Introduction
In response to significant feedback from the caseworking teams, as well
as from our customers, from August 2009 a flexible process was adopted
allowing PBS caseworkers to invite sponsors and migrants to correct
minor errors or omissions in applications both main and dependant
submitted under Tiers 1, 2, 4 and 5.
The instruction enabled caseworkers to query details or request further
information, such as a missing wage slip or bank statement from a
sequence. Three working days was given to the customer to provide the
requested information.
This instruction only applied to cases which would be refused solely on
the absence of a piece of evidence or information. Where the application
would fall for refusal even if the missing evidence was submitted, a
request to submit this further information would not be made.
The introduction of this instruction resulted in a reduced refusal rate.
However, those that fell for refusal where multiple pieces of information
were missing were often successful on appeal.
Following analysis of allowed appeals and feedback from the National
Audit Office (NAO) and Chief Inspector (CI), the original Evidential
Flexibility instruction has been reviewed to meet the recommendations
put forward in these reports whilst continuing to provide improved levels
customer service.
As such, there have been two significant changes to the original
Evidential Flexibility instruction:
1) The time given to applicants to produce additional evidence has been
increased from three working days to seven working days; and
2) There is
now no limit on the amount of information that can be
requested from the applicant. However, requests for information should
not be speculative, we must have sufficient reason to believe that any
evidence requested exists.
The evidence requested must only relate to the attributes, not general
immigration issues or validation.
NOTE:
Although deadlines will be given for customers to respond
to our request for further information, if additional information is
received within UKBA (not necessarily by the relevant case owner)
prior to the case being despatched this must be taken into account
by the caseworker. This applies even if a refusal decision has been
completed but the case has not been despatched on CID.
Procedure
This procedure describes the steps to take when an application has
missing evidence or there is a minor error.
Step
Action
1
Is there missing evidence, or evidence that is not in an acceptable format?
If:
Yes – Go to step 2
link to page 8
EVIDENTIAL FLEXIBILITY
No - The case should be considered as normal. The Evidential
Flexibility instruction should not be applied.
2
Would the application fall for refusal even if the missing information was provided, or minor
error corrected?
An example of this may be where the applicant has failed to provide sufficient evidence to
demonstrate that they meet the requirements of the Maintenance (funds) attribute, but in
addition has not declared on their application that they have a conviction which is not spent.
Additionally, if there are any reasonable doubts over the information currently held that would
cause caseworkers to seek further verification, this should take place prior to any request for
further evidence. <Section 31(1) (e)>
If:
No - Go to step 3
Yes - Evidence cannot be requested. The application should be refused. All grounds
should be included including any attributes where there was any missing evidence or
minor errors.
3
We will only go out for additional information in certain circumstances which would lead to
the approval of the application.
Before we go out to the applicant we must have established that evidence exists, or have
sufficient reason to believe the information exists.
Examples include (but are not limited to):
1) bank statements missing from a series;
2) evidence that specific qualifications have been provided previously (either from
reviewing CID, or a legacy application, such as globe); evidence detailed on a CAS/
COS is missing; and
3) named deposits on bank statements from an employer, but no wage slips provided.
The evidence listed
in Annex A is not exhaustive, but provides caseworkers with guidance as
to the circumstances when evidence can be requested.
Is the caseworker satisfied that the evidence, which is missing exists, or has sufficient reason
to believe that it exists?
Please note: Multiple pieces of evidence can be requested
If:
Yes - Go to step 5
No - Evidence cannot be requested. The application should be refused. All grounds
should be included including any attributes where there was any missing evidence or
minor errors.
4
If the caseworker is unsure as to whether the evidence exists, they should discuss the issue
with their HEO, or SCW.
link to page 10 link to page 11
EVIDENTIAL FLEXIBILITY
Where there is uncertainty as to whether evidence exists, benefit should be given to the
applicant and the evidence should be requested.
Is the HEO / SCW satisfied that the missing evidence exists, or has reasonable grounds to
believe that it exists?
If:
Yes, or unsure - Go to step 5
No - Evidence cannot be requested. The application should be refused. All grounds
should be included including any attributes where there was any missing evidence or
minor errors.
Notes should be added to CID to explain why Evidential Flexibility was not applied.
