# Welcome to the handbook

For newly registered advisers in the asylum & refugee sector.

![](/files/-MZx7r_oxpND8A9E8ysR)

**Congratulations you are now a registered OISC Adviser,** well on your way to becoming an experienced Adviser. For those yet still on your  journey of becoming an OISC regulated Adviser Good Luck! This manual should provide you with a practical and useful guide on your journey to becoming a confident and experienced immigration advisor.

## Purpose

This handbook aims to provide support and guidance to newly registered OISC Advisers. Seeking to bridge the gap between theoretical knowledge of immigration rules and regulation, and  the practicalities of managing a real immigration case not only to a high standard but to also comply with OISC standards. To feel more confident handling a case with minimal supervision. 

Equip advisors with practical tools that they can use and have to hand in their day-to-day practice. Most of these resources are available on the big world of the web and the purpose of this handbook is to bring as many of these resources possible together in one place to enable newly registered caseworkers to have this information at their fingertips without spending valuable time scouring the internet.

## Disclaimer

Whilst a lot of care has been taken to provide up-to-date and relevant approaches to giving legal advice, much of this is based on our own experience within the Advice Project in Bradford. As well as being underpinned by the OISC and SRA professional conduct guidance. 

The information contained in this guide is for general information purposes only. Whilst Refugee Action has made best efforts to ensure the accuracy of the information presented in this document, we make no representations or warranties of any kind either explicit or implicit concerning the accuracy, reliability or suitability of the information for individual cases or requirements. Irrespective of these terms, Refugee Actions accepts no liability for any loss or damages resulting from the application of this guide.


# Caseworker Registration

This section refers to insight into who regulates the industry, the stages of registration, the skills and attributes required and becoming a confident, efficient and experienced adviser.

![](/files/-MZDRhWz8qyjCPpg6dIP)

The purpose of this section is to provide insight into who regulates the industry which a newly registered adviser will work in, the stages of registration, the skills and attributes required for registration as an OISC adviser and to becoming a confident, efficient and experienced adviser.

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[2.1 Who are OISC](/sections/2.-caseworker-registration-compliance/2.1-who-are-oisc)
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[2.2 Staff/Volunteer Journey from Level 0-3](/sections/2.-caseworker-registration-compliance/2.2-staff-volunteer-journey-from-level-0-3)
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[2.3 Applying for Registration](/sections/2.-caseworker-registration-compliance/2.3-applying-for-registration)
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[2.4 Ethics OISC Code of Standards](/sections/2.-caseworker-registration-compliance/2.4-ethics-oisc-code-of-standards)
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[2.5 Data Protection](/sections/2.-caseworker-registration-compliance/2.5-data-protection)
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[2.6 Boundaries for Caseworkers](/sections/2.-caseworker-registration-compliance/2.6-boundaries-for-caseworkers)
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[2.7 OISC CPD Scheme](/sections/2.-caseworker-registration-compliance/2.7-oisc-cpd-scheme)
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# 2.1 Who are OISC

OISC stands for the Office of the Immigration Service Commissioner.

The OISC usually seeks to promote first and foremost the adviser’s development and progression, nevertheless the OISC is a statutory body, a regulator and an enforcer.

OISC regulates immigration advisers ensuring that advisers are competent, and ensure that advisers act in the client‘s best interest. The Office of the Immigration Service Commissioner was set up under the [Immigration and Asylum Act 1999](http://www.legislation.gov.uk/ukpga/1999/33/contents) *(GOV.UK).* Under this act the [Nationality, Immigration and Asylum Act 2002](http://www.legislation.gov.uk/ukpga/2002/41/contents) *(GOV.UK)* and the [Immigration Act 2014](http://www.legislation.gov.uk/ukpga/2014/22/contents/enacted) *(GOV.UK)* it has powers to:

* Limit or vary levels of work advisers may undertake
* Lay a disciplinary charge against a regulated adviser
* Apply for a restraining order or an injunction
* Prosecute for illegally providing immigration advice and/or services
* Prosecute for illegally advertising immigration advice and/or services
* Enter an adviser’s premises
* Seize an adviser’s records

The OISC does not provide immigration advice or recommend or endorse any specific immigration adviser.

{% hint style="info" %}
**Webpage:** [Office of the Immigration Services Commissioner](https://www.gov.uk/government/organisations/office-of-the-immigration-services-commissioner) *(GOV.UK)*

Visit the OISC Website to find out more.
{% endhint %}


# 2.2 Staff/Volunteer Journey from Level 0-3

Traditionally advice giving had mostly been in the context of training to be a qualified lawyer, solicitor, barrister or perhaps a legal executive. Those that are training to be Solicitors can now use the experience gained either volunteering or working in a regulated environment towards qualification as a Solicitor.  

It is possible to provide immigration advice in the not-for-profit sector without degree level or formal qualifications. Life skills and experience can be an asset when moving into this area of work. However, even then the OISC expects a certain level of standards and requirements before you can move to the next stage of registration.

### Before you apply:

* Develop the prescribed competencies for OISC Registered Advisor 
* You must be able to communicate clearly and accurately in English; without this you will not be able to represent your clients effectively
* You will need to provide details of their previous advice-giving experience, and the jobs or voluntary roles in which that experience was gained 
* At level 1, experience in areas such as Welfare, Debt, Housing, Legal or Employment is helpful in the absence of immigration advice-giving experience
* You must provide details of your Training and Qualifications - this should include any external immigration training you have undertaken within the last 5 years
* You must declare whether you have been bankrupt, subject to previous disciplinary proceedings by a regulatory body, whether you have been sued by a client in the last 5 years, involved in any conduct which  may call into question your honesty, integrity or respect for the law
* If you are a British or a European Union citizen, you must provide a legible copy of your passport or European Union identity card as proof of right to work
* If you are not British, you should demonstrate that you have valid leave to remain and the right to work in the United Kingdom for a minimum of 18 months at the point of application (however, if your leave is going to expire sooner, you can reassure OISC that it may be renewed and/or your clients will not  be adversely affected if it expires)
* You must provide a DBS Disclosure Certificate - this must be less than 6 months old, unless you are on the update service.  If you have no DBS certificate, you can apply for one through the OISC.
* More generally  you need to know and have an interest in immigration law for you to effectively engage in the process of giving advice. 
* Once registered, you must keep that knowledge up-to-date.  Immigration law is intensely political and therefore subject to constant tinkering on a massive scale.  What is true today may not be true tomorrow.  If you do not keep abreast of these changes, you may cause considerable harm to your clients.

Preparing and Planning to give advice -ensure that prior to meeting the client you start researching some aspects of initial instructions that have been taken by the receptionist or a volunteer.


# 2.3 Applying for Registration

The purpose of this section is to explore the different stages of OISC registration and the requirements that need to be satisfied to enable OISC registration. You would need to complete and submit an electronic version of the application form every time you are moving up a Level.

The application forms detail the level of experience that the OISC expects advisers to have when applying at a given level.  HOWEVER, these expectations, if applied rigidly, would prevent many charitable organisations and their advisers from ever being able to register or raise levels.  

The OISC does have discretion to approve advisers who have less than the required experience, or even no experience.  They will be more likely to approve advisers if they know that the organisation is taking steps to address the risk that might be posed by inexperienced advisers.  There are some low risk models of advice, for example:

* Specialisation in a narrow range of applications
* Gathering evidence, collating documents and giving limited advice before an onward referral under legal aid

Adopting such a model will help to justify registering advisers with less than the asked-for experience.

In general, advisers should not pre-judge whether or not the OISC will think they have enough experience.  They should present any experience that they do have in their application to register or raise levels.  The OISC will not unreasonably reject applications.  Passing an assessment will be a powerful factor in favour of approval.

{% hint style="info" %}
**PDF:** [The New Adviser Application and Competence Statement](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/971154/OISC_New_Adviser_Application_and_Competence_Statement_-_March_2021.pdf) *(GOV.UK)*

This is the application form to be completed when you are contemplating registration with OISC.
{% endhint %}


# 2.4 Ethics OISC Code of Standards

The [Code of Standards](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/458689/Code_of_Standards_2016.pdf) *(GOV.UK)* sets out how the OISC expects you to behave in the course of your work.  All OISC advisors are required to have read this document. 

### Under the code you must

* Act in your client’s best interests (Codes 12,5, 10 & 11)
* Keep client’s affairs confidential (Codes 27 & 28)
* Not mislead the courts, Home Office, etc (Code 14c), be knowingly or negligently part of any deception (Code 14d, Code 13), or abuse any procedure (Code 14e)
* Notify your client of any conflict of interest (Code 20)

### **Acting in the best interest of your client**

* Your first duty is always to your client.  However this is circumscribed by other duties and legal obligations:
* You must always act in accordance with UK law (Code 1 in The [Code of Standards](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/458689/Code_of_Standards_2016.pdf) *(GOV.UK)*)
* You must not deceive the Home Office or the courts (Code 14C)
* Your client’s best interests can override your own:
  * If urgent action is required to protect your client’s position and the client has not paid you or owes you money, you still need to take that action
  * Similarly you cannot retain a client’s file or documents pending payment should they instruct another representative (Code 48) – note: this is different for solicitors regulated by the SRA
* In fact most of the Code of Standards exists to ensure that regulated advisers act in their clients’ best interests, whether this is through day to day casework, or through adopting good practice.  For example, the code requires you to:
  * Remain fit and competent (Code 4) and act competently (Code 5)
  * Clearly identify yourself (Code 7)
  * Not take advantage of your clients’ vulnerability (Code 10)
  * Not mislead your clients or prospective clients (Code 11)
  * Treat clients fairly and without prejudice or bias (Code 15)
  * Issue client care letters setting out instructions, agreed actions, etc. (Codes 23-26)
  * Keep your client informed of progress, etc. (Codes 29-33)
  * Not withdraw from a case arbitrarily (Codes 43-45)
  * Keep adequate records (Codes 53-56)

### **Confidentiality**

* You must:
  * Keep your client’s case and details confidential
  * Ensure all communication is conducted in a confidential manner
* Confidential information can be disclosed to third parties with your client’s permission (without this, representation would be impossible!)
* There are very rare circumstances where you can breach confidentiality:
  * Under money laundering or anti-terrorist legislation
  * Where there is evidence that a person will suffer serious mental or physical injury

### Deception

* You must never deceive the Courts or the Home Office (even if this might seem to be in your client’s best interests!)  However you cannot breach confidentiality to correct a deception.
* Deception can be accidental – for example, submitting a false document, believing it to be genuine.  Whether deliberate or accidental, it cannot be ignored, and can have lasting negative consequences for the client.

