Briefly state the objectives of the activity described by the SOP, making sure to link them to objectives in the registration strategy and/or protection strategy. Objectives should above all refer to expected protection benefits for the persons to be registered (e.g. protection against refoulement, access to essential services). Other benefits such as verifying personal data or expanding the data set for the purposes of service delivery or other programmatic goal should also be mentioned as appropriate.
Standard Operating Procedures (SOPs) are an essential tool for planning and implementing registration activities, and all registration operations should have SOPs to guide their work.
SOPs describe each step of the registration process and the actions to be taken at each stage before moving on to the next. Good SOPs do this in clear and simple language, serving as a “user guide” for new staff, and ensuring the whole process is well described, comprehensive, predictable and less prone to error.
Developing SOPs at the planning stage will help visualize process gaps and aspects not considered, including staffing needs. The staff member designing the SOPs should work in consultation with protection and relevant other colleagues and partners to achieve agreement on SOPs ahead of the implementation of the registration activity. Several iterations may be required before the needs and concerns of all are met.
SOPs are a ‘living’ instrument, they can only work if they reflect the actual process on the ground rather than what should ideally be happening. The document should be regularly updated to reflect changes or improvements in processes over time. Offices should retain and store older versions of an SOP in order to track what was done and what data was collected at what time and place. See the Annex for a good practice SOP template.
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When conducting registration under UNHCR’s mandate, the registration strategy should cover all persons who may be in need of international protection. However, general conditions and criteria may need to be exhaustively established for admissibility to a specific (or ad hoc) registration exercise. Common scenarios where admissibility to registration is limited to certain populations include verification exercises (where the registration activity only concerns an already registered population), as well as prima facie contexts and emergency registration (in which only the affected population (nationality or group) will be admissible to the related registration activity). Additionally, where registration of different populations is split between the government and UNHCR, or where UNHCR conducts targeted registration for assistance or other purposes, admissibility criteria will reflect these registration objectives and contexts, defining admissibility by reference to nationality, protection or specific needs, or other key criteria.
It may be appropriate to consult the Regional Office for harmonization of processes where two or more operations in the region work with similar population groups. Operation senior management should approve the general conditions and admissibility requirements set out in this section.
Examples of admissibility criteria
Admissibility in the context of Merged Registration-RSD processing
Merged Registration-RSD processing is used where a prima facie approach or presumption of inclusion is applied, meaning that the registration interview functions as a merged registration-RSD interview in which refugee status may be granted. Both prima facie and presumption of inclusion are group-based approaches, and admissibility is limited to those individuals who are determined to be a member of the designated group, which may be defined by ethnicity, religion, geographical location or other criteria.
Those who are not admissible to a merged registration-RSD process (e.g. they are not a member of the designated group or due to other reasons associated with the case processing modality) should, as appropriate, be (a) counseled about registration activities relevant to them, or (b) registered normally and then referred, as per SOPs, to an individualized RSD procedure or to protection colleagues for further action, depending on the operational context and processing structure in place.
Admissibility regarding special or complex cases
The admissibility section should also:
- list any specific cases that require a particular approach. Depending on the operational context, such cases may include dual citizens, mixed marriages, Palestinian nationals or individuals from a refugee-producing country who do not meet all admissibility criteria, for example.
- indicate the course of action staff should take in each case. In the case of inadmissibility, the SOP should set out procedures for counselling and referral to other services or organisations, if appropriate.
Inadmissibility
The admissibility section should also set out exhaustively which profiles are not admissible for registration. Those not admissible should be screened out as early as possible, and, if relevant, referred for counselling to protection staff or other actors.
There are two general bars to admissibility for registration, subject to the considerations below:
(i) Fighters/combatants, and
(ii) Nationals of the country of asylumFighters/combatants
A fighter/ combatant20 refers to any man, woman or child who is either a member of State armed forces (other than medical personnel and religious personnel), or the fighting forces of a non-State armed group. The granting of asylum is an inherently peaceful, social, humanitarian and non-political act, and as such, fighters/ combatants do not fall within UNHCR’s mandate as persons of concern until such time as they have genuinely and permanently renounced military activity and sought international protection. Moreover, the separation of fighters/combatants from the refugee population is key to maintaining the civilian and humanitarian character of refugee sites. Fighters/combatants are, therefore, inadmissible for registration. Civilian family members and dependents of active fighters/ combatant may, however, be admitted to registration procedures in their own right.
