Authorising Officer - Sponsorship Licence

Authorising Officer: Key Personnel for Home Office Sponsorship Licences

When applying for a Home Office sponsor licence, it is important to understand the Authorising Officer’s (AO) role and responsibilities. Equally, to retain your company’s sponsor licence, you and your team must be familiar with the AO’s responsibilities and requirements.

The Authorising Officer is the most senior person within the organisation responsible for recruiting migrant workers and ensuring compliance with sponsor duties.

The AO must be a paid member of staff or office-holder (i.e. company director) based in the UK. However, there are certain criteria that must be met, and individuals with certain criminal convictions or non-compliance history are not eligible to be an Authorising Officer.

But have you ever wondered who can be an Authorising Officer? Are there any exceptions to the eligibility criteria? Let’s dive deeper into the requirements and explore the possibilities.

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What Is An Authorising Officer?

During the application process for a sponsor licence, it’s necessary to designate specific key personnel who will oversee the sponsorship process, including the nomination of an Authorising Officer.

An AO plays a pivotal role in the UK Home Office Sponsor Licence system, acting as the main point of contact between the sponsoring organisation and the Home Office. This individual is responsible for managing and overseeing the sponsorship process, ensuring that the organisation complies with all the legal requirements set forth by the Home Office.

The appointee must be someone within the organisation who is well-versed in the sponsorship duties and capable of ensuring adherence to immigration laws and regulations. The role demands a thorough understanding of the Sponsor Management System (SMS), as it’s the tool through which the organisation reports any changes, assigns Certificates of Sponsorship (CoS) which are like an online work permit, and manages their sponsorship duties.

When considering someone as an Authorising Officer, it’s crucial to assess their reliability, understanding of legal compliance, and capacity to keep abreast of any changes in immigration policies that may affect the organisation. The person chosen to be the AO typically holds a senior position within the company, demonstrating an ability to make authoritative decisions and effectively oversee Home Office sponsorship duties.

Overall, the Authorising Officer is fundamental to the integrity and success of the Home Office sponsorship licence, making it essential for organisations to carefully select a candidate who not only meets the Home Office’s criteria but also possesses the organisational understanding to manage this crucial aspect of workforce planning.

Who Can Be An Authorising Officer?

To be eligible for this role, specific criteria must be met. In most cases, the Authorising Officer must be the most senior person in the organisation responsible for recruitment and compliance. This ensures that the individual has the authority and knowledge to fulfil their duties effectively.

Must be UK-based and resident: They must be permanently based in the UK throughout their time as the Authorising Officer and have permission to live and work in the UK. This applies even if your UK company is a subsidiary or branch of an overseas company and your HR function is outside the UK; UK-based personnel should still be appointed to the sponsor licence roles.

Generally, a paid employee or an office holder: Office holders might include the Company Secretary, Directors, and company owners. The Authorising Officer cannot be a legal representative, a contractor or a consultant hired for a specific project or legally prohibited from being a Company Director.

Who Can’t Be An Authorising Officer?

When applying for a sponsor licence or looking to change your personnel, it is crucial to understand the eligibility criteria for the Authorising Officer role. Specific individuals are not qualified to assume this position, as the Home Office carefully evaluates their background and suitability during the sponsor licence application process or when personnel changes are requested.

Absence of criminal convictions or immigration breaches: They should be free from any unspent criminal convictions, bankruptcy, or debt relief restrictions. Past failures in carrying out sponsorship duties or convictions for immigration offences, fraud, money laundering, or failure to pay VAT can put a licence at risk.

If the nominated person has been associated with a sponsor organisation whose licence has been revoked within the last 12 months or a licence application was refused within the last six months where they were named the Authorising Officer, your sponsor licence application can be refused.