### Conflict of Interest

* Conflicts of interest can arise where you are aware of information that may compromise your independence in a case. They can potentially arise between you and your client because:
  * You are connected (as a friend, family member, etc.)
  * Your client is dissatisfied with your service
  * You have made a mistake which prejudices your client’s interests
  * Your client instructs you to do something that is against the ethos of your organisation (but beware discrimination!)
* Between two different clients, e.g.
  * Between spouses
  * Between parents and children
  * Between former and current clients

### Conflicting Duties

* Sometimes there may be an apparent conflict between the different duties.  A common example is where you learn that your client has employed deception in an application to the Home Office:
* You can in no way support or assist your client to use deception
* Allowing the case to proceed without correcting the deception would amount to assisting in the deception
* However, it would be a clear breach of confidentiality to notify the Home Office of the deception without first obtaining your client's permission
* The client may also feel that it is not in their best interests to notify the Home Office
* In these circumstances the correct course of action would be to:
  * Advise the client that you are unable to continue representation without informing the Home Office of the deception
  * Advise the client of the potential consequences of disclosing the deception
  * Seek the client's permission to disclose the deception
  * Withdraw representation if the client refuses
* However, remember that you are not supposed to withdraw from cases arbitrarily:
  * Always try to resolve the issue with a client before withdrawing representation
  * Keep detailed records of the matter so that you can justify your actions, if required

### Tips for remaining fit and competent:

* Get used to looking at source materials such as Acts, Rules and Regulations linked below, rather than training materials. Subsequent changes in the law will not appear in your old training materials and may not be reflected in books and manuals for months or possibly years to come
* Know where to find the most up to date source materials, particularly: 

  * [The Immigration Rules](https://www.gov.uk/guidance/immigration-rules) *(GOV.UK)*

  Be aware of the limitations of some online sources – for example, [www.legislation.gov.uk](http://www.legislation.gov.uk) – which does contain all new legislation within days or hours of being published, but which does not update existing legislation with the resultant changes until months or years later

### Most common UK laws are:

* [Immigration Act 1971](https://www.legislation.gov.uk/ukpga/1971/77/contents) *(GOV.UK)* - this is the foundation of modern immigration control and covers things like criminal offences and what happens when your leave expires while your application is pending.
* [British Nationality Act 1981](https://www.legislation.gov.uk/ukpga/1981/61) *(GOV.UK)* - this determines who is British and who can become British.
* [Human Rights Act 1998](https://www.legislation.gov.uk/ukpga/1998/42/contents) *(GOV.UK)* - this allowed people to raise human rights matters in domestic course for the first time.
* [Immigration and Asylum Act 1999](https://www.legislation.gov.uk/ukpga/1999/33/contents) *(GOV.UK)* - this created the OISC and also gave us our current system of asylum support.
* [Nationality, Immigration and Asylum Act 2002](https://www.legislation.gov.uk/ukpga/2002/41/contents) *(GOV.UK)* - this sets out when a migrant can appeal an immigration decision (where historical EEA free movement rights are not involved).
* [Asylum and Immigration (Treatment of Claimants, etc.) Act 2004](https://www.legislation.gov.uk/ukpga/2004/19/contents) *(GOV.UK)* - this is most notable for the provisions on credibility in asylum claims, in Section 8
* [Borders, Citizenship and Immigration Act 2009](https://www.legislation.gov.uk/ukpga/2009/11/contents) *(GOV.UK)* - this act introduced a duty to consider the best interests of a child at Section 55.
* [Immigration Act 2014](https://www.legislation.gov.uk/ukpga/2014/22/contents/enacted) *(GOV.UK)* and the [Immigration Act 2016](https://www.legislation.gov.uk/ukpga/2016/19/contents/enacted/data.htm) *(GOV.UK)* - these acts ushered in the ‘hostile environment,’ making it harder for people to access services and accommodation without certain documents.

{% hint style="warning" %}
**Note:** Check blogs such as [FreeMovement](http://www.freemovement.org.uk) and [Electronic Immigration Network](http://www.ein.org.uk) regularly for notification of updates and changes.
{% endhint %}


# 2.5 Data Protection

Advisers have a duty to safeguard and ensure the security of their client’s information. This is done by organisations having systems and policies in place to limit access to client’s information and prevent unauthorised disclosure.

* You are required under OISC regulations to keep all records copies of correspondence, application forms and other documents relating to the client’s case for at least six years following the conclusion of the case/application. 
* After a six-year period, there is a need to destroy all physical records and delete all electronic records unless you are satisfied that there is a good reason for retaining them.
* You must act in accordance with UK data protection legislation to ensure that the client’s personal information is:
  * Processed fairly, lawfully and in a transparent manner;
  * Used only for limited, specified stated purposes and not used or disclosed in any way incompatible with those purposes;
  * Adequate, relevant and limited to what is necessary;
  * Accurate and, where necessary, up-to-date.
  * Not kept for longer than necessary; and
  * Kept safe and secure.
* You must not pass personal information to external organisations except:
  * Where we have your written consent
  * Where we are doing so in the course of providing immigration services 
  * Where we are required to do so by law
  * Where we believe you or others may be in danger
* You must always be mindful that under the Data Protection Act 2018, the client has a right to;
  * Be informed about how their data is being used
  * Access their personal data
  * Have incorrect data updated
  * Have their data erased.
  * Stop or restrict the processing of their data
  * Object to how their data is processed in certain circumstances
* Disclosure of family court documents
  * Note that any documents prepared for the purposes of or any information relating to family proceedings relating to children is strictly confidential and cannot be disclosed to another party without committing contempt of court. 
  * If a person wants to rely on papers from family proceedings in an immigration case, for example, to prove family life, to show the progress of proceedings or for any other reason, they will need to get a court order from the family court for disclosure. This includes where the family proceedings have been concluded.
  * [Nasrullah Mursalin, Re \[2019\] EWCA Civ 1559 (03 September 2019) ](https://www.bailii.org/ew/cases/EWCA/Civ/2019/1559.html)*(bailii.org)*- this now infamous case, serves as an unpleasant reminder of your duty not to disclose information with express consent from the client and the family courts

{% hint style="info" %}
**Webpage:** [The Data Protection Act 2018](https://www.legislation.gov.uk/ukpga/2018/12/contents/enacted) *(GOV.UK)*

An Act to make provision for the regulation of the processing of information relating to individuals.
{% endhint %}


# 2.6 Boundaries for Caseworkers

Advisers are required by OISC to act and advise at the level that they are competent at. The definitions of ‘immigration advice’ and ‘immigration services’ are set out in section 82 of the Immigration and Asylum Act 1999 (as amended). The work detailed below provides a framework of what can constitute ‘immigration advice’ thereby falling with the realm of (regulated work) and work that be conducted without the need to be registered (unregulated work).

{% hint style="warning" %}
**Note:** The below summary is intended as a quick guide to the kinds of work you can and can’t do at Level 1. For more definitive guidance, please refer to the [OISC’s Guidance on Competence](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/604807/OISC_GoC_2017.pdf) *(GOV.UK).*
{% endhint %}

### Unregulated Work:

**You can:**

* Give ‘generic information’ relevant to large groups of migrants (e.g. asylum seekers)
* [Apply for asylum support or Section 4 support\*](https://www.gov.uk/asylum-support/how-to-claim) *(GOV.UK).*
* Lodge an appeal against a refusal of asylum support.
* [Apply for ‘Exceptional Case Funding’ (legal aid for ‘out-of-scope’ matters)](https://www.gov.uk/guidance/legal-aid-apply-for-exceptional-case-funding) *(GOV.UK).*
* [Legal aid: apply for exceptional case funding](https://www.gov.uk/guidance/legal-aid-apply-for-exceptional-case-funding) *(GOV.UK).*
* Request a copy of the BAIL 201 form.
* [Contact the Home Office to find out the next reporting date](https://www.gov.uk/immigration-reporting-centres) *(GOV.UK).*

{% hint style="warning" %}
\*But you should not discuss how someone can make themselves eligible for support.
{% endhint %}

### Level 1 Asylum & Protection

#### **You can:**

* Notify the HO of a change of address .
* [Apply for a Certificate of Travel](https://www.gov.uk/apply-home-office-travel-document) for a person with Humanitarian Protection.
* [Apply to lift a NRPF condition](https://visas-immigration.service.gov.uk/product/change-of-conditions) *(GOV.UK)* (where leave was granted following the refusal of asylum).
* Apply for permission to work.
* Apply for ‘[Leave in Line](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/947066/family-reunion-guidance-v5.0ext.pdf)’ *(GOV.UK)* for the UK-born children of Refugees, etc.
* Request an extension on the deadline to submit a [Preliminary Information Questionnaire](https://www.gov.uk/government/publications/preliminary-information-questionnaire-for-asylum-claims) *(GOV.UK)* (if necessary, to enable an asylum seeker to instruct a representative to help with this).

### Level 1 Immigration

#### You can:

* Straightforward EUSS applications - after 1 of July 2021, this is likely to be limited to:
  * Upgrading from pre-settled to settled status for EEA nationals and their direct family members.
  * Applications from pre-2021 family members to join an EEA national with status under the EU Settlement Scheme.
* [Visit visas](https://www.gov.uk/standard-visitor-visa) *(GOV.UK).*
* [Apply for destitution domestic violence (DDV) concession](https://www.gov.uk/government/publications/application-for-benefits-for-visa-holder-domestic-violence) *(DDVC).*
* Long residence (Rule 276B) applications - [Immigration Rules part 7: other categories - Immigration Rules - Guidance - GOV.UK](https://www.gov.uk/guidance/immigration-rules/immigration-rules-part-7-other-categories) *(GOV.UK).*
* Work and study visas - [Browse: Work in the UK](https://www.gov.uk/browse/visas-immigration/work-visas) *(GOV.UK)* and [Browse: Study in the UK](https://www.gov.uk/browse/visas-immigration/student-visas) *(GOV.UK).*
* [Registration/naturalisation as a British Citizen](https://www.gov.uk/browse/citizenship/citizenship) *(GOV.UK)* (excluding discretionary child registration).

  Straightforward\* applications for the partner, child or parent of a British, settled or refugee sponsor - [Immigration Rules Appendix FM: family members - Immigration Rules - Guidance](https://www.gov.uk/guidance/immigration-rules/immigration-rules-appendix-fm-family-members) *(GOV.UK).*

{% hint style="warning" %}
**Note:** Applicants must not be overstayers or irregular migrants and must meet all the rules without relying on the ‘human rights’ provisions in EX.1, GEN.3.1 & GEN.3.2. Applications for children must not be based on ‘sole responsibility’ or ‘serious and compelling family or other considerations.’-European Convention on Human Rights *(coe.int).*
{% endhint %}

### Higher Level Work

**You must not  lodge an appeal and you must not give advice on the following Level 2 matters:**

* Asylum claims  
* Refugee family reunion application
* Applications for irregular migrants
* Applications involving criminality or ‘poor character’
* Private life (R. 276ADE) applications
* ‘Complex’ applications for partners, children or parents
* Applications for ‘adult dependent relatives’
* Settlement as a victim of domestic abuse

**And you must not do these Level 3 tasks:**

* Advise someone about an immigration appeal 
* Request an adjournment 
* Apply for bail 
* Submit a ‘pre-action protocol’ letter in relation to a regulated matter

{% hint style="warning" %}
**Note:** There may be circumstances where an application that is normally within Level 1 becomes Level 2 (e.g. where criminality or a lack of specified evidence comes to light.) If this happens, the matter should be referred to a Level 2 adviser ASAP.
{% endhint %}


# 2.7 OISC CPD Scheme

### What is CPD?

CPD stands for Continuing Professional Development.

### Why do I have to meet CPD requirements?

The OISC has a statutory duty to ensure that it’s regulated advisers are "fit and competent" to provide immigration advice and services. Part of being fit and competent is ensuring that you continue learning and developing, and keep up-to-date with the best practice and latest legal developments.

