Follow-up date tracking
Whether time-limited permission is diarised and re-checked before it expires. One of the most common failure points.
5. Policies and HR process
How checks are allocated, completed, escalated and retained from recruitment through to the end of employment.
6. Sponsor overlay
Where you hold a sponsor licence, we identify points at which right to work compliance, sponsored-worker records and sponsor duties overlap.
Already facing Home Office action?
If a penalty notice has arrived, an audit is not a substitute for dealing with the live deadline. Start with our civil penalty defence service. If you hold a sponsor licence and want a wider review of sponsor records and reporting, see our Sponsor Licence Health Check.
What you receive
- A written report identifying each gap, file by file, and explaining why it matters.
- A corrective action plan that separates urgent legal issues from practical process improvements.
- Optional management or HR training so the people carrying out checks understand the correct process and the evidence that must be retained.
The purpose is not simply to produce a list of faults. It is to leave your business with a clear record of what was reviewed, what must change and who should take each action.
How the audit works
| Stage | What happens | What you know afterwards |
|---|---|---|
| 1. Scope | We confirm headcount, workforce profile, sponsor status and the sample required. | The fixed fee, documents needed and timetable. |
| 2. Review | We examine the agreed records and your current checking process. | Which files support a statutory excuse and where evidence is missing or defective. |
| 3. Report | We provide findings ranked by urgency with a corrective action plan. | What to fix first, what to retain and what needs individual legal advice. |
| 4. Implementation | If included, we answer management questions and train the relevant team. | A more consistent process for future checks and follow-up dates. |
What an audit costs
We work on fixed fees, agreed in writing before we start. The fee depends on the number of personnel files to be reviewed, whether you hold a sponsor licence, and whether you want the training session included.
Call 0203 524 5439 or email admin@nalawsolicitors.co.uk with your headcount and we will scope it and quote a fixed fee.
Right to work audit questions
Does an audit guarantee that the Home Office cannot issue a penalty?
No. An audit identifies the records and process available at the time of review. It cannot rewrite the history of a check or prevent the Home Office investigating. Its value is in identifying risk early, preserving evidence and creating a practical corrective plan.
Can a missing check simply be completed now?
A current check may be important for ongoing compliance, but it does not automatically create a statutory excuse for an earlier period. We distinguish between current corrective action and the evidence relevant to past employment.
Will every personnel file be reviewed?
That depends on the agreed scope and your headcount. Some employers need a full review; others use a risk-based sample. We confirm the approach and fixed fee before work begins.
What should we prepare?
Usually the relevant personnel files, copies or digital records of right to work checks, follow-up dates, policies, training materials and details of who completes and supervises checks. We send a tailored document list once the scope is agreed.
Can the audit cover sponsored workers?
Yes. Where you hold a sponsor licence, the audit can identify overlap with sponsor records and duties. A wider sponsor-system review may be better handled through our dedicated Sponsor Licence Health Check.
What if a serious issue is found?
We explain the issue, the available evidence and the steps that can lawfully be taken. If there is a live Home Office deadline or a worker-specific legal issue, we will identify that separately from the general audit work.
Arrange a right to work compliance audit
Tell us your approximate headcount, whether you hold a sponsor licence and whether there has been any Home Office contact. We will confirm the appropriate scope and next step.
NA Law Solicitors is authorised and regulated by the Solicitors Regulation Authority, SRA No. 645049. Office: 8 Kew Bridge Road, Brentford, TW8 0FD. This page provides general information and is not a substitute for advice on your circumstances.