Immigration Advisers Authority

Our Policy Manual

ix. Licence Upgrade Policy 1 September 2011

ix.1 Purpose

This policy sets out the requirements to upgrade a limited or provisional immigration adviser licence.

ix.2 Upgrade Requirements

Section 23 of the Immigration Advisers Licensing Act 2007 (Act) provides that a limited or provisional licence holder may apply to the Registrar of Immigration Advisers (the Registrar) to upgrade their licence at any time.
A limited licence holder may apply to upgrade to a full licence.
A provisional licence holder may apply to upgrade to a full or limited licence.
The grant of an upgrade of a licence takes effect from the date of expiry of the previous licence or the date on which the upgrade is granted, whichever occurs first.
The onus is on the applicant to maintain the currency of their licence. If they fail to do this, the Authority will lodge the expiry of their licence on the Register of Licensed Immigration Advisers (the register), and they will no longer be able to give immigration advice.

ix.3 Upgrade application process

The Authority will contact all limited and provisional licence holders approximately three months before the expiry of their licences to determine whether the adviser wishes to renew or upgrade their licence.
To upgrade the licence, the applicant must complete and submit the Application Form for the Upgrade of an Immigration Adviser Licence (upgrade application), together with the required fee and supporting documentation.
Licence applications must be received directly by the Authority in one of the following ways:

by mail delivered by a recognised postal service;
by freight paid courier; or
over the counter at the office of the Authority, during normal business hours.

The Authority will return all licence applications not received by one of the above means to the applicant with instructions outlining how to send the application correctly.
Once the application is lodged, the Authority will acknowledge the application and provide a receipt for the fee.

ix.4 Information required in the upgrade application process

The application booklet requires the following information:

Information required	Limited licence holders to a full licence	Provisional licence holders to a limited or full licence
Personal and contact details	√	√
Type of licence that the applicant is applying for	√	√
Fitness for licensing	√	√
Continuing professional development	√	√
Business activity	√	√
Copy of the adviser’s internal complaints procedure	√	√
Evidence of managing client funds	If applicable	If applicable
Code of conduct	√	√
Other matters relating to competency	√	√
Client files	√	√
Supervisor declaration and reference	Not applicable	√
Business process questionnaire	Not applicable	√
Fee and Levy	√	√
Photograph	√	√
Statutory declaration	√	√
Fee information	√	√

ix. 5 Personal and contact details (Part A of the upgrade application)

The personal details section requires the applicant to give:

their full legal name, which will appear on the register of licensed immigration advisers (register);
their preferred name, if applicable, which will be indicated on the register; and
any other names they may be known by.

The contact details section requires the applicant to provide their employment status; for example, if they are a director or volunteer.
The contact details section also requires the applicant to provide the following addresses:

business address, which is the primary location where the applicant conducts their business;
physical address for the service of documents; and
postal address (if it is different from the business address).

The type of licence section requires the applicant to choose the type of licence to apply for. The applicant must either tick the full licence box or indicate which immigration matters they wish to practise in for a limited licence. The applicant may only choose up to three immigration matters for a limited licence.

ix.6 Fitness for licensing (Part B of the upgrade application)

Part B of the upgrade requires the applicant to answer questions about their fitness for licensing and in some circumstances provide further information.
See the Fitness Policy for more information.

ix.7 Competency Standards and the Code of Conduct (Part C of the upgrade application)
ix.7.1 Continuing professional development

The applicant must list the relevant development activities that they have undertaken within the 12-month period prior to applying for the licence. Continuing professional development (CPD) activities must total at least 20 hours per year.
These activities must relate to the provision of immigration advice and can include:

reading materials relevant to the provision of immigration advice provided by the Registrar or another organisation;
receiving formal instruction, education or training relevant to the provision of immigration advice;
attending information sessions, seminars, courses or conferences relevant to the provision of immigration advice;
participating in the structured supervision or mentoring of another immigration adviser;
active participation in a relevant professional body, organisation or association; or
self-directed learning on topics relevant to the provision of immigration advice.

ix.7.2 Business activity

This section requires the applicant to indicate the type and numbers of applications or requests that they have had approved or declined by Immigration New Zealand since their current licence was granted.

ix.7.3 Licensed Immigration Advisers Code of Conduct 2010

This section asks for copies of the applicant’s internal complaints procedure as required by section 9 of the Licensed Immigration Advisers Code of Conduct 2010 (code of conduct).
This section also asks whether the applicant manages client funds through taking money (fees and/or disbursements including Immigration New Zealand fees) in advance.
As per section 4 of the code of conduct if the applicant does manage client funds they must provide evidence showing that they maintain a separate client bank account for these funds. The applicant must attach copies of:

bank statements for the applicant’s client account for the last three months; and
client tracking records relating to the bank statements provided.