 This is reflected in Codes 4-6 of the [OISC Code of Standards](https://www.gov.uk/government/publications/oisc-code-of-standards-commissioners-rules-2012) *(GOV.UK).*

### Wh**at do I have to do?**

All OISC authorised advisers and registered organisations must meet the CPD requirements, no matter their level. The scheme is not prescriptive, i.e. you don't have to do a set number of hours of CPD a year. The only requirement is that you do an appropriate amount of CPD a year to remain fit and competent.

### Registered organisations are expected to:

#### **Consider their needs, both as an organisation, and as individual advisers:**

* What are the strengths and weaknesses of our advice service? 
* Are we meeting our clients' needs? 
* What needs to be done to maintain the skills, knowledge and aptitudes of the advisers, and ensure they're up-to-date? 
* Are we meeting our regulatory obligations? 

{% hint style="warning" %}
**Note:** Make sure you take into account each adviser's level – the higher the level, the more it takes to keep up-to-date.
{% endhint %}

### Set outcomes based on these needs:

* What can we do to improve our service and better meet client needs? 
* Which skills, knowledge or aptitudes should advisers focus on improving? In general, advisers are free to choose what they want to undertake their CPD in. The only requirement is that the learning and development is relevant to the advice and services provided by your organisation. Note that the OISC can recommend specific areas for improvement, for instance following a competence assessment, complaint investigation or audit inspection.

### **Plan appropriate CPD activities that allow these outcomes to be achieved**

The OISC expects you to organise CPD review/planning meetings, on at least an annual basis. New advisers should have an initial CPD planning meeting shortly after they've been authorised.

#### **These meetings should serve to:**

* Identify what areas advisers should undertake their CPD in. Are there changes in immigration law and practice or changes to regulatory requirements which need to be addressed? Do they want to widen or change their areas of work? Are they regularly coming across an issue in their work which they've not been sure how to deal with? 
* CPD does not have to be legal training. Learning and development could be on ethics and professional conduct, business management skills e.g. leadership, or customer service and quality. 
* Again, the only requirement is that the CPD is relevant to the work undertaken by the advisers and the organisation. You must be able to demonstrate that relevance if asked by the OISC. 
* Decide how the CPD should be carried out. This can take many forms, including training sessions (either external or in-house), conferences, and reading resources such as Free Movement regularly. 
* Decide how the CPD will be recorded. If you're already recording it, evaluate whether the way you've been recording it is working well. 
* Evaluate the CPD you've undertaken since the last planning meeting (see below).Evaluate whether these outcomes have been achieved.

### **Evaluate whether these outcomes have been achieved**

#### **These meetings should serve to:**

* When evaluating whether the outcomes have been achieved at the CPD planning meeting, reflect on the work which has been undertaken and whether it has had the desired impact on the organisation's service, and/or the advisers' skills, knowledge and aptitude. 
* What worked well, and what didn't? If the desired outcome has not been achieved, why? How can the CPD activities be more effective next time?

### **Can the OISC check that we're meeting these requirements?**

* Yes – when the OISC carries out an audit of your organisation, they will look at whether you're meeting the CPD requirements. 
* They can also review and inspect whether you're complying with CPD requirements as part of a complaint investigation or sampling exercise.

### **How do we prove that we’re meeting the requirements?**

* Registered organisations must keep records of individual authorised advisers' CPD activities. These records should also include supporting evidence of the activities, e.g. certificates proving that you completed particular training programs. You must also keep a record of the CPD review/planning meetings. 
* The idea is that you're proving not only that you're carrying out CPD activities, but that there's some kind of plan and structure, where you've set goals (both as an organisation and as individual advisers) to achieve over the CPD review period. 
* The OISC does not prescribe how you should record and plan the activities. You can use our template CPD record and plan for this purpose, or the OISC's own templates (see Further reading and resources below). You can also make your own, or adapt our templates and/or the OISC's templates to find the right approach for you.

### **What kind of issues are the OISC looking for?**

* There's no evidence of an annual programme of planned CPD activity. 
* The planned CPD activity is not relevant to the advice and services provided by the organisation. 
* Planned CPD activities haven't been undertaken, without a "justifiable explanation". Unfortunately, the OISC guidance doesn't give any examples of what a justifiable explanation might be. It is likely that they'll be more understanding if the planned activities have only failed to happen rarely – if it looks like there's a systematic, regular problem where planned activities aren't happening, the OISC are less likely to accept your explanation for it. 
* The organisation has failed to complete CPD activities which have been specifically requested by the OISC.

### **What are the possible consequences of not meeting the requirements?**

With minor breaches, it is likely that the OISC will make specific recommendations regarding planning future CPD activity. 

In a more serious situation, where it's clear that failing to meet CPD requirements has prevented the organisation and/or individual advisers from providing fit and competent advice and services, sanctions can be more severe. For example:

* An authorised adviser may be required to undertake specific training immediately
* An authorised adviser may be required to take a competence assessment.
* An authorised adviser's registration may be changed (e.g. their level may be lowered).
* An authorised adviser's registration may be cancelled.
* The registered organisation's registration may be cancelled.

### **Key Messages**

* Plan your CPD
* Do your CPD
* Show you understand the relevance of the CPD
* Remember that CPD does not just have to be formal training courses
  * Think reading articles, doing research, working on your non-legal skills (e.g. leadership, organisation)
* Your CPD plan and record should be a living document
  * Add to it, amend it, think about it throughout the year as you work on your objectives and develop your skills - don't just update it at the end.

### **Further reading and resources**

{% hint style="info" %}
**Webpage:** [OISC CPD Guidance Booklet](https://www.gov.uk/government/publications/oisc-continuing-professional-development-scheme) *(GOV.UK)*

This is the official OISC guidance on CPD. It sets out what they expect you to do, and how they will monitor your compliance. 

This page also includes the OISC's own templates for learning and development plans. They've created a separate document for each, which you may prefer to our combined template. There's no right way of doing this, so go for what works best for you and your organisation.
{% endhint %}

{% hint style="info" %}
**PDF:** [Template Learning and Development Plan and Record](https://www.gov.uk/government/publications/oisc-continuing-professional-development-scheme) *(GOV.UK)*

You can use this template to plan your CPD activities and record which ones you carry out during a CPD period. 

With the template, we've included some examples to show how you could fill it in. Feel free to change the template to suit your needs as an adviser/your organisation's needs – what we've designed is just to help you get started!
{% endhint %}


# Case Management

This section refers to a range of approaches employed by the adviser and their organisations to manage the life cycle of a case or matter more effectively.

![](/files/-MZDS0UHAqFGKtFjajyk)

{% content-ref url="/pages/-Ma8-tcMzuswM0ZDO8ai" %}
[3.1 Key Elements of the Adviser/Client Relationship](/sections/3.-case-management/3.1-key-elements-of-the-adviser-client-relationship)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma80AJWBjOvmSHsUXyj" %}
[3.2 Taking Client Instructions](/sections/3.-case-management/3.2-taking-client-instructions)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma80IjCkKAnUBqKAi7P" %}
[3.3 Use of Interpreters](/sections/3.-case-management/3.3-use-of-interpreters)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma80j2Osn4saCi4OQMd" %}
[3.4 Responding to Enquiries (Email & Phones)](/sections/3.-case-management/3.4-responding-to-enquiries-email-and-phones)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma80oLaz8CKxsP0YhBN" %}
[3.5 Case Notes Recording](/sections/3.-case-management/3.5-case-notes-recording)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma814OvZ9aS\_2aOX4cc" %}
[3.7 Document Filing](/sections/3.-case-management/3.7-document-filing)
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{% content-ref url="/pages/-Ma8192E-QESTkIblHUs" %}
[3.8 Certification of Documents / Countersigning](/sections/3.-case-management/3.8-certification-of-documents-countersigning)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma81JAzfkqhOzmGeqVy" %}
[3.9 File Requests](/sections/3.-case-management/3.9-file-requests)
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[3.10 Drafting](/sections/3.-case-management/3.9-drafting)
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{% content-ref url="/pages/-Ma81ebbryAeQBl8AJ5R" %}
[3.11 Drafting Witness Statements](/sections/3.-case-management/3.11-drafting-witness-statements)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma828FE\_OtAc6y7jPn6" %}
[3.12 Safeguarding Guidance / Obligation for Caseworkers](/sections/3.-case-management/3.12-safeguarding-guidance-obligation-for-caseworkers)
{% endcontent-ref %}

{% content-ref url="/pages/-Ma82j5aVbHNxX4AE3AM" %}
[3.13 Working with Vulnerable Clients](/sections/3.-case-management/3.13-working-with-vulnerable-clients)
{% endcontent-ref %}


# 3.1 Key Elements of the Adviser/Client Relationship

### Beginning a Case

Some projects or services might be strictly limited in scope - for example your assistance might be confined to one-off advice or assistance. However you are more likely to be offering a complete service, representing the client until the matter is resolved, or until it reaches a stage where you can no longer act. When you do this you are entering into a contract with your client. There will be obligations on both sides - even if your client is not paying for your service.

### Responsibilities usually involve

* Taking and following instructions.
* Ascertaining exactly who is your client (usually this will be the person giving instructions, but not always - your client will be the person making the application, not their sponsor who comes to see you in the UK, if they have one!).
* Advising your client.
* Taking steps to resolve the immigration issue on the client’s behalf (at Level 1, this usually means submitting an application).
* Acting in your client’s best interest.
* Having trust and confidence in your client (note: this does not mean that you must believe whatever your client tells you - if you have good reasons to doubt your client you can and should discuss this with them).
* Maintaining confidentiality.
* Ensuring that the client is giving their instructions freely (note: if you suspect that your client is acting under duress or under the influence of someone else, you will need to exercise your judgment as to whether to continue to act).
* You should meet at intervals with the client (virtually and/ or in person) to discuss progress, review documents sent and received and to plan next steps.
* You should keep your client informed of all developments in their case You should always record in writing the advice you have given.
* You must keep the client informed in writing of any risks which exist or which might arise as the case develops.
* Beware of any deadlines from court or the UKVI- ensure that you never miss a deadline and if there are reasons beyond your control why you cannot meet a deadline, write to those concerned and request an extension of time.
* Always speak to your supervisor if you are unsure about an ethical issue that might arise in the course of obtaining instructions

{% hint style="warning" %}
**Note:** Your client also has a duty to also keep you informed of any developments that might have a bearing on their case such as a change to their financial and or family situation.
{% endhint %}

### Ending a Case

#### **There are many reasons why the relationship might end and the most common ones are:**

* The client is granted immigration status or refused, and the client agrees that no further action should be taken.
* It becomes apparent that your client needs advice or assistance that neither you nor your organisation have the required level of competence. For example, if you are working in a Level 2 organisation and your client needs help with an appeal.
* You lose contact with the client and can no longer take instructions- you would normally send a letter to the client's last known address requesting the client to contact your offices. This normally within 14days of receipt of the letter.
* The client decides to stop instructing you or changes to another advisor.
* You are no longer able to continue to advise due to a breakdown in your relationship with the client – if the client is unhappy with the service provided every effort should be made to find out the problem and resolve it if you can.
* Your client has become abusive and you cannot reasonably be expected to ignore this. (Small verbal outbursts at times of extreme stress may be tolerated.)
* Your client has become uncooperative to the extent that you can no longer effectively represent them.
* Your client has used deception and will not allow you to reveal the truth. In these circumstances you must withdraw from the case.


