APL01 - Appeal procedures

This is internal guidance for use by entry clearance staff on the handling of appeals lodged outside the United Kingdom (UK). It is a live document under constant review and is for information only.

APL1.1 Appeal charging process flowchart

Please see the related documents on the right side of this page.

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APL1.2 Lodging an appeal and dual lodgement

From 19 December 2011 appeals against Entry Clearance decisions may only be lodged with the Tribunals Service in the UK.  An appeal lodged at Post against a decision made prior to 19 December 2011 should be recorded and processed as currently.

Appeal Fees

Applicants can elect to have their appeal heard on the papers or at an oral hearing.  Fees have been set at £80 for a paper consideration and £140 for an oral hearing.  Applicants may pay their appeal fee by card online (at the same time as submitting their appeal), by providing card details on the appeal form, or by requesting details of how to make a bank to bank transfer when they lodge their appeal.  Applicants may ask another person to pay the fee on their behalf using their payment card details, with their permission.

If paying by card, payment will be taken prior to HMCTS registering the appeal. If paying by bank to bank transfer HMCTS will ensure funds are cleared before Post is notified of the appeal.  On receipt of an appeal Post should therefore be satisfied that HMCTS has collected, exempted or deferred a fee where one is due, and process the appeal as normal.

Unless a payment has been made or taken in error, the MoJ will not refund any fees paid.  Specifically, the following appeals will not be refunded:

  • Those deemed to be out of time
  • Those rules invalid 
  • Appeals withdrawn by the appellant before the hearing 
  • Appeals conceded at ECM Appeal Review


Applicants can pay for and lodge an appeal on-line at www.justice.gov.uk but hardcopy appeals will continue to be accepted by HMCTS.

Transitional Arrangements
If an appeal is received against a decision made on or after 19 December 2011 the appeal should not be registered but forwarded to the Tribunals Service.  The following should be noted on Proviso/I-Decide:

"Appeal received at Post and is subject to a fee.  Forwarded to HMCTS".

Appeals sent to HMCTS under the transitional arrangements must have the following note written on the top right hand corner of the envelope:

"New appeal - do not copy"

This transitional process must be followed until 12/02/2012.  After the transition period any appeal received which relates to a decision made on or after 19 December 2011 should be returned to the applicant with a covering note explaining that their appeal is subject to a fee and must be lodged directly with Tribunals Service.

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APL1.3 Making an appeal

Appeals must be submitted to the Tribunals Service on the Notice of Appeal form (IAFT-2).  Applicants can get an appeal form in two ways:

  • from Post, issued with the refusal notice for Full Right of Appeal (FRA) applications only.  Post must also issue Tribunals ServiceGuidance notes with the Notice of Appeal; or
  • direct from the Tribunals Service website at www.justice.gov.uk.

Posts should not make Form IAFT-2 available on Commercial Partner or local websites.

Either the applicant or a representative can complete the form IAFT-2.  But for the appeal to be valid it must:

  • be signed and dated by the applicant or representative (Procedural Rule 8(3));
  • be accompanied with a copy of the refusal notice; and 
  • the relevant fee paid.

If the appeal is not valid, Posts must follow the process for invalid and out of time appeals detailed in APL1.16.

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APL1.4 Appeals lodged with the Tribunals service

The Tribunals Service will inform Post that an appeal has been received by sending a IAFT-11 (receipt) and IAFT-2 form (showing date of receipt at the Tribunals Service) and any accompanying documents to Post by bag within 28 days of receipt.

On receipt, Post must date stamp the IAFT-2 and update the Events screen on Proviso with 'Receipt of appeal'. The appeal must be registered on I-Decide through the 'Service Request' tab.  The start date for the appeal deadlines starts from this date.

If the appeal is received after 28 days from the date of receipt on the IAFT-2 form, Post may e-mail the Tribunals Service at eco.contact@hmcts.gsi.gov.uk to request an extension to the deadline.

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APL1.5 Appeals lodged at Post

Applicants may only lodge their appeal with Tribunals Service.  Appeals should not be accepted by the Commercial Partners or other Posts.  If an appeal is received at Post after 12 February 2012 the appeal and all supporting documents should be returned to the applicant with a covering letter.  

