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Immigration Compliance:
Reducing the Cost and Fear of Conducting Internal Audits
Lynden D. MelmedPartner
Berry Appleman & Leiden LLP
June 2015
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About BAL
35Years
Immigration Experience
90+ Attorneys Solicitors
Immigration Managers
575+Employees
AMERICAS
EMEA
ASIA PACIFIC
Impediments to Internal Audits
CostCost
TimeTime
FearFear
Traditional Audit Triggers
Government Investigations
Internal Employee Complaint(s)
Private Party Litigation
Future: Proactive Audits
Vendor requirements and credibility
SEC/Investor obligations
C-Suite inquiries
Establish credibility with government
Program enhancement
Benefit: Control the Scope of the Inquiry
Narrow the topic (i.e. visa category) that is reviewed
Limit the facts (i.e. files or people) that are reviewed
Spread out your review (i.e. review different parts of program in different years)
Benefit: Control Who is Involved
Identify internal partners who will work collaboratively
Minimize risk that derogatory information will go beyond necessary parties
Reduce timeframe to conduct the audit
Benefit: Protect Company
Counsel should play key role in creation of any document (preserve attorney-client privilege)
Control format of audit results (written, verbal, level of detail)
Include remedial steps in audit results
Sample Audit: Short-Term Business Travelers
Goals:
Start to finish: 3 weeks
Budget: price of a green card (i.e. <10k USD)
Validate whether employees are complying
with short-term travel rules
Identify weaknesses in company policies or
procedures
Sample Audit: Short-Term Business Travelers
Step #1: Scope
Establish attorney role to best protect privilege
Identify destination country
Pull internal policy and process documents
Randomly select travelers (10-15)
Sample Audit: Short-Term Business Travelers
Step #2: Factual Review
Telephone interview of business travelersReview individual travel documents, if any (i.e.
invitation letters)Review payroll recordsCommunicate with managers
Sample Audit: Short-Term Business Travelers
Step #3: Policy Review
Analyze the written policy and process document to determine whether gaps are addressed
Determine whether employees and managers were aware of policies (i.e. training and education)
Sample Audit: Short-Term Business Travelers
Step #4: Report
Summary or detailed written report
May include remedial actions taken or planned
Careful dissemination
Telephone/In-person Briefing
Conclusion
• Fastest, cheapest and easiest way to elevate your global immigration program.
• Peace of mind in the event there is a government investigation or internal complaint.
• Supports your business partners by establishing and maintaining credibility
