Chapter 25 - Referrals/Deferrals  

25.1	Referrals and Deferrals, what they are and when to use them
25.2	How to refer/defer to the UK Border Agency
25.3	Who to refer/defer to
25.4	Categories where referral is mandatory and to whom to refer [Updated]
25.5	Service level Agreements

Annexes

25.1	Referral / Deferral Proforma (v.20)
25.2	New referral/deferral procedures (July 07)
25.3	Revised referral/deferral process map [updated 21 July 2008]

Chapter 25 - Referrals/Deferrals

25.1 - Referrals and Deferrals, what they are and when to use them
A referral is where an application is referred to either the UK Border Agency (BIA) or

UK Border Agency, Visa Services Directorate for a decision to be made on that application. Once a referral has been made then post cannot make any decision on that application and must wait until they get a response to their referral.

Certain categories of entry clearance applications must be referred to the UK Border Agency, Visa Services Directorate for a decision. These are mandatory referrals, see 25.4. In certain cases referral is optional. All other applications, including those that have been deferred, should be decided by the ECO at post.

Posts should not use the referral procedure solely as a means of passing the responsibility for a decision in a difficult case to London. To refer a case which can be decided locally wastes resources and delays decision making.

If an application that is a mandatory referral on nationality grounds does not meet the requirements of the Immigration Rules, then a referral is not required and the application can be refused.

A deferral is where post require additional information either from the applicant, the UK Border Agency or

UK Border Agency, Visa Services Directorate in order to assist in making a correct decision. This is often in the form of asking for further evidence from Evidence and Enquiry who have access to all Home Office files.

Where posts require policy advice on an application, an email should in the first instance be sent to the ECO Support mail box.

25.2 - How to refer/defer
The proforma at Annex 1 should be used when making a referral or deferral to the UK Border Agency. All referrals/deferrals are sent through the HO London Referrals mail box (HOreferralsLon). This is managed by the Entry Clearance Policy Team in

UK Border Agency, Visa Services Directorate. The section in the UK Border Agency that the referral or deferral is for should be noted in the subject line of the email. All documents should be scanned and attached to this email where possible. If this is not possible, documents should be faxed to the relevant section in the UK Border Agency, with the exception of Business Case Unit (BCU) referrals where all referrals should be sent by diplomatic bag (see 25.3 for mailing address). Posts should only send documents that are relevant to the referral/deferral and care should be taken not to send duplicates. Any foreign language documents should be accompanied by a translation and currencies converted to Sterling. In order for the UK Border Agency to meet the service level agreements, see section 25.5. It is essential that all the required documents are included in the referral/deferral.

Where posts are requesting that a case be looked at urgently, they should copy their referral to the ECO support mail box putting "urgent HO referral", case type, and applicants' details in the subject line. An explanation as to why the case needs to be looked at expeditiously should be in the covering email.

All posts should have in place a referrals mailbox in order to receive replies. Posts must ensure that these boxes are checked regularly and that all appropriate staff has access as this will avoid duplication of work. Posts should use the "bring up" system on Proviso for all cases referred/deferred. Where a chaser is required this should be sent to the HO referrals mailbox in the first instance and copied to the ECO support mailbox. Chasers should not be sent directly to the section in the UK Border Agency which is dealing with the case.

The UK Border Agency will acknowledge receipt of all referrals/deferrals by email. Once a response has been received, posts should send an acknowledgement to the HO referrals mailbox so that the UK Border Agency can keep an audit trail of all work undertaken on behalf of posts.

25.3 - Who to refer/defer to
NON CHARGED CASEWORK 2 (NCC2) - All cases where a decision is to be made outside the Immigration Rules and those mandatory referrals noted in 25.3.

BUSINESS CASE UNIT (BCU) - Any applications on business related entry clearance where an application is complicated or falls outside the Immigration Rules, and those mandatory referrals noted at 25.3. All BCU referrals should be sent by bag to:

Business Case Unit
PO Box 3468
Sheffield
S3 8WA

EVIDENCE & ENQUIRY (E & E) - For information relating to an applicant or sponsor's previous immigration history. Many Home Office files are substantial in size. Posts should therefore be as specific as possible about what they actually need.

WORK PERMITS UK - Referrals on work related issues that are not covered by Business Case Unit, such as ECAA and HSMP.

EURO CASEWORK - For all European related referrals, i.e. EE FP.

ASU - For information on sponsors who hold refugee status, this information can also be obtained from Evidence & Enquiry.

25.4 - Categories where referral is mandatory and to whom to refer [Updated]

NCC2

• Dependants of persons with Humanitarian Leave to Remain (HLR) that was granted pre 30 August 2005
• Dependants of persons with Humanitarian Leave or Discretionary Leave who does not yet have ILR.
• Relatives or persons with Refugee status who do not meet the requirements of Paragraphs 352A, 352AA and 352d, where there are claimed to be compelling compassionate reasons for applications to be considered outside the Immigration Rules.
• Persons exercising the right of access to a child, Chapter 10.
• Former Foreign National Prisoners (FNPs) where an entry clearance may be appropriate.

BCU

• Investors
• Setting up a business
• Innovators
• Concessions for lawyers, barristers and Consultants in Overseas Law, ss Chapter 18.

UK Border Agency, Visa Services Directorate

Border Management:

• Nationality referrals (see AECIP 140/04)

Entry Clearance Policy Team:

• Any application where post are considering refusing on non-conducive grounds
• Witnesses to attend trial in the UK
• Issuance of EU UFF to persons who do not hold another of acceptable identification
• Surrogacy cases
• High Profile Cases
• Adoption cases requiring referral to the DfES

25.5 - Service Level Agreements
Following a recent review of the referral process, new service level agreements have been agreed for the response to referral and deferrals being sent to the various departments within the UK Border Agency.

UK Border Agency now aim to complete all referrals within 20 days of acknowledging receipt and 10 days for deferrals for further information. Where this deadline will not be met, a holding response will be sent explaining the reasons for the delay.