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APL1.6 Appeal procedures at Post when an applicant was refused in-country

All appeals against UKBA decisions must be lodged with Tribunals Service.  Post must not accept appeals against in-country refusals

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APL1.7 ECM Appeal Review

Refer to APL07.

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APL1.8 Decision Maintained - processing the appeal

The appeal bundle must consist of UK standard A4 paper only; copied on single sided paper and must not contain any original documents. The appeal bundle must contain the following documents in this order:

  1. Form IAFT-10 if received at Post before bundle collation, to be place on top;
  2. Refusal notice (GV51 FRA);
  3. Form IAFT-2 (appeal form);
  4. ECM Appeal Review statement including a list of all the documents submitted with application and documents provided in support of appeal;
  5. Visa Application Form;
  6. Interview notes (if applicable); and
  7. All relevant documents justifying the reasons for refusal and the decision to maintain it at the ECM appeal review.

The ECM Appeal Review template should include a list of all the documents submitted with the application, documents provided in support of the appeal and documents seen but not included within the respondent's bundle.
 
All relevant documents must be included within the respondent's bundle.  This includes i) all the evidence referred to or relied on by the ECO to support the reasons for refusal and ii) all evidence used by the ECM to support the decision to maintain the initial refusal. Documents submitted by the appellant that are not being included should clearly be listed on the ECM Appeal Review template.

All bundles must be sent to the Tribunals Service within the agreed deadlines (see APL1.9 below).

Post must return the original documents to the applicant unless they are satisfied that the documents are false. If documents are found to be false, the ECO (or verification team) must complete a detailed document examination or verification report (a copy of completed examples can be downloaded under 'Related documents' on the right of this page). (see APL1.13).

  • A Document Examination Report (DER) is usually completed by a forgery officer who conducts a thorough examination of a passport or other national document. A DER must not be placed within the main appeal bundle and should be sent under the cover of Section 108.
  • A Document Verification Report (DVR) should be completed for all other instances of forgery.

The document verification report must be de-personalised. Bank account details and personal information about the person who gave the information about the document must be deleted from the document verification report, for example, the name of the bank staff member should be replaced by 'an official known to me' and the phone number deleted. References to how many digits a bank account number should have can be replaced with 'used the wrong number of digits in the account number'.

Where the document verification report cannot be de-personalised in a meaningful but convincing way or if the document examination report contains sensitive information, for example, covert security features, the report must be sent under closed cover using section 108 of the 2002 Act. All Document Examination Reports (DER) must be sent under Section 108. (See APL1.12 - below).

If sending documents under Section 108, you must alert all parties to this by typing in bold at the top of the ECM Appeal Review statement 'we have sent information using Section 108'.

The procedural rules allow 28 days for the appeal bundle to arrive in the UK and be processed by the Tribunals Service. Post must not use these 28 days to finish processing the appeal.

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APL1.9 Refusal overturned - processing the appeal

If the ECO or ECM overturns the refusal at any stage of the process, for example, after review of appeal or following representations, Post must notify the Tribunals Service immediately. Post must complete and email the Withdrawal of Decision proforma to the Tribunals Service dedicated mailbox eco.contact@hmcts.gsi.gov.uk and type 'withdrawal of notice of decision' in the subject heading. Withdrawal of Decision proformas transmitted by fax will not be accepted by the Tribunals Service.

There is no requirement to send an applicant a locally produced APP09 form requesting the applicant to withdraw the appeal.

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APL1.10 Deadlines for bundle preparation

All appeal bundles must be sent to the Tribunals Service within the agreed deadlines from the date of receipt of the appeal at Post or the Tribunals Service. These deadlines are:

  • 4 weeks for family visit appeals and non settlement appeals
  • 12 weeks for settlement appeals

Bundles must be sent no later than the date recorded on the IAFT-10. Post should not rely or wait for an IAFT-11 or IAFT-12 reminder before they process and dispatch the bundle.

If Post has not received acknowledgement from the Tribunals Service (Form IAFT-10), for appeals lodged at post, they should still send the bundle and note proviso that no acknowledgement has been received.

