Home Office: Complexity Application Routing Solution - Visits
CARS(V) is a semi-automated workflow routing solution which identifies the likely complexity of visitor visa applications based on applicant’s declared attributes.
Tier 1 Information
Name
Complexity Application Routing Solution - Visits (CARS(V))
Description
CARS(V) is a semi-automated workflow routing solution which identifies the likely complexity of visitor visa applications based on applicants’ declared attributes in their visa application. CARS(V) enables applications to be routed to the appropriate grade of decision maker, supporting efficiency in process and resource. CARS(V) uses algorithms in their most basic form, it does not decide applications. All visitor visa applications are assessed by a decision maker on their individual merits in line with the Immigration Rules and Visitor Policy Guidance. CARS(V) has been developed with due regard for the Public Sector Equality Duty.
Website URL
Contact email
public.enquiries@homeoffice.gov.uk
Tier 2 - Owner and Responsibility
1.1 - Organisation or department
Home Office, Visa, Status and Information Services
1.2 - Team
Central Services team, Cross Cutting Service Operations, Visa, Status and Information Services, UK Visas and Immigration.
1.3 - Senior responsible owner
Deputy Director, Cross-Cutting Operations, Visa, Status and Information Services Apollo House
1.4 - External supplier involvement
No
Tier 2 - Description and Rationale
2.1 - Detailed description
CARS(V) is a semi-automated workflow routing solution which identifies the likely complexity of visitor visa applications based on an applicants’ declared answers within the visa application form. The information from the application form is run against a set of attributes which determines the likely application complexity. CARS(V) is hosted on Microsoft database and interacts with the Proviso case working platform which is hosted on the FCDO IT platform Firecrest. CARS(V) enables applications to be routed to the appropriate grade of decision maker, supporting efficiency in process and resource. CARS(V) uses algorithms in their most basic form, it does not decide applications and does not use machine learning. All visitor visa applications are assessed by a decision maker on their individual merits in line with the Immigration Rules and Visitor Policy Guidance. CARS(V) has been developed with due regard to the Public Sector Equality Duty.
2.2 - Scope
CARS(V) will determine the likely complexity of an application to enable applications to be routed to the appropriate grade of decision maker, supporting efficiency in process and resource. CARS(V) is route specific. CARS(V) only provides a complexity outcome for applications that are considered under Appendix V; it does not provide a complexity outcome for the following application types that are considered within visits operations: - Overseas Domestic Worker - Direct Airside Transit visa - Joining Ship - Exempt vignettes - Commonwealth and Oversea Territories
2.3 - Benefit
CARS(V) improves efficiency in the process of handling applications by determining its likely complexity which can in turn be allocated to the appropriate grade of decision maker or for directive enrichment. By understanding operational complexity, this enables resource and planning to better determine required resources.
2.4 - Previous process
The previous tool was a manual tool which required the user to manually identify the answers to a set of questions. This was resource intensive and was detrimental to operational outputs.
2.5 - Alternatives considered
N/A
Tier 2 - Decision making Process
3.1 - Process integration
CARS(V) is operated at the start of the application assessment process when an application is received following the submission of the applicant’s biometrics. The tool only provides an indication of case complexity and does not make a decision, nor directs a decision maker to issue or refuse, as an assessment of the application against the immigration rules is required by the decision maker. An application can still be re-routed as complex where a decision maker has identified any evidential concerns, even if the original routing was non-complex. The tool undertakes no further action within the process apart from its complexity assessment.
3.2 - Provided information
CARS(V) only provides an indication of case complexity by considering applicants declared attributes within the application form. There are four possible outcomes which are provided to the decision maker with an accompanying explanation:
Non-Complex (NCX) - Single Person Centric Attribute (PCA) - NCX direct routing (NCXDR): where an application matches a positive attribute which has been identified as a strong indicator that the applicant is likely to be able to easily demonstrate they meet the requirements of the Visitor Rules. For example, where an applicant has a pattern of travel that shows previous compliance with UK immigration law that may indicate the applicant is likely to be a genuine visitor. An application that confirms relevant travel is considered to be appropriate for NCX routing because it is likely that a caseworker will be able to easily verify that information which will be a key factor in determining the application. (most straightforward) - Multiple PCAs - NCX (NCXPCA): where an application matches multiple positive attributes which have each been identified as an indicator that the applicant is more likely to be able to demonstrate that they meet the requirements of the Visitor Rules. These PCAs are in two tiers. As these attributes are not as strong as the single PCAs an application must match at least 3 (and at least one in Tier A) (straightforward)
Complex (CX) - Single PCA - CX direct routing (CXDR): where an application matches a risk profile, bulk data table entry or a PCA which has been identified as a strong indicator of complexity, such as answering yes to any criminality question. This indicates that the application is likely to require more rigorous scrutiny for a decision maker to determine whether the applicant meets the requirements of the Visitor Rules (least straightforward)
- Multiple PCAs - CX (CXPCA): where the application does not match a strong indicator of non-complexity or a sufficient number of other positive attributes. This means that it has not been possible to make a determination about complexity or whether a more detailed assessment will be required. The application should therefore be routed as complex for consideration by an EODM. (less straightforward)
3.3 - Frequency and scale of usage
CARS(V) is used for each visit application received. In 2023 around 2.5 million visit applications were received.