5
The caseworker must contact the applicant / rep / sponsor initially by telephone.
The applicant / rep / sponsor should be informed that they have a maximum of seven working
days to respond i.e. the missing information should be with the UKBA within this timeframe.
We will use the date of receipt at UKBA if this cannot be established then evidence of the date
of postage should be considered.
We strongly recommend that the information requested be sent by next day special delivery.
Original documentation must be provided – we will not accept faxed, scanned or photocopied
docs.
Go to step 6
6
When attempting to contact the applicant / representative / sponsor by phone, caseworkers
should normally make no more than two attempts using the relevant telephone number (s). If
an applicant has a representative the caseworker should initially contact them rather than the
applicant.
Each time and date of call, and the relevant number contacted should be recorded on CID as if
the case is eventually refused, these details will need including in the Immigration History
section of the refusal notice.
Where ever possible, caseworkers should speak directly to a relevant person, rather than leave
a message.
Where an email address is held for the applicant / representative / sponsor the telephone call
should be followed up by email. As part of the telephone conversation, you should clarify the
email address, or if one was not provided as part of the application, ask the applicant /
representative / sponsor to provide one (if one exists).
Note that there are particular points that need to be made to the applicant / representative /
sponsor when requesting further information, these are
in Annex B. Additionally please see
Annex C “lines to take” document which should answer common
questions caseworkers may be asked in response:
link to page 13 link to page 11
EVIDENTIAL FLEXIBILITY
Have two attempts been made?
If:
Yes – HEO / SCW is satisfied an appropriate number of attempts have been made
– go to step 8
Yes – HEO / SCW is not satisfied an appropriate number of attempts have been
made - Take action as directed by HEO/Senior Caseworker
No - Go to step 7
7
Continue attempting to phone customer.
Ensure that all contact numbers available are used and that where multiple attempts are
required the calls are made at different times of the day (e.g. do not make two attempts 15
minutes apart)
Return to step 8
8
Where verbal contact with the applicant / representative / sponsor has been made by phone,
you must followed this up via an email.
Has the applicant supplied an email address
If:
Yes – Go to step 9
No - Go to step 10
9
When attempting to contact the applicant / representative / sponsor by email, one attempt to
each available address can be made. Care should be taken to ensure the correct email address is
used.
Details of the information that has been requested along with details of any emails sent should
be recorded on CID, with copies of emails sent and received printed off and stored with the
case file. If the case is eventually refused, these details will need including in the Immigration
History section of the refusal notice and copies of emails would be included in any bundle.
All emails should be sent via the team mailbox, not from an individual’s personal mailbox.
This allows other team managers and caseworkers to access any responses in the case owner’s
absence.
Caseworkers should refer to the standard email / letter templates
in Annex D when contacting
to customers.
For Employment Route colleagues it is important that you include (EV) after your team name.
This allows ERWT colleagues to sift out this post and ensure that it is prioritised.
Additionally please see the
Annex C “lines to take” document which should answer common
questions caseworkers may be asked in response:
Have the email(s) bounced back / been returned as undeliverable?
If:
Yes – Go to step 10
link to page 13 link to page 11
EVIDENTIAL FLEXIBILITY
No - Go to step 14
10
Have you been able to contact the applicant / representative / sponsor by telephone?
If:
Yes – Go to step 12
No - Go to step 11
11
As we have been unable to contact the applicant / representative / sponsor by telephone and
email, we should issue them with a letter confirming the information that is required.
It should be noted that if a letter is sent, the
seven day deadline starts from the date of the
letter (even if the caseworker has tried to contact the customer via other methods prior to this).
Go to step 13
12
As we have been unable to follow up telephone contact with the applicant / representative /
sponsor by letter, we should issue them with a letter confirming the information that is
required.
It should be noted that if a letter is sent,
the seven day deadline starts from the date of the
telephone call to the applicant / representative / sponsor to request the information.
Go to step 13
13
When attempting to contact the applicant / representative / sponsor by post, one attempt to the
contact address stated on the application form can be made. Care should be taken to ensure the
correct address is used.
Details of any letter sent should be recorded on CID and copies of letters sent and received
should be printed off and stored with the case file. If the case is eventually refused, these
details will need including in the Immigration History section of the refusal notice and copies
of letters would be included in any bundle.
