Guidance

Introduction

The guidance provides the user with additional orientation and good practices on how to adequately conduct a specific referral, what conditions a referral process should have, dos and don’ts, and references to existing referral mechanisms. The guidance can be adapted to the national context and/or to the existing referral mechanisms aiming to support the authorities efforts to fulfil the realisation of the human rights of vulnerable persons in need of international protection. 

What is a referral mechanism? 

It is a mechanism aimed at identifying, protecting and assisting persons who have special needs through referral, and involving relevant public authorities and civil society1. Referral mechanisms have been developed by different countries to support the coordination of efforts aimed at the protection of the human rights of individuals. 

The Referral Toolkit comprises forms which can be adapted and used to facilitate referral mechanisms at the national or subnational level. This guidance cannot be considered a comprehensive training on the facilitation of referrals, hence it is recommended that national authorities ensure the users have the relevant competencies and skills and receive training on the identification and referral of persons with special needs, as per international and national law. In addition, national authorities should ensure that all the individuals involved abide by the respective codes of conduct.

• 1

  The EASO operational definition of a referral mechanism: a mechanism aimed at identifying, protecting and assisting persons who have special needs through referral, and involving relevant public authorities and civil society. This definition is based on the Organisation for Security and Co-operation in Europe (OSCE) definition of the National Referral mechanism for victims of trafficking in human beings.

Guiding principles

The accompanying guidance should be implemented in line with the following principles. 

Non-discrimination

Adhering to the non-discrimination principle means ensuring that individuals are not discriminated against (e.g. treated poorly or denied services) because of their individual characteristics or a group they belong to (e.g. gender, age, socio-economic background, race, religion, ethnicity, disability, sexual orientation or gender identity, gender expression or sex characteristics)

The best interests of the child

The ‘best interests of the child’ encompass a child’s physical and emotional safety (their well-being) as well as their right to development 2. In line with Article 3 of the United Nations Convention on the Rights of the Child (CRC), the best interests of the child should provide the basis for all decisions and actions taken, and should guide the parameters for which service providers are selected, keeping in mind they should have relevant child protection policies and standards to guide their work and ethical standards 3.

When working with children

• Working with children, and, in particular, those who are affected by humanitarian crises, are unaccompanied or have been exploited, requires specialised training in child protection and in child-sensitive interviewing techniques, otherwise children’s needs may not be identified and adequately addressed.
• Ensure you are aware of the child services offered in your area from the service mapping to refer the child.
• If it is not clear to you how to make the best interests of the child a primary consideration or you identify child protection issues (abuse, neglect exploitation, etc.), refer the child to a child protection specialist.
• Ensure to follow national protocols and laws. Many countries have mandatory reporting requirements regarding child abuse, which oblige the reporting of cases of alleged child abuse to national law enforcement authorities.
• Provide culturally appropriate services (e.g. involving cultural mediators, sensitisation of service providers to experiences of asylum seekers/refugees, and conditions in country of origin, adapting information materials to different cultural diversities in order to improve outreach; avoid stigmatisation or further perpetuation of stereotypes during service provision). Being culturally sensitive means being aware of the different cultural context and understanding the differences.

Do no harm

This means ensuring that actions and interventions designed to support persons with special needs do not expose them to further harm or the risk of further harm. Care must be taken to ensure that no harm comes to people as a result of decisions made, actions taken or as a result of collecting, storing or sharing their information. Actors must avoid secondary victimisation of victims of violence by creating a supportive environment where victims’ rights are respected, safety is ensured, and that the victims are treated with dignity and respect. For all individuals, avoid repetitive interviewing where unnecessary, and multiple actors approaching the individual for the same information. 

Protection of information 

Confidentiality is linked to sharing information on a need-to-know basis and with the informed consent of the individual concerned for a specific purpose. The term ‘need-to-know’ describes the limiting of any sensitive and identifying information collected and sharing it only with those individuals who require the information in order to provide support or assistance, meaning as few individuals as possible. The protection of information and of data that are collected should be adequate, relevant and proportionate to this/these specific purpose(s). 