3.4 - Human decisions and review
Administrative staff would operate CARS(V) and record the likely complexity within the case working system. The application would be allocated to the appropriate grade of decision maker where they will review the application and supporting evidence and make an assessment against the Immigration Rules. Where an administrative officer decision maker (AODM) identifies evidential concerns with an NCX application they will route the application as referred complex (RCX) which will therefore be routed to an EODM. Decision making centres are expected to review RCX application to identify the effectiveness of the tool. Monthly catchup calls are held with all visits operations to discuss the effectiveness of CARS(V). CARS(V) only identifies the likely complexity of an application and does not make the decision or directs the outcome of the decision. UKVI staff have been provided the guidance for CARS(V) and an accompanying published version is available on GOV.UK
3.5 - Required training
CARS(V) is administered by the UKVI Central Services Team (CST) and training is given on how to update the tool. The files required to run CARS(V) are sent to UKVI relevant operational areas to ensure all visits team operations are operating the same version of CARS(V) to ensure consistency of the application of the routing solution across operations.
3.6 - Appeals and review
No decision on an application is made as a result of the outcome from CARS(V). Decisions are made by a decision maker following the consideration under the Immigration Rules.
Tier 2 - Tool Specification
4.1.1 - System architecture
CARS(V) uses Microsoft Access utilising basic algorithms to route applications using applicants’ personal centric attributes.
4.1.2 - Phase
Production
4.1.3 - Maintenance
The CARS(V) system has been considered under the Equality Act 2010 and the Public Sector Equality Duty. Equality Impact Assessments (EIAs) have been made covering the CARS(V) process, as well as the use of risk profiles, bulk data tables and each person-centric attribute in the routing process. The EIAs consider the impacts on protected characteristics and ensure that the system does not include direct discrimination unless supported by a Ministerial Authorisation (in relation to race/nationality), or there is objective justification (in relation to age). They also ensure that any indirect impact is justified and is a proportionate means of pursuing the legitimate aim of ensuring the overall integrity of the immigration system. Profiles and information contained within the bulk data tables are reviewed on a regular basis. Profiles and bulk tables will either be reviewed every 3, 6 or 12 months to ensure they are still justified and proportionate. New profiles are applied on a weekly basis in addition to withdrawal of profiles where they are no longer justified or proportionate due to changes in identified risk.
4.1.4 - Models
Profiles - Profiles are a set of attributes which help identify if an application matches the same attributes as those which have previously been identified as being more complex to process (because they might require additional enrichment).
Bulk tables (BDT) - Bulk tables identify potential complex applications by searching known information which has been encountered in previous applications where false information has been provided.
Direct Routings - CARS(V) uses PCAs that have been identified as strong indicators (“single PCAs”) either that an applicant is likely to be able to easily demonstrate that they meet the Rules or that an application is likely to require more detailed assessment. Where an application matches one of these single PCAs they will be routed as NCXDR or CXDR, as appropriate, and allocated to either an Administrative Officer Decision Maker (AODM)(NCXDR only) or Executive Officer Decision Maker (EODM), and multiple PCA Step 3 will not be used.
CARS(V) identifies responses made by the applicant in the visa application and routes the application as single PCA non-complex (NCXDR) or single PCA complex (CXDR) based on the responses to the relevant PCA questions.
If the application does not meet a single PCA direct routing, it will proceed to the multiple person centric attributes.
Multiple Person centric Attributes - There are a further 9 multiple PCAs (person centric attributes) which will be applied to applications by CARS(V) where there is no routing under bulk tables / profiles or direct routings.
These PCAs are positive attributes which have each been identified as an indicator that the applicant is more likely to be able to easily demonstrate that they meet the requirements of the Visitor Rules if other positive attributes are also met.