All letters should be sent via 1st class post.
Caseworkers should refer to the standard email / letter template
in Annex D when contacting
customers. The contents of this template should be copied into an ICD.1100 letter in Doc Gen
to ensure that a record of this contact is kept on the system. Caseworkers should ensure that
the telephone number included on the letter is correct.
Tier 1 and 4 – Immigration Enquiry Bureau = 0870 606 77 66
Tier 2/5 – Customer contact Centre = 0114 207 4074
For Employment Route colleagues it is important that you include (EV) after your team name.
This allows ERWT colleagues to sift out this post and ensure that it is prioritised.
Additionally please see the
Annex C “lines to take” document which should answer common
questions caseworkers may be asked in response:
Go to step 14
14
The case should be placed in BF for
nine working days following existing procedures.
Note
that two further working days have been added to allow for the movement of evidence
EVIDENTIAL FLEXIBILITY
from workflow to the case working teams.
Each operational Tier has a specific
Evidential Flexibility BF spreadsheet to recorded cases
of this type.
This must be completed fully and care taken to ensure details are correct.
The information contained on the Evidential Flexibility BF spreadsheet will be reviewed and
reported on to identify the success of the instruction and to determine whether future
amendments should be made.
Go to step 15.
15
After nine working days (with the day of contact starting as day one), have elapsed since the
customer was contacted (either spoken to verbally on the telephone, time email was sent or
time the letter was sent), the case should be taken out of BF and reassessed.
If a caseworker receives all of the requested information / evidence before the nine days have
elapsed, the case should be considered immediately.
Caseworkers should take care to check CID comments to see if additional information has
been received.
Has the relevant information been received by UKBA?
If:
Yes - Go to step 16
No and contacted by phone/email - Go to step 16
No and contacted solely by letter - Go to step 17
16
If the information is with UKBA but not yet with the relevant caseworker, hold the case until
post received.
Case should then be considered as normal, including any additional information supplied.
If the case is to be refused, all attempts to contact the applicant and any responses they gave
should be included in the immigration history (SP4 section of the refusal notice) e.g
On (enter date and time if phone contact) we contacted you by telephone/email/letter and
requested (enter details of required evidence).
On (enter date) we received (enter full details of information received) and have used this
when considering your application for leave to remain.
Any written forms of contact and any written responses should be included in any bundle that
needs creating.
Caseworkers must ensure that the BF sheet is fully updated when the case is closed.
Note: If any additional evidence is received after the deadline but prior to the case being
despatch on CID, this information will need to be considered by the caseworker and the
case reassessed.
17
The case should be referred to HEO/Senior Caseworker for a decision to be made on what
EVIDENTIAL FLEXIBILITY
action should be taken.
Should case by considered on the evidence currently available?
If:
No – Go to step 18
Yes - Go to step 19
18
Take action as directed by HEO/Senior Caseworker.
19
Case should then be considered as normal on the evidence held by UKBA.
All attempts to contact the applicant and any responses they gave should be included in the
immigration history (SP4 section of the refusal notice) e.g.
On (enter date and time if phone contact) we contacted you by telephone / email / letter
and requested (enter details of required evidence). No response was received.
or
On (enter date and time if phone contact) we contacted you by telephone / email / letter
and requested (enter details of required evidence). You advised UKBA that you were
unable to provide the required information.
Any written forms of contact and any written responses should be included in any bundle that
needs creating.
Caseworkers must ensure that the BF sheet is fully updated when the case is closed.
Note: If any additional evidence is received after the deadline but prior to the case being
despatch on CID, this information will need to be considered by the caseworker and the
case reassessed.
Conclusion
The Evidential Flexibility instruction has been applied and the case has
been decided.