# 3.2 Taking Client Instructions

This is a process which requires some finesse as the client will not always be able to identify what is relevant and will not always be able to tell their story in a logical sequence. You might need to probe for more detail and/or filter information from the client’s instructions in order to take things forward.

### Part 1- Formalities 

Use this part of the interview to put the client at ease, ensure the client understands your role. If you know the client in another role (e.g. a welfare support role) explain the new Immigration advice role you are playing and how it relates to the old role, in particular, whether it is independent (i.e. if you stop acting for the client in their immigration matter, can they continue to access other support?). During any formalities, try to establish a slightly more formal relationship with the client (for the purposes of taking instructions.) But if you can make the client laugh, this is the time to do it – a formal relationship doesn’t have to be dull.

#### **Introduction:**

* [ ] Introduce yourself
* [ ] Interpreter
* [ ] Anyone else

#### **Explain your role:**

* [ ] Destitution/welfare role
* [ ] Legal adviser role
* [ ] Overlap
* [ ] Independence of destitution/welfare role

#### **Explain the interpreter role:**

* [ ] Interpret what is being said ‘verbatim’
* [ ] Be impartial
* [ ] Maintain Confidentiality

#### **Explain the limitations:**

* [ ] Funding/remit 
* [ ] OISC Level

#### **Explain duties:**

* [ ] Client’s best interests
* [ ] Confidentiality
* [ ] Duty to court (can’t deceive court/home office)

#### **Check nay conflicts of interest?**

* [ ] Is there anything that compromises your independence?
* [ ] See more in the [Conflict of interest section](/sections/2.-caseworker-registration-compliance/2.4-ethics-oisc-code-of-standards#conflict-of-interest)

#### **Explain the forms:**

* [ ] Authority
* [ ] Confidentiality/consent form

#### **Explain how you will take instructions:**

* [ ] See more in the [Taking instructions section](/sections/3.-case-management/3.2-taking-client-instructions#part-2-taking-instructions)

### Part 2 - Taking Instructions

This is the longest part - allow at least an hour. Record everything verbatim (i.e. write down questions and answers word-for-word.) Try and establish a rhythm of question and answer with minimal interruptions. Begin with some fairly open questions - e.g. “how can I help you?” and give the client some space to talk.

#### General:

* [ ] What does the client want to do?
* [ ] Biographical information (date/place of birth, nationality, parents etc.)
* [ ] Background (education/employment, etc.)
* [ ] Immigration history (applications, appeals, etc)
* [ ] Health
* [ ] Family in UK
* [ ] Private life ties to UK
* [ ] UK antecedents

#### Protection (if applicable):

* [ ] Who?
* [ ] Why?
* [ ] How?
* [ ] Past persecution
* [ ] Future fear
* [ ] Arrest/detention?
* [ ] State protection
* [ ] Internal flight
* [ ] Journey to the UK
* [ ] Dublin/safe third country issues
* [ ] Entry into UK
* [ ] Actions on arrival
* [ ] Reasons for any delay in claiming

#### **Private Life**

#### **Adult:**

* [ ] Length of Residence in the UK
* [ ] Education/Qualifications Children
* [ ] Spouse/Partner 
* [ ] Medical Issues 
* [ ] Exceptional Circumstances 
* [ ] Insurmountable Obstacles
* [ ] Religion
* [ ] Relatives/ Friends 
* [ ] Ethnicity
* [ ] Criminal & Immigration History 
* [ ] NHS & Litigation Debts

#### **Child:**

* [ ] Length of Residence in the UK
* [ ] Nationality 

#### **Child life in the UK:**

* [ ] Education/Special Education Needs, Fees
* [ ] Medical Issues 
* [ ] Language Spoken and Written
* [ ] Relatives/Friends 
* [ ] Places of Worship
* [ ] NHS & Litigation Debts
* [ ] Criminal & Immigration History 

#### **Life of the Child in the proposed country:**

* [ ] Single Parent Family
* [ ] Family members who are LGBTQ
* [ ] Religion 
* [ ] Ethnicity 
* [ ] Conditions of entry
* [ ] Housing
* [ ] Healthcare Facilities 
* [ ] Education-Language/Fees
* [ ] Child Mortality rates
* [ ] Child Labour
* [ ] Child Marriage

#### **Actions:**

* [ ] Complete any necessary forms
* [ ] Agree tasks for you
* [ ] Agree tasks for client
* [ ] Agree deadlines

### Part 3 - Advice and Actions

If you are uncertain, you may wish to reserve the bulk of this for a second interview and give only interim or qualified advice.

#### **Re-check: Conflict of Interest?**

Do the instructions raise anything new that may compromise your independence?

#### **Advice:**

Outline any possible applications, claims or other courses of action, and for each action, explain:

* [ ] Requirements to be met
* [ ] Evidence needed
* [ ] Strengths and weaknesses
* [ ] Prospects for success
* [ ] Advantages and disadvantages
* [ ] Procedures
* [ ] Deadlines

Also explain any current circumstances and potential consequences of inaction:

* [ ] Liability for detention
* [ ] Risk of enforcement action
* [ ] Criminal offences

{% hint style="info" %}
**Webpage:** [Immigration Guidance For Professionals](https://www.barstandardsboard.org.uk/uploads/assets/1cabca08-4c4b-4701-965e7fa7637cbbdd/immigrationguidanceforprofessionalsreport-forweb.pdf) *(Bar Standards Board)*

A PDF document containing guidance for professionals working with people with Immigration and asylum issues.
{% endhint %}


# 3.3 Use of Interpreters

### When to use an interpreter:

* When it is apparent from the referral that the client speaks another language and has limited use of English.
* Client requests one.
* When there are concerns that the client is unable to express themselves fully and freely due to language barriers.

### Prior to the appointment:

* Know the client’s country of origin.
* Check the language that they speak- do not assume that because they come from a particular country then they speak a particular language native to that country. 
* Check the dialect that the client speaks- different dialects are sometimes spoken in different parts of a particular country.
* Check whether the client has any preference in relation to the gender of the interpreter.
* Be mindful of ethnic, cultural, regional tensions which might impact the quality of interpretation-although if it is a professional interpreter this should have no bearing on their interpretation

### During the appointment:

* Check that the interpreter is competent to interpret both in the client’s language to English and then from English back again to the client’s language. 
* At the beginning of the session the interpreter should introduce him/herself to those in attendance.
* You should introduce yourself to the interpreter, to the client and clearly explain everyone's roles.
* Explain that the interpreter is bound by a confidentiality agreement and will not discuss the case with anyone external to the session.
* Explain the purpose of the meeting/session.
* You should talk directly to the client, maintain good eye contact (where culturally appropriate) while speaking and always addressing the client directly, e.g. “how are you today?”
* Ensure that the interpretation is in the first person (‘I’ was beaten not ‘he’ was beaten).
* Observe the client’s non-verbal communication but bear in mind that gestures can mean different things in different countries or cultures.
* Speak clearly and slowly. Pause after each sentence to allow the interpreter to translate a manageable amount of information at a time.
* Speak in simple, plain English and try to avoid jargon and acronyms where possible.
* Keep explanations simple- longer and information packed sentences may make it difficult for the clients to understand.

### Dos & Don'ts

#### **Interpreters should:**

* Act in an impartial and professional manner
* Be fluent in the language(s) specified
* Not pretend to understand something when they haven't
* Interpret accurately without anything being added or omitted

#### **Interpreters should not:**

* Engage in long conversations with the client or family and then provide summarised versions of what he or she said at the end.
* Assume the role of an advocate for the client.
* Reply on the client’s behalf.
* Help the client to answer the questions.

### **Using family or friends for interpreting**

It is often inappropriate for family or friends to interpret on behalf of client for the following reasons:

#### **Lack of confidentiality:**

Family members may not fully understand the need for strict confidentiality - matters are especially sensitive when a child interprets for a parent, as the child may not be aware of his/her family‘s immigration status.

#### **Disclosure of sensitive information:**

The family member may not want to disclose issues about family problems or conflicts which might be the origin of the current crisis.

#### **Lack of impartiality:**

A friend or relative may 'side' with you or the client, or not pass on information they do not agree with.

#### **Conflict of interest:**

A family member may want things for the client that the client does not want for themselves. 

#### **Advice giving or advocacy:**

Often with an understandable wish to be 'helpful' or 'supportive', friends and family may misinterpret your instructions or advise the client what to say.

### Further reading and resources:

{% hint style="info" %}
**PDF:** [Handbook for Interpreters in Asylum Procedures](https://www.unhcr.org/dach/wp-content/uploads/sites/27/2017/09/AUT_Handbook-Asylum-Interpreting_en.pdf) *(UNHCR)*

This handbook is intended to  offer guidance and support to interpreting practitioners, trainers and authorities and that it will advance efforts to promote the use of trained and qualified interpreters in asylum interviews.
{% endhint %}

{% hint style="info" %}
**Webpage:** [Managing language barriers for refugees and asylum seekers](https://www.bma.org.uk/advice-and-support/ethics/refugees-overseas-visitors-and-vulnerable-migrants/refugee-and-asylum-seeker-patient-health-toolkit/managing-language-barriers-for-refugees-and-asylum-seekers) *(BMA)*

Refugee and asylum seeker patient health toolkit for managing language barriers for refugees and asylum seekers.
{% endhint %}

{% hint style="info" %}
**Webpage:** [Guidance for UKVI Freelance interpreters](https://www.gov.uk/government/publications/guidance-for-interpreters/guidance-for-interpreters) *(GOV.UK)*

This is a guide about Interpreters that are used by the UKVI, how the UKVI engage and assess interpreters, and are responsible for them. 
{% endhint %}


# 3.4 Responding to Enquiries (Email & Phones)

Many of the organizations you may work/volunteer for in a charity sector as well as providing substantive legal advice also provide a service for general enquiries , your organisation might be able to help with that enquiry or you might need to refer the matter on whatever the situation that arises you must always:

#### **Be positive, patient and empathetic:**

Remember most of the clients that you will be dealing with might be distraught and they see you or the organisation you work for as their place of sanctuary. 

#### **Have useful information to hand and be ready to deal with common questions:**

Clients often do not have the means to contact organisations repeatedly and to give them a sense of HOPE it is advisable to keep a list of organisations, refugee, solicitors, police to signpost and refer if need be. 

#### **Keep good records of new enquiries:**

This is to enable the organisation to keep a track of the enquiries received but also to assist if a dispute arose as to what was said and how the client was treated.

#### **Keep detailed casenotes of phone calls and e-mails with existing clients:**

This an essential component of good casework (see below) - you do not want to be in a position where important information was given over the phone and then not recorded.

#### **Follow up any messages quickly:** 

It’s best not to keep clients waiting on any advice, action or decisions.

#### **Live up to your promises:**

Do not promise clients something that you are unable or unwilling to deliver. If you have promised a client an action make sure you deliver the action in the agreed timescales. 

#### **Maintain confidentiality:**

Other individuals may ring you or answer the phone when you ring the client - in these circumstances be always conscious of your duty to maintain confidentiality which places an obligation on you to always communicate directly with the client.

#### **Obtain client authorisation when you communicate with another person:**

You should confirm this in writing to the client. 