Where registration activities are conducted by UNHCR, the Office should advocate for an appropriate government (or international) entity to carry out formal screening and identification procedures21 in order to identify and separate fighters/combatants from the refugee population. In contexts where such formal procedures are not available, or not effective, initial registration (or pre-registration) by UNHCR may be an appropriate opportunity to screen for the presence of suspected fighters/combatants. In this case, UNHCR and partners should consider informing the population, ahead of the commencement of the registration activity, about the principle of the civilian and humanitarian character of asylum and the simple procedures to be established to screen out fighters/combatants from the registration process.
The security of staff and persons of concern is an essential consideration when designing appropriate screening procedures at registration. Registration staff must be adequately trained on the specific screening procedures to be applied, and supported with guidance on questions to ask, observations to note and actions to take (including counselling and referral), as appropriate.22 Screening at registration does not constitute or replace a formal identification procedure or determine eligibility for refugee status. Suspected fighters/ combatants should be referred by registration staff to the appropriate authority, according to SOPs, for a more in-depth identification interview.23
Screening should always be conducted on an individual basis and confidentially. An individual may be suspected or identified as a fighter/combatant based on factors such as:
20 UN High Commissioner for Refugees (UNHCR), Guidance Note on Maintaining the Civilian and Humanitarian Character of Asylum, December 2018, available at: https://www.refworld.org/docid/452b9bca2.html
21 Where possible, the standard operating procedures (SOPs) for the government (or international entity) screening should be determined with the technical support and guidance of UNHCR, to ensure procedural safeguards, including identification and protection follow up on children associated with, or formerly associated with, armed forces.
22 In general, such determinations are more appropriately made during RSD procedures, where possible.
23 Where the presence of fighters/combatants is suspected during other processes such as assistance distribution or case management interview, SOPs for these activities should guide staff on how to refer such individuals to the appropriate screening mechanism.
When in doubt, access to registration procedures should be granted. If appropriate, admissibility for registration may be flagged as uncertain and later confirmed during continuous registration activities or RSD procedure. Decisions of this nature should be reviewed and endorsed by the (Senior) Registration Officer or RSD Officer in the operation.
While in principle, active fighters/combatants are not of concern to UNHCR, certain operations may decide to record or register24 the basic biographical and biometric data of a fighter/combatant before deregistering the individual as “not of concern”. This could be judged necessary or desirable for a number of operational reasons including:
24 This decision should be taken per operation by the Representative, in consultation with the relevant Bureau and DIP.
Where relevant to the operational context, SOPs should provide clear guidance on issues including:
Nationals of the country of asylum
A national of the host country26 may not be admitted into registration procedures as an asylum seeker or refugee. Members of the host population should therefore be screened out of the registration process. Where relevant to the context, UNHCR staff should raise awareness among the host population about the possible adverse consequences associated with misrepresentation of nationality (e.g. difficulties accessing rights as a citizen, creating a risk of statelessness). In several contexts, it has proven useful to have government authorities support the admissibility step in this regard, bringing local knowledge and know-how to more effectively identify members of the host population and ensure they are screened out of the registration process.
An exception to this rule may arise where a registered individual forms a family with a national of the country of asylum. While an individual may never be an “asylum-seeker” or “refugee” in his or her own country, he or she may be registered by UNHCR on the basis of a related refugee’s right to family unity. The right to family unity is entrenched in international human rights law, and applies to all human beings, regardless of their status. This right is of particular importance in the refugee context, providing the primary means of protection, physical care, emotional well-being and economic support for individuals within the family unit.
