Referrals / Deferrals (RDF)

Guidance

RDF1 What is a referral?
RDF2 What is a deferral?
RDF3 When to refer an application?
RDF4 When to defer an application?
RDF5 How to refer/defer an application
RDF6 Who to refer/defer to
RDF7 What categories are mandatory referrals?
RDF8 Processing times for referrals and deferrals
RDF9 Referral/Deferral Proforma (v.20)
RDF10 Referral/Deferral process map

Further information

RDF1 What is a referral?

A referral is where an application is referred to either UK Border Agency (UKBA) Immigration Group or UKBA International Group (UKBAIG) Visa Services Directorate for a decision to be made on that application. Once a referral has been made then Posts cannot make any decision on that application and must wait until they get a response.

RDF2 What is a deferral?

A deferral is when Posts delay making a decision on an application because they require more information.

RDF3 When to refer an application?

Posts must refer certain categories of entry clearance applications to UKBA Immigration Group or UKBAIG Visa Services Directorate for a decision. The categories listed in RDF6 and RDF7 below are mandatory referrals. The ECO should normally decide all other applications, including those that have been deferred, unless the case is particularly unusual or difficult (e.g sole representative cases).

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.

An application which is a mandatorry referral on nationality grounds, can be refused locally if it does not meet the requirements of the Immigration Rules.

RDF4 When to defer an application?

Posts can defer an application when they require additional information either from the applicant, UKBA Immigration Group or UKBAIG Visa Services Directorate. Post will often ask for further information from Evidence and Enquiry (Immigration Group) who have access to all UKBA files.

Where posts require policy advice on an application, they should first send an email to the ECO Support mailbox.

RDF5 How to refer/defer an application

Post must:

complete a proforma in full and scan and attach all relevant documents (any incomplete referrals/deferrals will be returned to post);
send the referral/deferral through the HO London Referrals mail box (HoreferralsLon on the GAL) which is managed by the Entry Clearance Policy Team in the Visa Services Directorate;
note in the subject line of the email the section in UKBA to deal with the referral/deferral and the applicant's name and post reference;
attach VAF and interview notes (as a word document) and scan and attach any other relevant documents to the email other than BCU cases, which need to be sent by diplomatic bag to Business Case Unit, PO Box 3468, Sheffield, S3 8WA). If scanning is not possible, Post need to obtain authorisation from ECO Support to fax the documents, a maximum of 15 pages at a time (numbering each batch and stating on the covering fax sheet how many pages in total are being sent), to the relevant section in UKBA;
for cases outside of the Rules, highlight the main issues and why the case should be considered;
translate any foreign language documents and convert the currency into sterling;
have in place a referrals mailbox in order to receive replies;
check their mail boxes regularly and that all appropriate staff have access as this will avoid duplication of work;
use the 'bring up' system in Proviso for all cases referred/deferred; and
send chasers 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 UKBA, which is dealing with the case.

Where posts are requesting that a case should be looked at urgently, they must:

give the applicant's departure date;
copy their referral to the ECO support mail box putting "urgent HO referral", case type, and applicant's details in the subject line; and
explain why the case needs to be looked at quickly in the covering email.

RDF6 Who to refer/defer to

Referred Casework Unit (RCU) - All cases except EEA, Work Permit, HSMP, Business or nationality/Right of Abode must be referred where a decision is to be made outside the Immigration Rules including those mandatory referrals noted in RDF7 below. For example, referral should be made where an application falls outside the Immigration Rules but there are compelling, compassionate reasons to be considered.

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 in RDF7. All BCU referrals should be sent by bag to:

Business Case Unit
PO Box 3468
Sheffield
S3 8WA

EVIDENCE & ENQUIRY (E&E) - For information from UKBA files relating to an applicant or sponsor. Many UKBA files are substantial in size; posts should therefore be as specific as possible about what they actually need.

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

EURO CASEWORK - For all European related referrals/deferrals, i.e EEA FP. You need to address referrals and deferrals to 'Euro Casework'.

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

RDF7 What categories are mandatory referrals?

Referred Casework Unit (RCU)

All applications which do not fall within the Rules. These will include:

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 do not yet have ILR.
Relatives of persons with Refugee status who do not meet the requirements of Paragraph 352A, 352AA and 352D, where the ECO is satisfied that there are compelling compassionate reasons for applications to be considered outside the Immigration Rules.
Dependants of a person with Exceptional or Discretionary leave to remain (ELR or DLR) who have yet to obtain their ILR (Chapter 16).
Persons exercising the right of access to a child (VAT23).
Former Foreign National Prisoners (FNPs) where an entry clearance may be appropriate.
Appeals allowed only on Human Rights grounds (APL2).

BCU

Investors
Setting up a business
Innovators
Concessions for lawyers, barrister and Consultants in Overseas Law, (see Chapter 18)

VISA SERVICES DIRECTORATE
Border Management:

Nationality referrals

Entry Clearance Policy Team:

Any application where posts 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 form of acceptable identification;
Surrogacy cases;
High profile cases;
Adoption cases requiring referral to DCSF.

RDF8 Processing times for referrals and deferrals

UKBA headquarters will confirm receipt of a referral or deferral within 2 working days. They will give the following information:

date of receipt;
UKBA number;
expected date of reply; and
contact details of a UKBA rep to be contacted under exceptional or urgent circumstances not for routine chasers.

UKBA headquarters will deal with a referral within 20 days and a deferral within 10 days from confirming receipt as long as Post has given all the necessary information. For deferrals, headquarters will note in the 'decision section' of the pro forma when the documents were sent to Post. For referrals, they will note in the 'decision section':

when action was taken; and
what action was taken (grant, refusal).

UKBA headquarters will send replies by e-mail to Posts' referrals mailbox. Posts must therefore regularly check these accounts. Posts should use the 'Bring Up' option on Proviso, and send a chaser email to the HO Referrals mail box, copied to the ECO Support mailbox where UKBA has not replied within the deadline.

Post must acknowledge receipt of UKBA's decision, through the HO Referrals mailbox, using the 'acknowledgement to UKBA' section on the pro forma. This gives an audit trail.

RDF9 Referral/Deferral Proforma (v.20)

Referral/Deferral Proforma (v.20)