#### **Check if clients are happy with the people present:**

If a client attends a meeting with others, you must check each and every time that the client is happy for the other person to be present. 

#### **Avoid leaving a message on the client landline:**

You can never be sure who will hear the message.


# 3.5 Case Notes Recording

### **Case recording - why do it?**

Case records are the only record we have of the advice/information that has been given/received, and the actions that have been taken in relation to a client’s needs. If we have not recorded something, we cannot claim that we gave the advice, or took any action.

#### **If we do not case record properly:**

* We waste our client and the organization’s time, having to ask the same questions again.
* We may give wrong advice.
* We’re likely to miss giving useful advice or information as we don’t know all the relevant circumstances.
* If someone complains about us, we don’t have any evidence of what we’ve done and the advice we gave.
* It is difficult for others to follow on from the work that we have done if we share caseloads or work with volunteer advisors. 

### **Case recording - how to do it**

#### **Basic rules:**

* If it happens, write it down - if you don’t it will become an invisible dog that may bite you at any moment!
* Write case notes as soon as possible
* Notes must give someone else a clear picture of the client’s situation
* Every interaction with the client or with a third party concerning the client must be recorded
* Make it clear who has responsibility for any actions. 
* We recommend using the [STAR](https://en.wikipedia.org/wiki/Situation,_task,_action,_result) (Wiki) method when writing up your notes STAR stands for: 
  * S-Situation
  * T-Task
  * A-Action 
  * R-Result

### What to record

#### **Situation:**

Describe the issues/problem(s) that the client has presented 

* Main issue/ questions/ circumstances presented by client. 
* General assessment of client’s presentation (eg mental/physical health/ behaviour etc)
* Be certain to distinguish fact from opinion 
* Options and consequences of them

#### **Task:**

Describe the task you had to complete to address the issues or problems presented.

#### **Action**:

Describe the Action that you took to address issues or problems presented   

* Advice given
* Client’s decision(s)
* Action taken at the time
* Information given to client; referral /signposting details
* Follow up - include follow up actions and key dates when they need to be taken

#### **Result:**

Describe the results of your actions

### **Checklist for good quality case notes** 

#### **Case notes should be:**

* [ ] Legible
* [ ] Brief
* [ ] Relevant
* [ ] Easy to understand
* [ ] Non-judgemental
* [ ] Avoid use of acronyms and if they are used what they mean is in brackets
* [ ] Include contact details for third parties when relevant

{% hint style="warning" %}
**Note:** Your client can request their file and read your casenotes!
{% endhint %}


# 3.6 Common Documents on an immigration file

The documents the client will need to provide with their application depending on their circumstances. Some documents are mandatory and others need to be provided depending on the client’s circumstances. 

The following list should help you to identify documents that your client can provide to support their case. It's important to provide all of the documents needed, as not doing can lead to a refusal of the application.This is not an exhaustive list.

The documents required will depend on your clients circumstances and the type of application they are making.  Always look at the requirements of the relevant immigration rules to check whether any further documentation may be required.

### Common documents:

* Signed Confidentiality/Consent Form 
* BRP card
* ARC card
* Passport
* Birth Certificates 
* Qualifications
* Translations (if applicable)
* Documents for Dependents
* Previous Reps Letters
* NASS support letters
* Reasons for Refusal Letter
* Determination - Court Decision
* Decision on Further Submission
* Fresh Evidence
* Home Office Grant letters
* English Language Test (if applicable)
* TB Test Certificate (entry clearance applications)
* Evidence of Income e.g. wage slips, JSA, universal credit, s bank statement from all banks current & savings, letters of   support, child tax credit, working tax credit, ESA, PIP
* Evidence of Expenditure, e.g. letters confirming debt owed, tenancy agreement, council tax bills 
* Evidence of family and private life, child support, court letters, school letters, utility bills, letters of extra curriculum activities, church, mosque, community letters, social workers, medical report


# 3.7 Document Filing

## 3.6 Document Filing

How documents are saved will depend on the organisation that you work for. Some organisations keep physical paper files whilst others are moving towards paperless offices by creating digital folders.

### Physical Folders:

#### **Create a client contact sheet:**

* A sheet of paper containing the client’s contact information – telephone number(s); address; personal email; 
* Date of instruction and any notes you may have taken during your initial consultation.
* Once completed, the client contact sheet gets stapled to the inside left cover of the initial file folder. 
* It is always handy to have this information at your fingertips and not just stored digitally.

#### **Create a folder:**

* Start with one manila folder with the client’s initial documents, i.e. passport, BRP card, ARC Card confidentiality form  and a completed client contact sheet

**Create subfolders:**

As the file grows you should create subfolders and the most common in an immigration file are:

* Proof of Application
* Identity Documents 
* Finances 
* Medical 
* Education
* Life Events

### Digital Folders:

* Depending on your organisation preference you can create a digital folder on your computer’s hard drive or your organisation’s networked drive. 
* You will need to create a folder for the digital files and electronic information for this client.
* You could first create a directory/folder labelled “Clients”.
* Then create a subfolder/directory in it for each client. 
* Ensure all casenotes and correspondence have a filename that clearly identifies what they are and when they were created, sent or received - we suggest beginning the filenames with YY-MM-DD so that they appear in chronological order - for example “21-04-07 Casenote (phone call)” or “21-03-15 Client Care Letter”
* Supporting evidence should be saved in sub-folders,  as detailed above.
* When you submit an application, it would be sensible to save a copy of the application, any accompanying representations and all supporting documents in a similarly dated sub-folder - for example “21-04-21 Visit Visa application and supporting docs.”  This is to ensure there is no ambiguity over what has been submitted to the Home Office.

{% hint style="info" %}
**Webpage:** [Managing and closing files](https://www.lawsociety.org.uk/en/topics/business-management/managing-and-closing-files) (LawSociety)

*Your organization should have a system for managing files, including digital files. All your staff should be aware of this system.*
{% endhint %}


# 3.8 Certification of Documents / Countersigning

You can certify a document as a true copy of the original by getting it signed and dated by a professional person, like a Solicitor or an OISC Registered Advisor 

* You may be asked by a client to certify a document on their behalf acting in your professional capacity as an OISC Registered Advisor.
* Usually, this will be for things like Travel document applications, British Passport Applications and Naturalisation Applications 
* You can take the photocopied document and the original and certify the copy by:
  * writing 'Certified to be a true copy of the original seen by me' on the document
  * signing and dating it
  * printing your name under the signature
  * adding your occupation, address and telephone number
* You can countersign photos.  In most cases you are required to confirm that: 
  * You have known the client for more than 2 years
  * The client  is who they claim to be
  * As far as you know, all the information they have put on the form is true

{% hint style="warning" %}
**Note:** *DO NOT* be tempted to complete and confirm this if you have not known the client for the requisite length of time, you will be committing fraud, which if discovered could lead to you being prohibited from practicing as a lawyer or immigration adviser and possibly facing criminal charges.
{% endhint %}


# 3.9 File Requests

#### **Requesting files**

Before you begin working on a case you need to be confident that you have all the information you need.  Where a client has made previous applications or claims, you need to know what information the home office has and what decisions were made.  Your client will usually be able to tell you some of this, but they are unlikely to remember everything.  If you are very lucky, your client may have kept a file themselves, however this will not be usual and may not be complete.  

There are two ways you can get hold of previous applications and claims:

* Request the file from a previous representative, if there is one
* Make a Subject Access Request (SAR) to the Home Office

#### **Requesting files from previous reps:**

This can be done with a letter to the representative asking for the file, enclosing a copy of your authority to act for the client, signed by the client.  OISC advisers are required to provide the file within 3 working days.  However solicitors and barristers are subject to less stringent rules and may withhold the file where the client owes them money.  This is referred to as a ‘lein.’  While this is technically permitted it is doubtful it will be consistent with the duty to act in the client’s best interests where the client is unable to pay and may be prevented from resolving their status as a result.

#### **Subject access requests**

You can find information on [how to make a subject access request](https://www.gov.uk/government/publications/requests-for-personal-data-uk-visas-and-immigration/request-personal-information-held-by-uk-visas-and-immigration) on GOV.UK.  This may give you access to some or all of the documents and information that the Home Office has concerning a client, depending on the type of request you make.  You do not need to be regulated to help a client to make a subject access request.  However, when a client makes a request, they may be giving information to the Home Office that the Home Office does not already have - for example their current address.  Therefore you must ensure that your client is fully aware of the information that has been included in the form and consents to that information being passed on to the Home Office.

#### **Responding to file requests:**

The OISC’s Code of Standards requires you to respond to file requests as soon as possible and not later than 3 working days from the date of the request.  In that time you should provide everything: all documents, correspondence, casenotes, handwritten notes etc. in a tidy, well-ordered file (which can be in digital format, encrypted as necessary.) 

Before handing over the files to either the client or the new reps you should note the following.

### **Documents belonging to the client:**

* Original documents sent to the organisation by the client (unless ownership was intended to pass to the firm).
* Documents sent to or received by the organisation as agents for the client e.g. correspondence with counsel or experts.
* Final versions of documents which go to the object of the provision of legal advice e.g. agreements or written representations.
* Final versions of documents prepared by a third party and paid for by the client e.g. counsel's advice or expert reports.

### **Documents belonging to the organisations:**

* Documents prepared for the organisation's own benefit or protection e.g. file copies of letters written to the client, notes regarding time taken or made for protective purposes regarding advice to the client.
* Drafts and working papers.
* Internal emails and correspondence.
* Emails and correspondence written by the client to the organisation.
* Accounting records including disbursement vouchers and timesheets.

### Further reading and resources

{% hint style="info" %}
**Webpage:** [Ownership of documents](https://www.lawsociety.org.uk/en/topics/client-care/ownership-of-documents) *(LawSociety)*

This guidance can help if you do not already have an agreement with your client about who owns documents.
{% endhint %}

{% hint style="info" %}
**Webpage:** [The ownership and destruction of files](https://www.lawscot.org.uk/members/rules-and-guidance/rules-and-guidance/section-e/division-b/guidance/the-ownership-and-destruction-of-files/) *(LawScot)*

This guidance includes information about the intention to destroy files and/or papers after a certain period of time following the conclusion of a matter.
{% endhint %}


# 3.10 Drafting

#### In your role as a Level 1 adviser you can be expected to draft the following documents:

* Advice letters to clients (including Client Care Letters).
* Letters of representation to the Home Office.
* Statements on behalf of clients and/or their family members.
* Letters to third parties (e.g. doctors or schools) to request evidence or information.