CARS(V) identifies responses made by the applicant in the visa application and routes the application as multiple PCA complex (CXPCA) or multiple PCA non-complex (NCXPCA) based on the responses to the relevant PCA questions.
Where 3 or more multiple PCAs are met, of which at least 1 must match an attribute in Tier A, the application must be recorded as NCXPCA by the Visits Operation. In all other cases the application must be recorded as CXPCA.
Tier 2 - Model Specification
4.2.1 - Model name
Complexity Application Routing Solution (CARS (Visits))
4.2.2 - Model version
2.0
4.2.3 - Model task
Using applicant personal centric attributes from the visa application form to identify an applicant’s likely visa application complexity.
4.2.4 - Model input
Visa application form data, equalities compliant profiles
4.2.5 - Model output
CARS(V) will identify if an application is non-complex direct routing (NCXDR), Non Complex Multiple Person centric Attributes (NCXPCA), Complex direct routing (CXDR), Complex Multiple Person centric Attributes (CXPCA) or no complexity rating (non-visit applications)
4.2.6 - Model architecture
There are a set of business rules that matches against the applicants personal centric attributes which are provided within the visa application form.
4.2.7 - Model performance
Testing of CARS(V) was undertaken to ensure applications were correctly routed against the relevant attributes. CARS(V) utilities the applicants declared answers in the application form and therefore any errors by the applicant could result in a misrouting however all applications are still assessed by a decision maker who assess the application against the immigration rules and guidance is provided for Administrative Officer decision makers on how to reroute applications that are routed non-complex but are deemed to be complex.
The search criteria for Bulk Data Tables is as such that it would be highly unlikely there would be a false positive match. This impact is further mitigated by user checks to ensure they will not be enriched. For all applications with a match the outcome of their application will be determined in accordance with the Immigration Rules irrespective of the complexity outcome.
Central Services Team and operations have regular catch up calls to address any performance issues with CARS(V).
4.2.8 - Datasets
- Visa application form
- Visa endorsements
- Adverse immigration history data (Home Office Database)
- Ministerial Authorisation
4.2.9 - Dataset purposes
The datasets are used by CARS(V) to produce the likely complexity.
Tier 2 - Data Specification
4.3.1 - Source data name
- Visa application form
- Visa endorsements
- Adverse immigration history data (Home Office Database)
- Ministerial Authorisation
4.3.2 - Data modality
Text
4.3.3 - Data description
- Visa application form - Applicants declared information
- Visa endorsements
- Adverse immigration history data (Home Office Database)
- Ministerial Authorisation
4.3.4 - Data quantities
CARS(V) was tested against applications to ensure the accuracy of the business rules.
4.3.5 - Sensitive attributes
There is Personal data and Profile attributes which access is controlled by password protection. No data is retained by the CARS(V) tool.
4.3.6 - Data completeness and representativeness
N/A
4.3.7 - Source data URL
N/A
4.3.8 - Data collection
The CARS(V) tool runs the defined business rules against the visa application form data, endorsement data, defined profile attributes and bulk tables. The tool will then provide an outcome of the likely complexity.
4.3.9 - Data cleaning
N/A
4.3.10 - Data sharing agreements
N/A
4.3.11 - Data access and storage
Business rules are only accessed by core admin staff who work within the UKVI Central Services Team. Users of the tool do not have access to the business rules and the tool does not store any customers data.
Tier 2 - Risks, Mitigations and Impact Assessments
5.1 - Impact assessment
A Equality Impact Assessment (EIA) and Data Protection Impact Assessment (DPIA) have been completed which are refreshed annually. Consistency in outcomes is achieved by applying the same rules globally. If an application is given the incorrect complexity the application is still assessed by a decision maker against the immigration rules. In the event that a spelling error or inconsistency or omission of text entered results in the automation not identifying the correct outcome in the same way that a caseworker might e.g., the spelling of a location or no information entered, this does not adversely affect the outcome of the decision. If an NCX application is routed to an Administrative Officer Decision Maker and they identify evidential concerns they can re-route the application as CX to an Executive Officer Decision Maker. If a NCX application routes as CX, the relevant decision maker will, from the evidence provided, be able to reach a decision without any requirement for subsequent enrichment. The routing outcome and decision outcomes are not related. Applications are assessed on the basis of the information provided when assessed in line with the relevant immigration rules.
5.2 - Risks and mitigations
There are risks of false positives being produced by CARS(V) either through errors in the applicants’ self-declarations or through matching of bulk table data. This is mitigated against as all applications are assessed by a decision maker who will assess the application against the immigration rules. A DPIA and EIA have been completed for the CARS(V) tool.