Accordingly, in keeping with UNHCR’s protection mandate and duty to safeguard the right of refugees to family unity, Offices are recommended to register host country citizens approaching UNHCR with their refugee or asylum seeker spouse27 as “others of concern”. This would also be the recommended approach for any child born to an asylum-seeker/refugee and a host country national where it is demonstrated that the child has been granted or automatically possesses the nationality of the host country. In the latter case, it would be important to examine whether any administrative or other obstacles exist to obtaining proof of such nationality or to exercising ensuing rights. Where the child has not, or not yet, received formal proof of nationality, they should be registered as “asylum-seeker”28 or “refugee”, taking the status and nationality of the asylum seeker /refugee parent. In countries where nationality verification requires an in-depth analysis, the SOPs should provide detailed guidance in this regard, or alternatively, indicate the appropriate referral mechanism for further assessment by protection colleagues.
26 For returnees and IDP registration, see registration guidance on Other populations. Also, note that in some contexts, members of the host community receive assistance alongside refugees. Assistance programmes for local/host communities must be very clear so that host communities know they will not be left behind by not registering.
27 See definition of “spouse” in the 2016 revised RSD Procedural Standards, 5.2.3, available at: http://www.refworld.org/docid/577e17944.html.
28 In an RSD context, pending determination dependency/close family relationship resulting in refugee status granted on a derivative basis, or the existence of a refugee claim in his/her own right.See: UN High Commissioner for Refugees (UNHCR), UNHCR RSD Procedural Standards – Processing Claims Based on the Right to Family Unity, 2016, available at: http://www.refworld.org/docid/577e17944.html
3. Key steps in the registration process
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A narrative outline of each step in the process flow should be provided from reception to exit. It is recommended to include a process flow chart to facilitate the visualization of all steps throughout the registration process. A visual graphic facilitates understanding and allows for easier studying of the process for new efficiencies and improvements. It is also useful to describe the roles and responsibilities of all staff/actors at each step of the process to ensure accountability and integrity at each step.
A standard process flow may include the following steps:29
29 See module 6 Emergency Registration for steps prior to registration that should feature in the SOP, such as, pre-registration for organized movement, fixing, reception.
Scheduling
The SOP should describe the scheduling procedures and notification channels in the different registration locations.In camp contexts, scheduling is often done by reference to family size, registration number, camp address (zone, block), or place of origin/ community, and organised through community leaders. In informal settlement contexts, registration appointments may be communicated by mobile teams, via mobile phone to strategic persons or through other means. In urban settings, the registration schedule may be communicated via appointment slip issued directly to individuals, sent through SMS, via a dedicated webpage or other means. Information on the appointment slip or other communication should be kept to the minimum necessary to achieve the specific purpose of scheduling a registration appointment. For example:
- Name of Registration Group focal point
- Family size
- Contact details (telephone and/or email address)
- Appointment date
The SOP should describe how the scheduling methodology will identify and prioritize persons with specific needs. Registration staff should consult protection colleagues and engage medical professionals and other partners as appropriate to help ensure scheduling priority is decided in a fair and transparent manner according to agreed standards. Ensure there are available slots in the daily schedule to receive fast-tracked individuals (including those expedited for other reasons set out in the SOP),30 and indicate which staff member may authorise the use of ‘fast-track’ slots. See module 5 for further guidance on scheduling principles and standards.
30 For example, for family unity or exceptional RSD or resettlement-related reasons.
Reception/ Access
Describe the process for reception of refugees for registration interview, which may combine or separate steps depending on the operational context (camp, mass registration, urban, continuous registration). Security personnel should be on hand to perform checks on individuals prior to access, and remove any unauthorized items and crowd controllers (if relevant) should ensure that persons enter in an orderly fashion and are issued with an entry token, numbered sequentially, and ushered into the waiting area. Specific needs justifying prioritized access should be well-understood by personnel at the access point. Individuals should be called for their registration interview by their token number (and not their name), on a “first come-first served” basis.
Once inside the waiting area, efforts should be made to conduct simple group counselling, whether with videos or other visual aids like pamphlets and posters or through a microphone or megaphone, as appropriate. Individuals should receive clear information about the process of registration, the availability of interpreters, the fact that registration and all related processes are free of charge, the obligation to give full and honest answers to registration questions and the protection benefits of registration. Depending on the processing methodology in place, a registration and/or RSD application form may be completed at this step, with the help of an interpreter if needed. See module 5 for further guidance related to the different tasks and processes that may need to be conducted during reception, including communication, referring and prioritizing persons with specific needs, scheduling interviews and other tasks.