EVIDENTIAL FLEXIBILITY
Annex A
Evidential flexibility - Documents which it maybe appropriate to request for each Tier
Tier 1 – All case types
o Qualification (T1 General and Post Study Work) –
missing academic certificate
details of the date of award missing
evidence that is copied instead of an original
legacy systems / previous applications indicate that the qualification exists
o Previous Earnings (T1 General) –
missing wage slips
missing bank statements from a series
evidence that is copied instead of an original
bank statements not in the desired format
o English Language (T1 General and Entrepreneur) –
missing English language certificates
missing academic certificates
evidence that is copied instead of an original
legacy systems / previous applications indicate that the qualification / evidence exists
o Maintenance (T1 General, Post Study Work and Entrepreneur)
missing bank statements from a series
missing information from bank letters
evidence that is copied instead of an original
bank statements not in the desired format
o T1 Entrepreneur
missing information from the required letters / documents
evidence that is copied instead of an original
o T1 Investor
missing information from the required letters / documents
evidence that is copied instead of an original
Tier 2/5 – All casetypes
o Maintenance
missing bank statements from a series
missing information from bank letters
evidence that is copied instead of an original
bank statements not in the desired formal
o Qualification
missing academic certificates
details of the date of award missing
evidence that is copied instead of an original
legacy systems / previous applications indicate that the qualification exists
o English Language –
EVIDENTIAL FLEXIBILITY
missing English language certificates
missing academic certificates
evidence that is copied instead of an original
o Certificate of Sponsorship
missing SOC code from the CoS
obviously incorrect SOC on the CoS
CoS not provided but employer is approved on metastorm
Information missing from the CoS
Tier 4 – all casetypes
o Maintenance
Missing bank statements from a series
Missing information from bank letters
Evidence that is copied instead of an original
Bank statements not in the desired format
Third party maintenance information missing
Missing Birth Certificate needed as evidence of relationship with Sponsor.
o CAS
Evidence of progress detailed on CAS, but missing from application
CAS not provided but Educational Provider is an approved Sponsor.
Evidence used to assess suitability for course not included
ATAS certificate not provided
Dependants – all Tiers
o Evidence of Relationship
No evidence of relationship, eg Birth Certificate, Marriage Certificate.
o Maintenance
missing bank statements from a series
missing information from bank letters
evidence that is copied instead of an original
bank statements not in the desired format
link to page 8
EVIDENTIAL FLEXIBILITY
Annex B
EVIDENTIAL FLEXIBILITY CASE WORKING PHONE SCRIPT INTRODUCE YOURSELF
Good Morning / Good Afternoon / Good Evening.
My name is xxxxx; I am calling from UK Border
Agency in relation to your/your client’s (name) Tier
1/ 2/ 4/ 5 application(s).
EXPLAIN THE REASON FOR THE CALL
The application(s) is / are currently being
considered and I am calling to explain there is a
minor omission with regards to the evidence /
information required.
EXPLAIN WHAT INFORMATION / We are therefore asking you to submit .....
EVIDENCE IS MISSING AND SPECIFICALLY
Refer t
o Annex A
WHAT YOU REQUIRE THEM TO SUBMIT.
ENSURE THAT YOU CLARIFY THE KEY
We are only able to accept the original
POINTS ABOUT SUBMITTING WHAT IS
document(s) which are received within UK Border
REQUIRED
Agency within 7 working days of this call. We
strongly
recommend
that
you
send
the
document(s) by special next day delivery.
Please note no further extensions will be given if
the requested information is not provided within
the 7 working days.
EXPLAIN WHERE TO SEND
The document(s) should be sent to….
THE INFORMATION
END THE CALL
Thank you
NB: If the applicant/rep/sponsor becomes difficult or rude at any point during your
conversation you should refer to you manager
EVIDENTIAL FLEXIBILITY
Annex C
Standard lines to take regarding Evidential Flexibility caseworking instruction.
Who does this new instruction apply to?
The instruction applies to any Tier 1, 2, 4 or 5 migrant application which is under
consideration as of 28 March 2011, as well as any applications submitted on or after this date.
This instruction applies to main applicants and their associated dependants regardless of
whether the dependant applies separately at a later date.
I cannot provide the document within the time allowed / Why won’t you give me more time
to provide the evidence?
We will allow up to 7 working days. If we have not received the evidence requested within
this time, a decision will be made based on the evidence provided with the application form.
The guidance clearly states what evidence should have been provided originally in support of
an application. We are not able to hold cases open for extended periods.
Does the information you require need to have been sent within the 7 working days, or
does it need to have been received within the 7 days?