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APL1.11 Processing appeal documents

Original documents submitted by the appellant must be preserved in the condition in which they were received. Do not staple or punch holes in them. You must return original documents, that you are satisfied are genuine, to the appellant after you have photocopied them and date stamped the copy. If you are satisfied that a document is not genuine, you should copy the document and retain the original on file. The ECO (or local verification team) will need to complete a document examination or verification report as evidence that a document is false. If an appeal has been lodged in the UK, the Tribunals Service will send Post the original documents, which will need to be copied and returned to the applicant (not returned to the UK).

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APL1.12 Translations

Procedure Rule 52(1)(a) states that 'any notice of appeal or application notice filed with the Tribunal must be completed in English' and (b) 'any other document filed with the Tribunal must be in English, or accompanied by a translation into English signed by the translator to certify that the translation is accurate'.

The appellant, not the visa section, must provide certified translations of any documents included in their appeal. However, the ECO must provide certified translations of any document in support of the explanatory statement if the appellant has not included them in their appeal. The text of the translations must be clearly laid out so that the originator, addressee, date and signature are readily evident.

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APL1.13 Other documents 

Section 108- documents sent under closed cover

Section 108 of the Nationality, Immigration & Asylum Act 2002 allows a Respondent to give evidence to the court about false documents in private, where disclosing information relating to the detection of the forgery method, in a public court would be contrary to the public interest.  

  • A Document Examination Report (DER) is usually completed by a forgery officer who conducts a thorough examination of a passport or other national document. A DER must not be placed within the main appeal bundle and should be sent under the cover of Section 108. 
  • A Document Verification Report (DVR) should be completed for all other instances of forgery.

If a Document Examination Reports (DER) supports a refusal decision the report must be sent to the IJ, in a sealed envelope under Section 108. Section 108 should not be used to submit DVRs or Police Certificates to an Immigration Judge unless the DVRs cannot be depersonalised. DVRs must be submitted once depersonalised as part of the appeal bundle. 

If an applicant appeals against the ECO decision which relies on an allegation of forgery, the DER and copies of the forged document should sent to the Tribunals Service in a sealed envelope. The envelope should be securely attached to the appeal bundle and should detail the following:

FOR THE ATTENTION OF THE IMMIGRATION JUDGE ONLY
SECTION 108 - DO NOT COPY
POST REFERENCE:  XXX/12345

To alert all parties that section 108 evidence has been submitted, the ECM should write 'section 108 evidence submitted' at the top on the ECM appeal review statement.

Police certificates

If an ECO refuses an application wholly or in part because of an IDENT1 hit, the Police Certificate must form part of the main appeal bundle. If the Police Certificate includes any 'wanted' or 'missing' markers, post must request a sanitised version from the Association of Chief Police Officers (ACPO) Criminal Records Office via UKBAIG IDENT1 ACRO (on GAL) for inclusion in the appeal bundle.

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APL1.14 The Tribunals Service does not receive appeal bundle

The Tribunals Service will list cases in accordance with the agreed timescales.

A 'Notice of Hearing' (IAFT 24) will be sent to the Appellant, their Rep / Sponsor and the relevant Presenting Officers Unit (POU).

Form IAFT 11/12 will be sent to the ECO as an urgent reminder that the bundle has not been received and should be forwarded immediately.

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APL1.15 Preliminary Issues - invalid and out of time appeals

Only an Immigration Judge can decide whether an appeal:

  • is valid (for example if the appellant submits a full right of appeal but only has a limited right of appeal); or
  • can be accepted when lodged out of time (more than 28 days after the refusal decision notice has been served on the appellant).

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APL1.16 Processing invalid and out of time appeals

Post must:

  • inform the Tribunals Service within 10 days that either an appeal is out of time or not valid;
  • email the Out of Time / Validity proforma (available on the Toolkit), refusal notice and IAFT-2 form to the Tribunals Service at: eco.contact@dca.gsi.gov.uk. The subject line must include 'Preliminary Issue OOT / Validity'. You need to track the email exchange and keep a record on file. If you are not able to scan and email, you may fax a copy of the Out of Time / Validity of Appeal proforma, notice of decision and IAFT–2 form plus a fax cover sheet to +44 (0) 116 2494251. You need to keep a record of the fax transmission report indicating it has been received;
  • send a chaser and keep a record of the fax / email if no reply has been received within 10 working days;
  • keep a record of all correspondence on preliminary issues so that, if we are not advised of the outcome of the preliminary issue and a determination on the substantive application is made, we can challenge the decision despite having missed the deadline.