Authorising Officer Duties & Responsibilities

The Authorising Officer is pivotal in recruiting migrant workers and ensuring compliance with sponsor duties within the sponsoring organisation. They have overall responsibility for these key areas:

Recruitment of Migrant Workers: The Authorising Officer is responsible for overseeing the recruitment process, ensuring that all necessary checks, including right to work checks, are carried out in compliance with immigration regulations. They must ensure that all recruited workers have the required visas and permissions to work in the UK.
Sponsor Duties: It is the duty of the Authorising Officer to ensure that the sponsoring organisation fulfils all its obligations as a sponsor, as outlined by the Home Office. This includes keeping accurate records of sponsored workers, reporting any changes or updates to the Home Office, and ensuring compliance with all relevant immigration rules and regulations.
Monitoring and Reporting: The Authorising Officer must actively monitor each individual’s activities using the sponsorship management system (SMS), the online portal provided by the Home Office for managing sponsorship duties. The AO must also report any relevant changes promptly, such as changes to job roles, salary, or working hours of sponsored workers.
SMS Management: The Authorising Officer is responsible for deciding how many staff members within the organisation should have access to the sponsorship management system (SMS) and their permission level. This involves granting or revoking access to the system, managing user permissions, and ensuring the SMS’s security.

By fulfilling these duties, the Authorising Officer plays a crucial role in maintaining a compliant and successful sponsorship program for recruiting migrant workers.

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Does An Authorising Officer Have Access To The SMS?

The role of an Authorising Officer is critical in managing a sponsor licence, but access to the Sponsorship Management System (SMS) is not automatic. To access the SMS, the Authorising Officer must also be appointed as an SMS Level 1 User. This designation allows them to perform day-to-day management tasks using the SMS.

SMS Access and Level 1 Users

Level 1 Users manage the sponsor’s day-to-day sponsorship activities. They can be the same person as the Authorising Officer or a different employee, director, or partner. Initially, a sponsor can nominate only one Level 1 User during the licence application, who must be directly associated with the organisation.

After obtaining a licence, additional Level 1 Users can be nominated via SMS. The Home Office checks new Level 1 Users, including reviewing Home Office records and the police national computer. Regulated immigration advisors may be appointed as additional Level 1 user; in doing so, they can manage the SMS and reporting duties on the sponsoring organisation’s behalf.

Criteria of Level 1 Users:

Must be UK-based and resident: The requirements are the same as for the Authorising Officer above.
Absence of criminal convictions or immigration breaches: The requirements are the same as for the Authorising Officer above.
Requirement for UK-settled workers: At least one Level 1 User who is an employee, director or partner of the organisation must be a settled worker. For example, a British or Irish citizen, a person with Settled Status or Indefinite Leave to Remain (ILR).
Generally, a paid employee or an office holder: The requirements are the same as for the Authorising Officer above. Additional Level 1 users can be UK-based legal representatives regulated by the OISC or SRA.

While it’s important not to have too many Level 1 Users (as the Authorising Officer is responsible for their actions), there should be enough to cover during leave and sickness. A sponsor must always have at least one Level 1 User; failing to do so can lead to licence revocation, as it’s impossible to meet sponsorship duties without one.

Level 2 User

Level 2 Users have limited access to the SMS compared to Level 1 Users, the criteria is therefore less restrictive. They can create and assign a CoS and report activities to the Home Office regarding workers they have sponsored or who have been transferred to them by a Level 1 User.

A Level 2 User can be:	A Level 2 User must not be:
A paid staff member or office holder within the organisation.	A contractor.
An employee of a third-party organisation managing part or all the HR functions.	A consultant hired for a specific project.
A temporary staff member from an employment agency.	An undischarged bankrupt.
A UK-based representative.

The number of SMS users needed depends on the scale and complexity of the sponsoring organisation.

How To Report A Change In Authorising Officer

If the Authorising Officer is leaving the organisation, it is crucial to find a replacement immediately. Reporting a change in the Authorising Officer requires navigating the ‘Request changes to licence details’ on the Sponsorship Management System (SMS). As an authorised SMS Level 1 User, you must complete all mandatory fields with the personal details of the replacement Authorising Officer and submit the request.