The information required must have been received by the UKBA within the 7 working days,
starting from today. We therefore strongly recommend you send the evidence by special next
day delivery.
Can I get back to you with the recorded/special recorded delivery reference number?
This shouldn’t be necessary. You will be able to track for yourself whether what you have sent
has arrived with UKBA.
Reps/Sponsor/Applicant telephones to complain about cases which were previously
refused on the same basis
As of 28 March 2011
we will request specific documents if they have been omitted from the
application, for cases currently outstanding as of this date, or received on or after this date.
Please note any applications which were decided before the above date were considered
against the operational procedures in place at the time.
As the Points Based System continues to bed in we will, where appropriate and practicable,
endeavour to contact customers to correct minor omissions or errors in their applications.
Applications can only be considered in accordance with the policy and operational procedures
in force at the time of consideration. The UKBA reserves the right to change these.
A rep/sponsor/applicant telephones to ask why we are asking for certain documents and
not others
Where appropriate and practicable we will endeavour to contact customers to correct minor
omissions or errors in their applications. However, there are certain requirements which must
be met for a PBS application to be considered valid, which includes provision of key
mandatory documents, such as the passport.
EVIDENTIAL FLEXIBILITY
The requesting of Mandatory documentation or information to make an application valid is
governed by .
Can the applicant drop the document requested off at the PEO?
No. We strongly recommend you send the evidence required by special next day delivery.
Can I arrange a courier to deliver the required information
No. We strongly recommend you send the evidence required by special next day delivery.
***FOR INTERNAL USE ONLY NOT FOR EXTERNAL COMMUNICATION***
(If in exceptional circumstances it might be appropriate to accept delivery of the documents
via courier the caseworker should discuss this with the HEO/Senior Caseworker)
Can I fax the evidence to you?
In line with published guidelines we only accept original documentation.
You previously refused my application on missing information so I re applied with the
correct information. Can I have a refund for the case you refused as you did not give me a
second chance to provide the information?
Unfortunately not. As of 28 March 2011
we will request specific documents if they have been
omitted from the application, for cases currently outstanding as of this date, or received on or
after this date.
Please note any applications which were decided before the above date were considered
against the operational procedures in place at the time.
As the Points Based System continues to bed in we will, where appropriate and practicable,
endeavour to contact customers to correct minor omissions or errors in their applications.
Applications can only be considered in accordance with the policy and operational procedures
in force at the time of consideration. The UKBA reserves the right to change these.
I have an outstanding appeal for a case that was refused on this basis. Will you
reconsider?
No. The case was considered on the evidence and operational procedures in place at the
time of application, therefore we will not reconsider on this basis.
Applications can only be considered in accordance with the policy and operational procedures
in force at the time of consideration. The UKBA reserves the right to change these.
I have forgotten where I should send my documentation?
The request for further information will have been followed up in writing via email where an
email address has been provided. You should check this for details of where to send the
information to.
EVIDENTIAL FLEXIBILITY
Annex D
Email / Letter template (evidential flexibility) Dear Mr / Mrs / Miss / Ms / Dr [Insert name],
Re: [Applicant name] [country] [DoB]: Home Office reference: [insert reference number]
Thank you for your / your client’s / your clients’ application(s), which is / are currently being
considered. Please note that we have identified a minor omission with regards to the evidence that
has been submitted.
We are therefore asking you to submit [Caseworker to select relevant document(s) From
Annex A and
give specific details where appropriate, e.g. page 3 of the bank statements was not provided.
Remember you are not limited to requesting one piece of information]
Please note that we are only able to accept the original document(s) received within UK Border
Agency within 7 working days of this email / letter. We therefore strongly recommend that you send
the document(s) by special next day delivery. No further extension will be given if the requested
information is not provided within the seven days.
Please send this to the following address:
[Insert Caseworker Name]
Tier (1,2&5, 4) – (team name) (EV)
Vulcan House – (Steel/Iron)
North East, Yorkshire and Humber Region
UK Border Agency
PO Box 3468
Sheffield
S3 8WA
If you have any further questions in relation to this request please contact our Immigration Enquiry
Bureau on 0870 606 7766.
Yours sincerely,
[Insert Caseworker Name]