List the main tasks at reception/ access:
E.g. verify each individual is in possession of required documents, identify and prioritize PWSN, crowd control, group counselling, BIMS identification.List the resources required for this stage:
E.g. tokens, furniture, pamphlets, megaphone or microphone, BIMS equipmentList individual staff roles and responsibilities and how this stage will be supervised:
Registration, protection or partner staff:
Guards:
Crowd controllers:
Runners:Intake/ Admission
Depending on the processing methodology, this step may be integrated into the registration interview. In large registration exercises, the intake station confirms that individuals presenting for the registration activity are, in principle, admissible and may proceed to the next step. A biometrics (identification) check is often performed at this step to search for previous registration records, and a fact-sheet may be printed. Any individual whose admissibility is uncertain or requires further investigation should be referred for further assessment before proceeding.
List the main tasks at intake/admission:
E.g. print registration form, identify and prioritize PWSN, identify and refer any identity or admissibility issues as per SOPs.List the resources required for this stage:
E.g. No. of laptops, No. of biometrics equipment, No. of barcode scanners, No. of printers, A4 paper, miscellaneous stationary, referral forms, furniture.List individual staff roles and responsibilities and how this stage will be supervised:
Registration staff:
Government/ partner staff:
Crowd controllers:
Runners:Registration interview
Describe how the interview is to be conducted, including:
- In what language(s);
- Whether family members should be interviewed individually or together.31
- How to proceed when family members are missing.
- How relationships should be grouped in the context of a registration group. Ascertain whether all children are biologically related to the adults present, provide guidance on how to group polygamous families, and indicate the options and recommendation for grouping LGBTI households32 in a given protection context.
- All elements of basic counselling (including obtaining consent), which must be provided in an accessible form33 for everyone, including persons with disabilities and those from low literacy communities. In the case of children, counselling should be appropriate to their age, capacity and circumstances. Registration staff should understand key components of a child friendly counselling approach by consulting child protection colleagues.
- What kind of document review is required, and how to proceed when individuals are not in possession of the required identity documents.
- Data collection and data entry: The interviewer will collect the data elements in accordance with precise, step-by-step instructions provided in this section. It is strongly recommended to create a data entry table that sets out all mandatory data fields together with questions to be asked, data to be entered and actions to be taken for each field including referral for protection or other reasons. The table must be exhaustive and indicate a clear course of action for all likely scenarios as well as how to proceed in the case of a scenario not foreseen in the SOP.
31 When an individual expresses a wish to be interviewed separately or when certain vulnerability criteria or protection needs are apparent or suspected, separate interviews should be conducted. Where capacity allows, UNHCR should seek to interview all adult members of a registration group separately in the interests of confidentiality, particularly in the context of RSD or merged Registration- RSD procedures.
32 Registration staff should seek advice from protection colleagues on how to register and document LGBTI families based on prevailing protection risks in the country of asylum, however, should defer to the wishes of the concerned individual following discussion of related protection risks. See here for guidance on data entry for LGBTI individuals.
33 Staff should be ready to communicate key messages in multiple and appropriate formats, including spoken and easy to read written formats, for example.
List the main tasks at registration interview:
E.g. receive families/individuals, group them appropriately and assign a Registration Group focal point, provide the necessary counselling information, conduct interview and verify/ update/ enter data into proGres, referral to protection or other desk as appropriate.List the resources required for this stage:
E.g. furniture, laptops/ desk top computers, webcams, electrical cables, router cables, photo back-frame, paper, pens, boxes, paper trays, photocopiers, scanners, shredders, UNHCR stamps.List staffing roles and responsibilities and explain how this stage will be supervised:
Registration staff:
Interpreters:
Government/ partner staff:
Runners:Referral desks
Depending on the scale of the activity and the registration methodology, there may be stages in the process flow where certain cases will need to be referred for further assessment. The SOPs should set out the referral mechanisms foreseen in the process flow, and provide instructions on which types of case scenarios should be referred to which desk, unit or section at which point in the process. In smaller-scale registration activities, one focal point may be established for all registration-related issues and an available protection colleague on hand to respond to urgent protection issues and specific needs. In larger exercises, there may be a number of referral mechanisms in place in order to respond more efficiently to issues that arise throughout the different steps in the process flow. Each referral desk or focal point should have a guideline (or SOP) setting out (i) reasons for referral and (ii) the corresponding action to be taken, information to be recorded and follow-up required. A referral desk is essential in prima facie contexts to receive individuals who have been channeled out of the process.