#### **You may be asked to draft an advice letter or a letter to the Home Office on assessment.** 

It is important to:

* Understand the difference good drafting can make; 
* The danger of cut and paste; 
* Long does not necessarily mean good; 
* Getting the law right; 
* Be clear and avoid legalese.
* Typos make you look sloppy. 
* Inaccuracies in the facts and the law are even worse.
* Get someone to check your work. 
* You can get too close.
* Be persuasive

### **Advice Letters**

* The OISC’s Code of Standards requires you to set out any advice you give in writing.
* This may be in the form of a client care letter, when first taking instructions, or in the form of a supplementary letter, if circumstances change and you need to update your advice.
* You should have a template client care letter which will set out your terms of service, your duty of confidentiality, your complaints procedure, etc.
* The template should contain space for you to include your advice.
* Supplementary letters may be more free-form as there would be no need to repeat the standard aspects of a client care letter.
* On assessment you may be given a set of facts and expected to draft a client care letter or advice letter – you will only be concerned with drafting the advice part of the letter.
* Advice letters need to cover the following:
  * Your client’s instructions (in summary form, and ending in a sentence asking them to inform you if there are any mistakes or misunderstandings).
  * Your advice (so that your client can refer to this, if required).
  * Any agreed actions (so that it is clear what you will do and what your client needs to do).
  * Any key dates or deadlines (so that these can be diarised).
* You may wish to break down your advice into subheadings, for example:
  * The application(s) you can make
  * The requirements you must meet
  * The evidence you must provide
  * The procedures for applying
  * Your prospects for success
  * What you will get if your application succeeds
  * What you can do if your application does not succeed
* Your advice letter should be written in a style that your client can easily understand:
  * With a well educated client you may be able to include more legal terminology.
  * With a less well educated client you will need to explain things in simpler terms.
* In general you should:
  * Be polite and courteous
  * Avoid official language, jargon, acronyms, legal terminology, etc. except where necessary
  * Where such language is necessary, explain what it means
  * Avoid long or complicated sentences
  * Use headings, bullet points, etc. to make the information as accessible as possible
* There is more advice on drafting in the "OISC Exam Resources" section of the website.

### **Letters of Representation**

* Any application will require a covering letter informing the Home Office that you are acting for the client and enclosing your letter of authority (a document signed by the client authorising you to act for them)
* The structure will be broadly similar to an advice letter:
  * The application your client is making
  * An itemised list of all documents and evidence submitted in support of the application
  * How your client meets the requirements
  * How the evidence shows that they meet the requirements
  * An invitation for the Home Office to grant leave, with appropriate conditions
* You should use plain English, but slightly more formal and employing the correct legal terminology


# 3.11 Drafting Witness Statements

Witness statements are probably the first encounter that the UKVI will have with your client and their version of events, it is therefore imperative that a statement is recorded accurately and concisely as it can potentially either enhance or destroy your client’s case. At the tribunal a good statement  has the potential to win an appeal and a carelessly drafted statement can impact the favourable outcome of the case. 

The point of the witness statement is to tell your client's story, in a credible and persuasive manner, and wherever possible, in their own words.

#### **It is important that a witness statement:**

* Is structured
* Is written in in the client’s words (where possible) 
* Contains sufficient and specific details 
* Is concise - do not repeat facts
* Is precise
* Uses correct, plain and professional English
* Maintains ethical standards
* Is persuasive

### **Structure** 

The most common structure used is chronological – in a case were the client fears persecution on return due to their political or religious beliefs, the following chronology might be helpful in setting out your client’s case:

**Background:**

Name, address is country of origin, parents, siblings, wife, children and  their location.

**Upbringing:**

Where did they grow up, which schools did they attend, when they left their parents home, when did they get married.

**The development of their beliefs and activities:**

At what age, why those particular beliefs, how did they showcase their beliefs, what activities did they take part in blogging, attending rallies, demonstrations, vigils etc.

**Any acts of persecution:**

Were they ever beaten, tortured, arrested, raped, harassed constantly.

**The circumstances of their decision to flee:**

The event that happened immediately before they left which made them decide to flee.

**The escape from the country:**

How, when and who assisted, how did they get the money for an agent for example. 

**Any relevant post-arrival news from her country of origin:**

Who did they speak to and how did they communicate?

**Relevant post-arrival activities:**

Have they been involved in any surplus activities i.e attend church or political groups here in the UK.

### **Style**

* The statement should establish all the client’s facts and it should be written in a way that does not make the reader doubt what is being said by the client. The story ‘must ring true as their story’
* It is important to note that the style of the statement will vary according to the personality, education, culture, and experiences of your client. 
* You should ensure that the statement reflects as far as possible the way your client speaks and the language in which they will give oral evidence. 

#### **To do that the statement should be:**

* The client’s perspectives which is based on her experience and perceptions 
* What the client did
* What the client experienced
* What the client thought
* Why the client thought that
* Explained from the client’s own point of view their knowledge, beliefs, and feelings

#### **Important things**

* The client MUST never fall into the trap of explaining actions of third parties when they are not able to do so, otherwise they might find themselves in the unfortunate position of explaining what led her to such a belief.
* The statement MUST clearly distinguish between what the client knows and what the client merely believes to be true.  Where the client merely believes something, the statement should explain the reasons for that belief.
* The statement should normally be confined to matters that are within the client’s experience and should not include information that is second-hand (i.e. ‘hearsay’ evidence.)  However there may be circumstances where it is appropriate to include such evidence, e.g:

  * if the information is important to the case and cannot be found in any other potential source of evidence.
  * If the information was the reason why the client did something.

  When including hearsay evidence, an explanation of how the client came by the information will be essential.
* DO NOT present the statement ‘in emotional or passionate language when your client's language is actually matter-of-fact or under-stated’.
* DO NOT use ‘expansive, sophisticated or complicated language when your client is actually of little education’.
* Refrain from using phrases like  as 'I submit' or 'I confirm’ as they might give the impression statement is not written in your client's words.
* DO NOT ‘embellish a witness' statement with standard passages which you think sound convincing and powerful’.  

### **Detail**

The amount of detail provided will depend on your client. Some clients can provide detailed accounts of their mistreatment when in their home country, whilst some are just incapable of providing a coherent account of their persecution largely due to the issues around a desire not to recollect these painful memories or as a result of the persecution that they suffered they are unable to recollect these memories. 

Some Immigration Practitioners have found that in some instances detail can be a two-edged sword;

*‘A detailed and articulate account has on occasion been attacked as well-rehearsed and contrived, just as a hesitant, reluctant or vague account may be alleged to be fabricated. Detail as to specific times and dates in a statement may also be used against your client if she is unable to reproduce the same level of detail in cross examination or if she gives similarly detailed, but inconsistent evidence.’* 

[**Drafting the statement**](https://www.ein.org.uk/bpg/chapter/12)

The [API on Assessing Credibility and Refugee Status](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/397778/ASSESSING_CREDIBILITY_AND_REFUGEE_STATUS_V9_0.pdf) (Home Office) acknowledges this, saying "a 16 year old boy would not necessarily be able to provide details of his father's political activities and an illiterate farm worker would not necessarily be able to provide details of national political developments despite being a supporter of the political opposition" (para 5.5).

{% hint style="info" %}
**PDF:** [Asylum Policy Instruction](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/397778/ASSESSING_CREDIBILITY_AND_REFUGEE_STATUS_V9_0.pdf) *(GOV.UK)* 

This provides guidance to caseworkers responsible for deciding asylum claims in accordance with the Refugee Convention and the European Convention on Human Rights (‘the ECHR’). 
{% endhint %}

### **Final steps**

You must always check your client’s final statement against the following documents:

* All UKVI interview notes;
* All statements and written representations previously submitted, whether by you or a previous representative;
* All documentary evidence specific to the client, for example dates of arrest warrants and letters from family members;
* Any medical reports, other expert reports or character references which have been or may be submitted.
* This will enable you to address any potential discrepancies or inconsistencies.
* Each time you read the statement back to the client, remind them to let you know if anything is incorrect, pointing out that an inaccuracy in what may appear to be an insignificant detail may be crucially important. However, you should not rely on the client to point out inconsistencies between the statement and other documents. It is your duty and responsibility. 
* The final paragraph should be the statement of truth:
  * 'I believe that the facts stated in this witness statement are true. I understand that proceedings for contempt of court may be brought against anyone who makes, or causes to be made, a false statement in a document verified by a statement of truth without an honest belief in its truth.'
* Best Practice dictates that:
  * ‘The interpreter should then append to the statement his own short statement that he has read back the contents of the document to the maker of the statement in his or her own language. That should then be signed and dated by the interpreter, whose name should be given.’
* You should provide the client with a translation of her statement if she will not be giving evidence or being interviewed in English.


# 3.12 Safeguarding Guidance / Obligation for Caseworkers

#### **Guidance on particular situations that might arise:**

This section describes the most common situation that you might encounter where you might be concerned about the safety of your client either through observation or by being informed by the client . In all the below situations, please follow the procedures in your organization’s Safeguarding Procedures. However, please remember that you always have a duty to inform the local authority Children’s Services if we consider a child is at risk and/or in need of protection. 

In all cases where a child is thought to be at risk, you should try to discuss the concerns with a manager before the child leaves the premises, especially if you are unsure where they may be going afterwards.

#### **You suspect that a child may be at risk of Female Genital Mutilation:**

Female genital mutilation (sometimes referred to as female circumcision) is practised predominantly amongst communities from sub- Saharan Africa, the Horn of Africa, the Arab World, Malaysia and Indonesia. The most recent estimate from FORWARD (the Foundation for Women’s Health, Research and Development) is that 20,000 girls are at risk in the UK, many in refugee communities.

The practice has its roots in cultural, moral and religious traditions (although there is, in fact, no direct link to any religious teachings) and failure to undergo the procedure can result in isolation for girls and women in their communities.

Nevertheless, as female genital mutilation involves extreme pain and trauma for the child and is a potentially life threatening procedure, it is an act of physical abuse likely to result in significant harm to the child. Its practice in the UK has been illegal since 1985. [The Female Genital Mutilation Act 2003](https://www.legislation.gov.uk/ukpga/2003/31/contents) makes it an offence for UK nationals/ permanent UK residents to carry out female genital mutilation abroad (as well as in the UK) and to aid, abet, counsel or procure the carrying out of female genital mutilation abroad, even in countries where the practice is legal. 

[The Serious Crime Act 2015](https://www.gov.uk/government/collections/serious-crime-bill) was also introduced and made failing to protect a girl from FGM a criminal offence. It also introduced a mandatory reporting duty which requires regulated health and social care professionals and teachers to report ‘known’ cases of FGM in under 18s to the police. This came into force in October 2015. The first person to be convicted for this was sentenced to eleven years in prison in early 2019. Please see FGM practice guidance for additional information

If it comes to your attention or you have reasons to believe that a child/ young woman is about to undergo female genital mutilation, please discuss with your manager/ DSO and make a child protection referral to Children’s Social Care. They have a duty to investigate the risk to the girl as they would with any other allegation of abuse.

If you learn that a young woman has already undergone the procedure, particularly if this is quite recently, please discuss with your line manager/ DSO. It may well still be necessary to refer to Children’s Social Care or the GP so that they can assess the need of the child for follow-up medical services or perhaps appropriate counselling. Those responsible for this abuse would be charged with an offence.

#### **You suspect that children could be victims of trafficking or child sexual exploitation (including forced sex work):**

Many of the asylum seekers we work with, adults and children, have been smuggled into the UK. ‘Trafficking’ however differs from smuggling in that, legally, it involves an element of exploitation and/or coercion or deception. [The Council of Europe Convention on Action against Trafficking in Human Beings](https://rm.coe.int/168008371d) has now been ratified in the UK and came into force in 2009, making trafficking a criminal offence. The police are responsible for making assessments of whether a person has been trafficked so if there is a need to report a suspected trafficking case, it should be done to the police and children’s services. 