The duty of respecting confidentiality covers all individuals involved including service providers, interpreters among others, to protect information gathered about applicants and to ensure it is accessible only with the applicant’s consent and only for a specific purpose. Importantly, confidentiality is limited when safety concerns are identified and there is a need to reach out to other service providers for assistance (e.g. healthcare workers), or where there is a requirement by law to report crimes. These limits must be explained to the applicant at the beginning of the interview during the informed consent or assent processes. 

Data protection 

The processing 5 of the applicant’s data6 is lawful if the applicant has given consent to the processing of their personal data for one or more specific purposes, when it is necessary for the performance of a task carried out in the public interest or in the exercise of official authority, or when protecting the vital interests of the applicant. The user and the service providers should handle the data of the applicants in full respect with their specific national legislation on data protection and in compliance with General Data Protection Regulation (GDPR)7. 

Informed consent

Consent means any freely given, specific, informed and unambiguous indication of the applicants’ wishes by which they, by a statement or by a clear affirmative action, signify agreement to the referral of minimum necessary information and the processing of their personal data.

In case of children, parents and guardians in loco parentis, are typically responsible for giving consent for their child to receive services. 

The age at which parental consent is needed for a child depends upon relevant national laws. 

‘Informed assent’8 is the expressed willingness to participate in services. For younger children who are, by definition, too young to give informed consent, but who are old enough to understand and agree to participate in services, the child’s ‘informed assent’ is sought.

 In any event, as established in Article 12 CRC, States Parties shall assure children capable of forming their own views have the right to express those views freely in all matters affecting them, and such views should be given due weight in accordance with the age and maturity of the child 9.

• 2

  UN Committee on the Rights of the Child, General comment No. 14 (2013) on the right of the child to have his or her best interests taken as a primary consideration (Article 3, para. 1), 29 May 2013, CRC /C/GC/14, available at: https://www.refworld.org/docid/51a84b5e4.html

• 3

  Article 3 Convention on the Rights of the Child, 20 November 1989, United Nations, Treaty Series, vol. 1577, p.3 available at https://www.refworld.org/docid/3ae6b38f0.html

• 5

  Article 6 GDPR defines processing personal data as ‘collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction’ of personal data.

• 6

  Article 4 GDPR defines personal data as ‘any information relating to an identified or identifiable natural person (“data subject”); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person’.

• 7

  Source is the General Data Protection Regulation, European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (OJ L 119, 4.5.2016). More information on Article 4 can be found here: https://gdpr-info.eu/art-4-gdpr/ and on Article 6 here: https://gdpr-info.eu/art-6-gdpr/

• 8

  ‘Interagency Guidelines for Case Management and Child Protection’, Child Protection Working Group, Global Protection Cluster 2014, p.116.

• 9

  As established in Article 12 of CRC, for this purpose ‘the child shall in particular be provided the opportunity to be heard in any judicial and administrative proceedings affecting the child, either directly, or through a representative or an appropriate body, in a manner consistent with the procedural rules of national law’.

Referral process

Identification and referral

Referral, as with the identification and assessment of special needs, may take place at any point of the procedure. The next steps of the referral should be followed after the identification and in case after an initial assessment of special needs. 

1. Explain to the applicant the purpose and the steps of the referral, why the information is being collected, that it would only be shared with the applicant’s consent for specific purposes of referral, as well as the limits of confidentiality in accordance with national laws.
2. Gather relevant and proportionate personal data and information to facilitate a referral, using the Referral Form as a guide.
3. All the information shared during contact with the applicant concerned, or received from other parties, should be recorded to ensure an effective referral. The referral form can be used for that.
4. The information obtained should determine the assessment of the risk level of the case as immediate, high, medium, or low, and the timeframe of the referral.
5. Availability and accessibility of the selected service providers: applicants should be asked if they can access/contact service providers themselves, or, if not, how they should be contacted for follow-up, considering efficiency, convenience and safety. If there are no barriers (e.g. mobility issues, distance to service, security issues, interpretation needs, etc.) to the person accessing a service provider, the person can be provided with the necessary information and guidance as to where and how to access the service. Wherever possible, persons with special needs should be empowered and supported to access services by themselves.
6. Securing informed consent: consent to the referral to the specific service providers and to the necessary data sharing needs to be obtained from the applicant.
7. Once consent is obtained, the referral to the adequate service provider can be carried out.