Litigation desk
→ A referral desk(s) or focal point(s) may need to be established to handle registration or data-related issues including doubts about admissibility, major errors, contradictions or inconsistencies in data, including photograph or biometrics. Staff receiving such referrals will be required to assess the situation and ultimately decide whether registration can continue or not. Any case that falls outside of the guideline or SOP should be brought to the attention of a supervisor or manager, and reported appropriately. A decision to remove a person from the registration process should be reviewed and endorsed by the Registration Manager.
UNHCR’s policy on Addressing Fraud Committed by Persons of Concern defines an inconsistency as “any new information on a relevant issue provided to or obtained by UNHCR… that is contradictory to incompatible with or does not agree with previous information in the possession of, or provided to, UNHCR”. The following inconsistencies identified at registration should be resolved if possible by registration staff and corrective action recorded in the electronic and physical file of the individual concerned, as appropriate:
• Misrepresentation of basic biodata used to determine one’s identity (name, year/date of birth, place of birth, country of origin, nationality, ethnicity or religion)
• Misrepresentation of family size, ties or relationships
• Presentation of fraudulent documents to UNHCR as correct or true
• Multiple registration within the same operation or between two or more operations across borders without informing UNHCR
• Misrepresentation of personal circumstances- relating to a particular vulnerability, specific need or socio-economic circumstances.
Where an inconsistency cannot be resolved by registration staff or is deemed to be significant in nature, it should be referred to the Anti-Fraud Focal Point to be treated as a fraud allegation. See the Operational Guidelines on Addressing Fraud Committed by Persons of Concern for further guidance related to handling inconsistencies and fraud allegations.
Protection desk
→ A referral desk(s) or focal point(s) may need to be established to handle protection-related issues uncovered in the registration process, such as new or absent family members, infants without birth documentation and certain specific needs. The data entry table should indicate which specific needs identified (or suspected) during the registration interview should be referred to the protection desk or focal point, with the agreement of the concerned individuals. Referrals must be handled by qualified protection staff who are responsible for ensuring the protection or specific needs of referred individuals are addressed, monitored or otherwise followed up. Where protection staff are not physically present at the registration location, they must be easily reachable and able to meet with individuals.
List the main tasks at the referral desks
E.g. Investigation of admissibility concerns, biometrics match/ non-match, inconsistencies. Where possible, resolve issues allowing re-entry to registration process. Discuss, record and take appropriate action for protection issues referred.List the resources required for this stage:
E.g. furniture, laptops, bar code scanners, biometrics equipment, electrical cables, router cables, paper, pens, boxes, paper trays.List staffing roles and responsibilities and explain how each desk will be supervised:
Registration staff:
Protection staff:
Runners:Photograph and biometric enrolment
The SOP should set out instructions for the photograph and biometrics stage of the registration process. This may be a stand-alone step or integrated into another step in the registration process (e.g. interview). The BIMS operator/ Registration staff member should briefly explain to the person before them how the process works and its benefits. The SOP should provide step-by-step instructions on how to take the photograph and how to capture biometric data and correctly save them to the relevant registration record. Set out all scenarios in which a group should be referred for further investigation and provide instructions on how to proceed with children as well as persons who have injuries or other conditions rendering full biometric enrolment excessively time-consuming or impossible. Refer to 2.5 and 2.6 of module 5 for further guidance on biometrics and photographs respectively.here for further guidance on BIMS.