Trafficked children and their parents/ carers may have been told lies about what kind of life awaits the child in the UK, or parents may have been frightened or threatened into giving up their children to traffickers. Sometimes children are abducted or kidnapped and brought to the UK to be sexually exploited.

Most trafficked children will not come to the attention of  your organizations. Their traffickers may be careful to keep them out of the reach of welfare or advice agencies and many never enter the asylum system.

However, in some cases traffickers will initially deliberately put people into the asylum system, before then transferring them to where they will be exploited, so we should always be aware of the possibility that any of the clients we see may be caught up in the world of trafficking and act accordingly.

#### **Apart from a child ‘disclosing’ to you that they have been trafficked and need help, signs that might make you suspicious include:**

* A child or young person attending our offices with an adult who is clearly not their parent or carer or a close relative (they may be unsure about the correct name of the adult, for example)
* A child saying that they are older than they look and/or dressed in a more ‘grown-up’ way than seems appropriate
* Confusion about nationality which might come to light, for example if a child cannot speak fluently the first language of their stated nationality
* A child who is visibly frightened by the adult he/she is with or by the prospect of returning to where they live.
* A child/ young person who has been engaged in sexual exploitation in another country before arrival to the UK. They may have young children of their own.
* Of course, the above may well be the result of several situations other than trafficking.
* If you have concerns that a child or young person may be the victim of trafficking, please discuss with your manager, and follow the set procedure to determine the most appropriate action to take. Try to talk to the child or young person on his/her own and ascertain if they are willing to wait in the offices until they can be taken to a place of safety. As in any of the above scenarios, they are likely to be extremely frightened.


# 3.13 Working with Vulnerable Clients

Most immigration clients should be considered as vulnerable, they are usually in a state of heightened emotion when they first meet with their adviser, and we are usually asking them to explain very personal and upsetting matters with someone they have not met before. There are different degrees of vulnerability and how best to support and assist our clients can be an area of concern and confusion, particularly to less experienced advisers. This sections provides a guide for dealing with vulnerable clients

**A non-exhaustive list of clients who might be considered vulnerable might include:**

* Children
* Victims of domestic abuse
* Alcohol or substance misusers
* Those with a physical disability or illness
* Those with a mental illness
* The elderly
* Those who do not speak English as their first language
* Those with a learning disability
* Location
* Cultural barriers 
* Poor living conditions
* Isolation and lack of support networks

It may not be apparent at your first meeting that the client has any difficulty giving you instructions, but you have a duty of course to keep this under review.

### **Children**

Children will always be considered vulnerable clients or witnesses in any immigration case. There should always be a responsible adult with the child and it is usually a social worker from your Local Authority’s Children Department. You should not accept instructions from a child client unless they are accompanied by a responsible adult.

### **Mental Health Issues: Concerns about a client’s capacity**

The starting point is always the presumption of capacity.  A person should not be assumed to lack capacity due to age, behaviour, medical condition or because they couldn’t make a particular decision in the past.

In line with the Act anyone can assess capacity; however the person who assesses capacity should be someone appropriate to the decision or action in question.  Whether it is necessary to carry out any assessment of capacity will depend on the nature of any proposed decision.  If the decision is significant and capacity is an issue then you should follow the steps below.  

**Examples of significant decision may include:**

* A decision to apply for voluntary return or assisted voluntary return
* Legal decisions for example a decision to withdraw an asylum claim. 
* Decisions around support such as housing and financial support

When working with a client, if you have concerns about the client’s capacity then you should consider the following points.  

**Does the person demonstrate:**

* An understanding of the information relevant to the decision?
* The ability to retain that information?
* The ability to use and weigh up the information to come to a decision?
* The ability to communicate their decision? (With support from a professional such as an interpreter or speech therapist, if required).

If you can answer ‘yes’ to all of the above questions without hesitation, and the issue has not been raised by anyone else, then there is no objective justification for seeking a capacity assessment, notwithstanding a known mental health condition.  If the answer to one of the above questions is ‘no’ or ‘don’t know’ then you should seek a capacity assessment, following the steps in Part 4 below.  Your answers to the 4 questions above, and your reasoning should be documented in a casenote.

{% hint style="warning" %}
 **Note**: A person will not demonstrate an understanding merely by agreeing that they understand.  You may need to ask questions to test their understanding.  Similarly for retention and use of information.  Communication issues will normally be more readily apparent.  This requires only a ‘common sense’ approach as there is always the option to seek a medical opinion in cases of uncertainty.
{% endhint %}

If you have at any time carried out an assessment of the points above, you should notify your line manager, regardless of the result.  Your line manager should consider your assessment and the seriousness of the decision to be made.  

### **Procedure: Obtaining a medical/professional opinion:**

In line with the above section when a client is required to make a significant decision and there are concerns around their capacity to make this decision the caseworker (under the direction of the line manager) should obtain a formal assessment of the client’s capacity from a medical professional.

It is possible to obtain a medical opinion from a number of professionals.   In many cases the appropriate referral route will be through the client’s GP who will then be able to refer on for specialist services.  Alternatively you may be able to make a direct referral to a specialist service (such as a Community Mental Health Nurse) if the client is already a recipient of mental health services from the NHS or the local authority.

It is important to retain the trust of our client through this process, therefore we must obtain explicit consent from the client to request a medical opinion or assessment.  It should be recorded on the client’s file that this consent has been sought and granted.  Where the client does not consent to a medical opinion the case should be referred to the relevant Manager for a decision as to how to proceed.

When requesting reports, we must be aware of the delay this will cause to any service we provide and take the following steps to ensure that this is kept to an absolute minimum:

* Only request reports and assessments where strictly necessary.
* Request all reports and assessments promptly.
* Ensure all requests are clear, concise and unambiguous.
* Ensure insofar as possible that they are made to the right person.
* Chase reports where appropriate.
* Pay any associated fees promptly

The client must be kept informed throughout this process.  We should write to the client to inform them of the current situation, the actions we are taking, the reasons we are taking this action and a likely timescale for resolution.  A copy of this letter should be saved on the client’s file. 

### **Deciding a Client’s Capacity:**

On receipt, medical opinions should be examined critically to ensure that the medical practitioner has properly addressed the issue of capacity and has demonstrated a sufficient understanding of the client’s circumstances.  This is most likely going to be dealt with by a Senior Manager in your organisation.

### Further reading and resources

{% hint style="info" %}
**Webpage:** [Good Practice Guide to working with vulnerable clients](https://resolution.org.uk/resolutions-good-practice-guides/good-practice-guide-to-working-with-vulnerable-clients/) *(Resolution)*

This guide is designed to set out some best practice guidance on working together with vulnerable clients.
{% endhint %}

{% hint style="info" %}
**Webpage:** [Providing services to people who are vulnerable](https://www.sra.org.uk/risk/resources/vulnerable-people) *(SRA)*

This report brings together a range of resources, information and case studies for solicitors and law firms about providing services to people who are vulnerable. It includes an overview of how regulation and legislation apply when a legal services client is vulnerable.
{% endhint %}

{% hint style="info" %}
**Webpage:** [Practice notes](https://www.lawsociety.org.uk/topics/practice-notes) *(LawSociety)*

Practice notes give you guidance on a range of important legal topics, helping you give your clients the best possible advice. They set out our view of good practice for our members.
{% endhint %}

{% hint style="info" %}
**PDF:** [Vulnerability Good Practice Guide](https://www.barstandardsboard.org.uk/uploads/assets/196ca72c-464d-4b59-9d3f95ef4569b233/immigrationvulnerabilityguidance2018.pdf) *(BarStandardsBoard)*

A user guide for barristers working with vulnerable adult immigration clients to help them identify, assess and manage client vulnerabilities in line with good practice.
{% endhint %}

{% hint style="info" %}
**PDF:** [Issues with mental capacity](https://www.barstandardsboard.org.uk/uploads/assets/63747d36-dd2e-48bd-9a7da82df0471afa/factsheet6.pdf) *(BarStandardsBoard)*

This factsheet will help you in identifying a potential lack of capacity, provide practical advice on obtaining evidence of capacity and steps that can be taken if the client is found to lack capacity. It also directs you towards further sources of information.
{% endhint %}

{% hint style="info" %}
**PDF:** [Mental Capacity Act 2005](https://www.legislation.gov.uk/ukpga/2005/9/contents) *(GOV.UK)*

An Act to make new provision relating to persons who lack capacity; to make provision in connection with the Convention on the International Protection of Adults signed at the Hague on 13th January 2000; and for connected purposes.
{% endhint %}

{% hint style="info" %}
**PDF:** [Toolkits](https://www.theadvocatesgateway.org/toolkits) *(TheAdvocatesGateway)*

These toolkits provide advocates with general good practice guidance when preparing for trial in cases involving a witness or a defendant with communication needs. 
{% endhint %}


# Organisational Compliance

This section is for your information only as it is the organisation that has to fulfil these requirements not the Advisor.

![](/files/-MZx6zEqX8_-OWKzYFHV)

## 4.1 OISC Supervision Plans <a href="#id-2-1-who-are-oisc" id="id-2-1-who-are-oisc"></a>

The OISC does not require registered caseworkers to have supervision plans or supervisors if they are working within their level. However they sometimes allow caseworkers to work above their level under the supervision of a higher level caseworker. For further information see the documents below.

{% hint style="info" %}
**PDF:** [Guidance Note on Supervision](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/510424/Guidance_note_on_Supervision.pdf) *(OISC)*

This guide covers the duties of supervision, restrictions and observations. It also includes a supervision checklist.
{% endhint %}

{% hint style="info" %}
**PDF:** [Application to Supervise Trainee Advisers](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/510425/Application_Form_to_Supervise_Trainee_Advisers__2016.pdf) *(OISC)*

The application form is for OISC registered organisations applying to supervise trainee advisers.
{% endhint %}

{% hint style="info" %}
**PDF:** [Supervision Log Book Jan 18](https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/679284/Supervision_Log_Book_Jan_18.pdf) *(GOV.UK)*

*The supervision log book is to be maintained as a record of the supervisor and supervisees’ discussions and file reviews.*
{% endhint %}

## 4.2 File Reviews <a href="#id-2-1-who-are-oisc" id="id-2-1-who-are-oisc"></a>

The OISC recommends that at least three separate file reviews per supervised person are conducted each month. However, the OISC recognises that the type and complexity of the cases being handled by the supervisee, as well as their level of experience, will influence how many case files are reviewed.

## **4.3. OISC Complaints Procedure**

A client can complain to the Office of the Immigration Services Commissioner (OISC) if they think you have given them poor advice or an inadequate service, They can complain about any adviser, solicitor or barrister – even if they didn’t find them through the OISC.

{% hint style="info" %}
**Webpage:** [OISC Complaints Form](https://www.gov.uk/government/publications/oiscs-complaints-scheme-complaints-form-english) *(GOV.UK)*

This form is for those who wish to complain about the immigration advice or services they received from their adviser. The complaints form is in different languages.
{% endhint %}


# Templates

This section provides a selection of easy to update sample letters for writing to clients. This will lead to less errors and increased flexibility and consistency.

![](/files/-MZx7_C-QMj9BJ8oP6t7)

When writing letters for clients, we have provided a selection of sample letters for you to insert details into. This leads to less errors and increased flexibility. Templates are easy to update, and they provide consistency across casework. They can be improved regularly to meet instructional requirements as well as the client's needs. They are easily tracked and updated.