The receiving service provider should update the user on action taken, to the extent possible and appropriate and with the consent of the individual concerned. If the receiving service provider is unable to provide the service required, the user should be informed as soon as possible, to be able to seek support elsewhere.

Flowchart of the process

The process, as described in the previous section with the necessary steps and safeguards, is visually represented in the following flowchart.

Risk assessment 

A risk assessment will help you to identify the priority of the response needed. Not receiving the support needed could have significant negative consequences for the applicant. This should be borne in mind when calculating the level of risk and the urgency of the referral and follow-up.

When identifying heightened risk, consider a person’s exposure (or risk to be exposed) to trauma, human rights violations, other hardships and living conditions as well as the individual’s capacity to cope, existing support mechanisms and solutions. 

When assessing the level of risk, consider the frequency and intensity of experiences, both past and present as well as potential imminent risks, and the existence of supportive mechanisms that the individual has within their family or community until the service in question can be received. 

All information collected should be analysed in a holistic manner to assess the individual’s level of risk.

The following chart illustrates a basic analysis of the risk elements. While not representing a fully-fledged assessment, it aims to give some orientation and parameters for addressing the priority of the response needed. 

Chart 1. Assessing the level of risk according to the severity and the probability of harm in case no measures are taken.

To rate these consequences and understand the urgency of the action to be taken, firstly, you need to review the probability of causing harm (horizontal axis) when the applicant does not receive adequate support for specific needs. The likelihood is measured from 1 to 5, where 1 is unlikely and 5 is certain.

Then assess the severity of the injuries (vertical axis) that might arise if the support is not provided. In this case, the severity is measured with numbers from 2 to 5, where 2 is no harm and 5 is the most severe impact. Multiplying the probability and the severity will produce a risk rating, which, in this example, is a number between 2 and 25.

Based on the matching colour and the calculated risk rating shown in Chart 1, proceed to Chart 2 and assess the response level. The priority given to the action to be taken will mitigate the probability or severity of a negative consequence if adequate support is not provided to respond to the needs of the applicant.

The result of the previous assessment can be recorded in the Referral Form to reflect the priority of response needed in the specific case.

Persons with special needs who are not at heightened risk and/or who do not have complex needs requiring urgent action should be informed of services available to address identified needs. Those who are able should be encouraged to access services themselves and therefore a referral would not be needed. 

Persons with special needs, who do have complex needs requiring urgent action or sound coordination of support services, should be referred to partner agencies/service providers for case management or specialised support.

High-risk referrals requiring immediate or urgent intervention should be made via phone and followed-up. 
 

Chart 2. Assessing the response level

Dos and Don’ts

Further guidance and Relevant links

Sample mechanisms and SOPs template

• UNHCR 10 point plan in action, Mechanisms for screening and referral, 2016 update. https://www.unhcr.org/publications/manuals/5846d0207/10-point-plan-action-2016-update-chapter-5-mechanisms-screening-referral.html
• The Hungarian Helsinki Committee, Short guide on the support and care of asylum seeking torture victims, 15 May 2017. https://www.helsinki.hu/en/short-guide-on-the-support-and-care-of-asylum-seeking-torture-victims/
• IOM, IOM Guidance on referral mechanisms: for the protection and assistance of migrants vulnerable to violence, exploitation and abuse, and victims of trafficking, 2020. https://publications.iom.int/system/files/pdf/iom_guidance_on_referral.pdf
• UNHCR, The Heightened Risk Identification Tool (User Guide), June 2010, Second Edition.
• UNHCR Heightened Risk Identification Tool
• UNHCR and IDC, Vulnerability Screening Tool, 2016. https://www.unhcr.org/protection/detention/57fe30b14/unhcr-idc-vulnerability-screening-tool-identifying-addressing-vulnerability.html