List the main tasks at photograph/biometric enrolment:
E.g. take individual photograph according to required standards, biometric enrolment of each individual over 4 years of age, resolution of issues and referral to litigation as required.List the resources required for this stage
E.g. Laptops, fingerprint and iris scanners, webcams, barcode scanners, furniture.List staffing roles and responsibilities and explain how the stage will be supervised:
Biometric equipment operators:
Registration staff:
Runners:Quality Control
This stage allows for a check on the data collected prior to the completion of the process and the printing of documentation. This may be a stand-alone step or integrated into another step in the registration process (e.g. interview). The following details should be confirmed:
- All data fields are complete in accordance with the SOPs and none of the required data fields have been left empty
- Photographs uploaded are of a good quality and will be clear and visible on the document
- Copies of required supporting documentation are received and attached to the completed registration form / recorded in the database;
- Registration form is signed/thumb-printed;
- Registration form is linked to the unique numeric identifier of the person concerned, and to the identifier of the relevant group to which he or she belongs;
- The relationships and ages of individual family members are coherent and there are no contradictions regarding gender or marital status.
- There are no spelling errors in the entries
The SOPs should set out the course of action in case of inconsistencies or inaccuracies at this stage, including those that require intervention by another staff. The detection and resolution of inconsistencies must be recorded in the individual’s proGres record (and physical file, if relevant). When all information has been verified and confirmed, staff at this step should ‘save and close’ the registration record.
List the main tasks for quality control:
E.g. confirm there are no empty fields in proGres, names, ages and relationships are correct, photo taken according to standard, biometrics enrolled and recorded correctly. Inform Registration Manager of any inaccuracies requiring intervention.List the resources required for this stage:
E.g. No. of laptops, notebooks, pens, furniture.List staffing roles and responsibilities and explain how this stage will be supervised:
Quality control staff:
Runners:Documentation
This section should explain what documentation will be issued upon completion of registration, and their purpose. Provide instructions regarding to whom in the registration group the documents should be provided, and what counselling should accompany this stage, including the validity period of documents. See module 5 for further guidance on documentation.
The SOP should explain how the issuance of documents is to be recorded, who should sign the document, and who is accountable for secure paper and other materials. See equipment management.
In an RSD context, the RSD supervisor should advise on RSD-related documentation to be prepared and issued, including, inter alia, interview appointment slip, documentation in case of recognition of refugee status, including validity period and documentation issued/retained in case of rejection at first instance, pending appeal interview.
List the main tasks for documentation:
E.g. print documentation on secure paper, or print ID cardsList the main resources required for this stage:
E.g. furniture, No. of ID printers and consumables, No. of regular printers, secure paper, secure stamp, pens, boxes, paper trays.List staffing roles and responsibilities and explain how this stage will be supervised:
UNHCR staff and/or government staff (as appropriate) to supervise printing of documentation
Runner:-
UNHCR offices using individual physical files for refugees and asylum-seekers are strongly recommended to implement file management procedures for all aspects related to the processing, organization and handling of personal data, including storage, access control and tracking file movement. The SOPs should set out the process for how a new physical file is created, on what basis and by whom, and what documents should be placed inside (including which documents should be originals and which should be copies). See module 5 for further guidance on physical and electronic file management.
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Continuous registration34 is the on-going process of verifying and updating registration records as part of day-to-day registration and case management activities, with the aim of providing protection and documentation and of implementing durable solutions. All colleagues with direct contact with persons of concern are responsible for ensuring registration records are updated to reflect interventions they have carried out. Registration staff are primarily responsible for the following actions:
- Family composition changes: add-ons, births, deaths, marriages, divorces;
- Updating specific needs records in the context of registration interviews;
- Renewing identity and/ or entitlement documentation as applicable;
- Linking registration groups and individuals.
The SOPs should set out how all required continuous registration actions should be undertaken. Identify which staff members are authorized to conduct the various data changes and updates and the related accountability lines regarding information changes. As with all registration activities, a protection presence should be foreseen in SOPs, either physical presence at the registration location or otherwise reachable. See here for detailed guidance on continuous registration.
34 See module 8 on continuous registration.