{% hint style="info" %}
[**Google Doc**](https://docs.google.com/document/d/1Z9qMBaL_AVqatm-X8aGwIS9vw2ypJT2WbSb1OV464lI/copy) **/** [**Word Doc**](https://docs.google.com/document/d/1Z9qMBaL_AVqatm-X8aGwIS9vw2ypJT2WbSb1OV464lI/export?format=docx)**:** File Review Template

This template is to ensure compliance with the OISC regulations on file management and to enable you to check the requisite instructions and documents you need to progress a case.
{% endhint %}

{% hint style="info" %}
[**Google Doc** ](https://docs.google.com/document/d/1irjiETTWcrMsZTL25FKkmhFVJeYQ0IxaxqJ2rtKxWoU/copy)**/** [**Word Doc**](https://docs.google.com/document/d/1irjiETTWcrMsZTL25FKkmhFVJeYQ0IxaxqJ2rtKxWoU/export?format=docx)**:** Client Care Letter

This letter usually introduces the client to the organisation and the services that the organisation will offer. It will also mostly contain the instructions you were given by the client, the advice you gave the client and what the next step you will take to progress the application. You should normally provide two copies of the client care letter, one for the client to keep and one for the client to return signed as having been read.
{% endhint %}

{% hint style="info" %}
[**Google Doc**](https://docs.google.com/document/d/1O8E50bqBdNKMphcH9OB8fx4Ahm4JCKE4V0-jLxzAjlk/copy) **/** [**Word Doc**](https://docs.google.com/document/d/1O8E50bqBdNKMphcH9OB8fx4Ahm4JCKE4V0-jLxzAjlk/export?format=docx)**:** Client Closing Letter - New Representatives

[**Google Doc**](https://docs.google.com/document/d/1gj5xXVlfLSqdAA7wHy3OGwhnZtuk-4CP-utZaU8EcrA/copy) **/** [**Word Doc**](https://docs.google.com/document/d/1gj5xXVlfLSqdAA7wHy3OGwhnZtuk-4CP-utZaU8EcrA/export?format=docx)**:** Client Closing Letter- Grant of Leave&#x20;

[**Google Doc**](https://docs.google.com/document/d/1s2cKliN4PZf__VQDUNO_TP3TRm4vN_SWjIhIweLKywo/copy) **/** [**Word Doc**](https://docs.google.com/document/d/1s2cKliN4PZf__VQDUNO_TP3TRm4vN_SWjIhIweLKywo/export?format=docx)**:** Client Closing Letter- Negative Decision&#x20;

These files are for you to inform the client the final outcome of their case.The letter also confirms the understanding that between the client and yourself that no further action will be taken by you. This letter should also inform the client that their file will be closed. You will need to confirm in the closing letter  how you will deal with cost, client’s documents and how the documents will be stored.
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# Glossary

This section provides a glossary of terms and definitions for the asylum & refugee sector.

| Term                                                                                                                                                                       | Definition                                                                                                                                                                                                                                                                                                                                           |
| -------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |
| **OISC**                                                                                                                                                                   | Office of the Immigration Services Commissioner                                                                                                                                                                                                                                                                                                      |
| **SRA**                                                                                                                                                                    | Solicitor Regulation Authority                                                                                                                                                                                                                                                                                                                       |
| **BRP**                                                                                                                                                                    | Biometric Residence Permit                                                                                                                                                                                                                                                                                                                           |
| **ARC**                                                                                                                                                                    | Asylum Registration Card                                                                                                                                                                                                                                                                                                                             |
| <p><strong>Case law</strong> </p><p><em>(See Precedent)</em></p>                                                                                                           | Principles of law arising from court decisions.                                                                                                                                                                                                                                                                                                      |
| **Concessionary policies**                                                                                                                                                 | Policies that the Home Office has developed in immigration and asylum cases that are not law, but which the Home Office should follow.                                                                                                                                                                                                               |
| **Discretionary policies**                                                                                                                                                 | Policies that the Home Office has developed in immigration and asylum cases that are not law, but which the Home Office should follow.                                                                                                                                                                                                               |
| **Discretionary Leave**                                                                                                                                                    | Leave granted outside the immigration rules at the discretion of the Home Office to those considered not to be in need of international protection or who have been excluded from such protection.                                                                                                                                                   |
| **EEA**                                                                                                                                                                    | European Economic Area-consists of the Member States of the European Union (EU) and three countries of the European Free Trade Association (EFTA) (Iceland, Liechtenstein and Norway; excluding Switzerland).                                                                                                                                        |
| **EU**                                                                                                                                                                     | European Union-is a political and economic union of 27 member states that are located primarily in Europe.                                                                                                                                                                                                                                           |
| <p><strong>Exceptional Leave</strong></p><p><em>(See Discretionary Leave and Humanitarian Protection)</em>                                                            </p> | *(See Discretionary Leave and Humanitarian Protection)* Exceptional Leave to Enter or Remain granted outside the immigration rules at the discretion of UKVI. Such leave has been replaced by the terms Discretionary Leave and Humanitarian Protection.                                                                                             |
| **First-tier Tribunal** *(Immigration and Asylum Chamber)*                                                                                                                 | The First-tier (Immigration and Asylum Chamber) or FTT (IAC) is an independent Tribunal dealing with appeals against decisions made by the Home Secretary and immigration officials in immigration, asylum and nationality matters                                                                                                                   |
| **General information**                                                                                                                                                    | Information about immigration and asylum procedures that does not refer to an individual’s circumstances, for example, leaflets that explain various immigration procedures.                                                                                                                                                                         |
| **Humanitarian Protection**                                                                                                                                                | Leave granted to anyone who is unable to demonstrate a claim for asylum, but who would if returned to their country of origin face a serious risk to life or person arising from the death penalty, unlawful killing, torture, inhuman or degrading treatment or punishment.                                                                         |
| **Immigration Judge**                                                                                                                                                      | The title given to a member of the First-tier and Upper Tribunals of the Immigration and Asylum Chambers.                                                                                                                                                                                                                                            |
| **Judicial Review**                                                                                                                                                        | The procedure by which the Upper Tribunal or Administrative Court determines the legality of decisions made by public bodies. Judicial Review is confined to the review of questions of law, and does not extend to a review of the merits of the administrative decision or the facts of the case.                                                  |
| **McKenzie Friend**                                                                                                                                                        | A term used to describe someone who assists an unrepresented party in court (taking notes, acting as a witness to proceedings, organising papers and/or quietly giving advice). They have no right of audience, and can address the court only if invited by the presiding judge. The OISC does not permit such activity by OISC regulated advisers. |
| **Points Based System (PBS)**                                                                                                                                              | The points-based immigration system is the means by which the UK Government regulates immigration into the United Kingdom from outside the EEA. It is composed of five ‘tiers’, which replaced all previous work permits.                                                                                                                            |
| **Precedent**                                                                                                                                                              | A judgment or decision that should be followed in cases where there are similar facts (see case law above).                                                                                                                                                                                                                                          |
| **Referral**                                                                                                                                                               | Where an adviser concludes that a client needs advice from another advice provider such as where the advice needed is beyond the first adviser’s level of competence, and consequently contacts an alternative adviser to arrange the client’s transfer to them.                                                                                     |
| **Taking Instructions**                                                                                                                                                    | Requires the advisor to listen to the client’s story and to ensure you ask in accordance with client’s wishes. The process involves the client outlining his story and the adviser guiding the client through that story in a way which will allow the legal issues to emerge out of what the client is saying.                                      |
| **Secretary of State Bail**                                                                                                                                                | Powers granted under Section 10 of the Immigration Act 2016 means a person liable to detention may be granted immigration bail by the Secretary of State or, if detained, by the Secretary of State or the First-tier Tribunal.                                                                                                                      |
| **Section 120 Notice** *(see Statement of Additional Grounds)*                                                                                                             | The Notice requires applicants to state in full any human rights grounds they wish to rely on in order to remain in the UK.                                                                                                                                                                                                                          |
| **Signposting**                                                                                                                                                            | Where an adviser provides information to a client about alternative sources of advice such as where the advice needed is beyond the first adviser’s level of competence.                                                                                                                                                                             |
| **Skeleton argument**                                                                                                                                                      | A written argument submitted to a court outlining the case for the appellant/applicant.                                                                                                                                                                                                                                                              |
| **Statement of Additional Grounds**                                                                                                                                        | The response to a section 120 Notice (see above).                                                                                                                                                                                                                                                                                                    |
| **Tribunal Service Immigration and Asylum** *(see First-tier Tribunal (Immigration and Asylum Chamber)*                                                                    | On 15 February 2010, the Immigration and Asylum Chambers were established in both tiers, First-tier and Upper Tribunals, of the Unified Tribunals framework created by the Tribunals, Courts and Enforcement Act 2007.                                                                                                                               |
| **UK Visas and Immigration (UKVI**                                                                                                                                         | UKVI is part of the Home Office. It manages UK border controls and enforces immigration and customs regulations. It also considers applications for permission to enter or stay in the UK and for citizenship and asylum.                                                                                                                            |
| **Upper Tribunal (see First-tier Tribunal (Immigration and Asylum Chamber))**                                                                                              | The Upper Tribunal (Immigration and Asylum Chamber) or UTIAC is a superior court of record dealing with appeals against decisions made by the First-tier Tribunal (Immigration and Asylum) Chamber. Since 1 November 2013 the UT was given jurisdiction to deal with most immigration and asylum judicial review applications.                       |


# Acknowledgements

How the toolkit came about.

![](/files/-MX1jxiLxl_Jz2IqFeV7)

This guide would not have seen the light of day without the dedication and passion of our colleagues, the support and feedback of the advice project caseworkers and volunteers have been equally invaluable.

## Credits

#### **This handbook has been created for The Good Practice Team at Refugee Action by:**&#x20;

**Handbook author:** Advice and Wellbeing Project Manager (Bradford), Refugee Action.

**Content development:** James Conyers - Legal Trainer and Student Support Officer Refugee Action.

**Design & development:** Elizabeth Rose, Noam Sohachevsky and Shivy Das of SIDE Labs, a user-research and no-code design agency for the social sector.

This handbook was funded by Community Justice Foundation.

The Immigration Caseworker Toolkit builds on the knowledge, experience and resources from The Good Practice Team, SRA and OISC websites and resources from various websites that are cited in this Toolkit.  <br>

![](/files/-MaXf1wIfBzLUMSRRNk4)

## Share feedback or report a problem

For example, we'd love to let us know if anything is out of date.

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Email: <raltg@refugee-action.org.uk>
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# Feedback & suggestions

A place to leave feedback & suggestions.

### We've done our best to make a useful handbook for newly registered immigration advisors.

However, we'd love to hear from if you have:

* Feedback on this handbook
* Suggestions on how to make it better
* Any problems or mistakes we've made
* Spotted anything out of date

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Either email us at <raltg@refugee-action.org.uk> or leave a comment in the[ ](https://docs.google.com/document/d/14pEwk1iIeUG9oxUtgwAwKcnDLrroa_u4n_3F_-gK1nk/edit#)[Feedback & Suggestions Document](https://docs.google.com/document/d/14pEwk1iIeUG9oxUtgwAwKcnDLrroa_u4n_3F_-gK1nk/edit#)**.**
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