After completing the submission, you must print the submission sheet, complete it with the necessary details, and send it to the Home Office along with any supporting documentation. A regulated immigration adviser with access to the SMS can request the change of AO on the organisation’s behalf to ensure everything is done correctly and in the stipulated timeframe.

The change of AO must be reported within 10 working days of taking effect, i.e., when your existing Authorising Officer leaves the organisation or moves to a new role.

You can track the progress and outcome of the request by accessing the SMS. This will ensure you stay informed about any updates or changes related to replacing the Authorising Officer. The Home Office should send the new Authorising Officer a letter once the change has been completed. The SMS should then be checked to ensure the personal details are updated on the ‘licence summary’ page.

Authorising Officer Compliance Breaches

Failure to comply with sponsor duties can have serious consequences for the sponsor licence holder, including potential revocation, suspension, or downgrade of the licence. These breaches can occur by the Authorising Officer and any authorised users within the organisation.

Revocation of the licence is typically reserved for cases involving serious or systematic breaches that pose a significant threat to immigration control. In such instances, the Home Office may determine that the sponsor licence holder can no longer be trusted to comply with their sponsor duties.

In some cases, the sponsor licence may be downgraded instead of revocation. This downgrade comes with a time-limited action plan and associated costs. It serves as a warning and an opportunity for the sponsor licence holder to rectify their compliance issues and demonstrate their commitment to meeting their sponsor duties.

Another consequence of non-compliance with sponsor duties is the potential for civil penalties. If an employer is found to be employing illegal workers due to their failure to comply with right to work checks, they may face civil penalties which can significantly impact their financial resources.

Consequences of Authorising Officer Compliance Breaches

Consequences	Description
Revocation of Licence	The sponsor licence is completely revoked, making it illegal for the organisation to continue employing migrant workers. Your sponsored worker’s visas are curtailed, forcing them to find another sponsor, change immigration category or leave the UK. The impact on business continuity will likely be significant. In addition, the Home Office often publishes offenders, which can cause major reputational damage to the organisation.
Downgrade of Licence	The sponsor licence is downgraded, leading to a time-limited action plan and additional costs for the organisation. You may struggle to retain sponsored workers as they move to new sponsors for greater security of their immigration status and right to live in the UK.
Civil Penalties	The organisation may face financial penalties and reputational damage for employing illegal workers due to non-compliance with right to work checks. Fines are now up to £60,000 per illegal worker for repeat offenders.

Immtell Provides Expert Authorising Officer and Sponsor Licence Help

At Immtell, we pride ourselves on being regulated UK immigration advisers with over two decades of experience, including significant expertise working with the Home Office. We offer comprehensive guidance and support to ensure your organisation’s compliance and success with sponsor licence applications and duties. Our services include:

Experienced Authorising Officer and Level Personnel: Supplying experienced British and Settled individuals to fill roles such as Authorising Officer (AO) and Level 1 User, ensuring your organisation has knowledgeable personnel to maintain compliance and safeguard your licence.
Sponsor Licence Applications: Full guidance and support throughout the application process to secure your sponsor licence.
Sponsor Duties and Compliance: Assistance with maintaining compliance through mock Home Office compliance audits, ensuring your organisation adheres to all necessary regulations.
Policy and Procedure Review: Drafting and reviewing policies to align with Home Office sponsor duties, minimising the risk of non-compliance.
Business Support Services: Helping with company setup, bank statements, business plans, and more to ensure your organisation is fully prepared for growth and success.
Self-Sponsorship Visa Pathway: We provide fill support for those looking to utilise the Skilled Worker visa under the UK Self-Sponsored visa pathway – including providing a British or settled person to meet the Authorising Officer and Level 1 user requirement.

How We Can Help

Let Immtell be your one-stop shop for all your UK immigration and business support needs. Our tailored services are designed to provide your organisation with the expertise and peace of mind necessary to navigate the complexities of Home Office sponsor duties and compliance. By partnering with us, you reduce non-compliance risk, avoid potential business disruptions, and set a solid foundation for future growth. Contact Us today or call +44 20 3910 6641.