A Duty Immigration Judge will decide whether to accept the appeal and the Tribunals Service will notify all parties of the outcome. If the appeal is determined to be 'in time' or 'valid' by the duty judge, the Tribunals Service will email Post's dedicated appeals enquiries mailbox by return or fax Post.

Post need to process the appeal and prepare the bundle within set timelines (4 weeks for non-settlement cases and 12 weeks for settlement cases) from the date IAFT-2 for was received at Post.

If the Immigration Judge determines that the appeal is 'out of time' or 'invalid', the Tribunals Service will email Post's dedicated appeals enquiries mailbox or fax Post this decision on form IAFT-20. Post do not need to take any further action.

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APL1.17 New evidence produced after dispatch of an appeal but before an appeal hearing

An appellant can submit evidence, which pre-dates the original refusal and was not disclosed to the ECO at the time of refusal, at any time before the hearing date even after Post has sent the appeal bundle to the Tribunals Service. The ECO must:

  • review the evidence as quickly as possible; and
  • if appropriate, issue entry clearance or maintain the refusal; and inform Tribunals Service of the new evidence and the outcome of your review by emailing the Tribunals Service at: eco.contact@hmcts.gsi.gov.uk.

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APL1.18 Notify the Tribunals Service of change of address

If Post is informed of a change of address or change of representative after the appeal bundle has been sent to the Tribunals Service, they need to advise the Tribunals Service of the change by email at: eco.contact@hmcts.gsi.gov.uk.

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APL1.19 The Tibunals Service wants more information

If the Tribunals Service wants more information:

  • a 'direction' will be issued by the court;
  • the Presenting Officer should contact Post by the dedicated Post mail box or by phone;
  • the ECO needs to provide the Presenting Officer with a supplementary statement;
  • the request must be given priority due to time constraints ordered by the Tribunal. 

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APL1.20 Applicant makes fresh application while an appeal is outstanding

A person who has an appeal pending can make a fresh application for entry clearance in the same or any other category. There is no requirement for a person to withdraw an appeal. If an appellant is subsequently issued an entry clearance, Post must inform the Tribunals Service at: eco.contact@hmcts.gsi.gov.uk. The ECO must ensure that a proforma of Withdrawal of Decision is also sent to the Tribunals Service and this appeal will stop. 

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APL1.21 Issue of entry clearance with appeal outstanding

Under section 9 of the 2006 Act, if an applicant has an outstanding appeal but makes a new application and is issued an entry clearance in a different category, any outstanding appeal against an entry clearance refusal will continue unless the appellant notifies the Tribunals Service or Post that they do not wish to proceed with the appeal. 

If written notification is received at Post this should be emailed to: eco.contact@hmcts.gsi.gov.uk or faxed to 0116 249 4130 or 4252. Posts should also attach a covering letter.

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APL1.22 Procedures for handling Single Copy Bundle (SCB) appeals

The Single Copy Bundle process only applies where the appellant has submitted an IAFT-2 appeal form. All appeals lodged on an IAFT-2 appeal form must be processed as normal.

When preparing an appeal bundle the officer dealing should identify if the appellant has requested an oral or paper hearing. This can be done by making reference to page 1 section A of the IAFT-2 appeal form. If the appellant has requested an oral hearing, has not answered the question or has listed a UK representative (refer to section 5 of the appeal form) Post should process and dispatch the bundle as normal. Once received in the UK this bundle will be copied as by FCO Services: Reprographics and forwarded to the Tribunals Service. 

If the appellant has elected to have the appeal considered on papers the bundle should be sent to the UK in a keep safe envelope clearly labelled with a yellow sticker annotated with 'Entry Clearance Appeal - Respondents' Bundles for Paper Cases ONLY'. When this bundle arrives in the UK it will be sent directly to the Tribunals Service.

Reference to the SCB process flowchart should be made to identify which process the bundle should follow.

Should Posts require more SCB stickers please email UKBAIG Entry Clearance Appeals Team indicating the number of stickers required. Please note that it could take up to four weeks for these stickers to be received at Post.

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Related documents