The records provided must be in consecutive date order with no gaps for the three months covered.
The client tracking record must include the date of the transaction, amount of the transaction, purpose of the transaction, type of transaction, client name and related invoice number.
For more information on client accounts see the Guidelines on Code of Conduct Requirements for Managing Client Funds on the Authority’s website; http://iaa.govt.nz/licensed-advisers/managing-client-funds.html.
Section 3 also asks the applicant:

whether they provide clients with a copy of the code of conduct;
how they explain the code of conduct to clients; and
if they display the code of conduct in a prominent place in their business at all times.

ix.7.4 Other matters relating to competency

Section 4 requires the applicant to answer:

whether the Authority requested the applicant to provide evidence of change in business practice at the renewal of their current licence, and if so, how have they addressed this; and
if there are any matters relevant to the assessment of the competency that the Registrar should be aware of.

ix.7.5 Client files

Limited licence holders upgrading to a full licence must provide one client file that was completed during the period of the applicant’s current licence or, if that is not possible, a file that is substantially complete (only awaiting the final decision from Immigration New Zealand).
Provisional licence holders upgrading to a full licence must provide four files; two applications for temporary entry applications and two residence applications. At least two of the files must have been started and at least substantially complete (only awaiting the final decision from Immigration New Zealand) during the current licence period.
Provisional licence holders upgrading to a limited licence must provide three files in the areas that they wish to specialise in:

at least two of the files must have been completed during the period of the applicant’s current licence; and
at least two of the files must have been started and at least substantially complete (only awaiting the final decision from Immigration New Zealand) during the current licence period.

All provisional licence holders seeking to upgrade must provide client files completed under the direct supervision of the supervisor. The supervisor must sign the supervisor reference to verify this.
The client files may relate to any immigration matter, but they should reflect the applicant’s competence and their business processes and practices.
Client files submitted in support of an application must be ones in which revenue was generated or fees charged.
The applicant must submit a client authorisation and declaration with each client file.
The Registrar would expect to see the following on a complete client file (this list is not exhaustive):

evidence of how client eligibility was assessed, such as a checklist, assessment form or consultation notes;
the written agreement entered into with the client;
all invoices provided to the client;
a complete copy of the signed application form tendered to INZ;
all correspondence with the client and file notes of any material conversations;
all correspondence with INZ;
evidence of the decision, including a copy of the visa label and the final decision letter from INZ if applicable; and
evidence of the safe return of the client’s original documents.

The client file summary asks the applicant to comment on the nature and complexity of the immigration matter and any aspects that they found challenging.
The client file summary also asks provisional licence holders whether they completed the entire file under supervision or if there were parts that they did not complete.
Each of the client files must relate to a separate client or set of clients. For example, applicants may not submit two client files from one family.

ix.7.6 Case studies

Limited licence applicants applying for a full licence are required to complete two case studies in immigration advice areas that they did not specialise in with their limited licence.
The case studies include a scenario and questions regarding each part of the immigration process.
The case studies are designed for the applicant to demonstrate their knowledge in areas outside their current scope of practice.
The applicant is required to provide detailed answers, reference the relevant sections of the Immigration New Zealand Operational Manual and complete the case studies without the assistance of any other person.
The applicant is required to sign a declaration that confirms that they completed the case studies without any assistance, that they acknowledge that the case studies form part of the assessment to upgrade from a limited to full licence and that they are willing to be contacted by the Authority if required to discuss the case studies.

ix.7.7 Competency standards assessment for limited and provisional licence holders

Limited licence holders have already demonstrated standards 1 (regarding qualifications), 2 (knowledge of the immigration advisers licensing scheme), 5 (English language) and 6 (business conduct) during their initial licence assessment.
They have also demonstrated standards 3 (New Zealand immigration law and policy) and 4 (preparing, lodging and administering immigration applications) in regard to the areas they are currently licensed to practise in.
The upgrade assessment for limited licence holders will focus on competency standards 3 and 4 in relation to the new areas of work they will be licensed to practise in, and competency standard 7 (professional development) since the initial grant of the licence.
Provisional licence holders have already demonstrated competency standards 1,2 and 5.
Assessment for provisional licence holders will focus on the adviser’s application of competency standards 3 and 4. It will also assess competency standards 6 and 7 since the grant of their initial licence.

ix.7.8 Performance indicators

The Authority is likely to consider the following performance indicators against the client files and case studies submitted when assessing the competency standards for both limited and provisional licence holders.
The Authority notes that, in addition to the specific matters below, if the evidence provided in an upgrade application raises any concerns about whether an adviser is meeting any of the competency standards or indicates any issues of non-compliance with the code of conduct, the Authority may consider these issues when assessing the upgrade application. The Authority may choose to put these concerns or issues to the adviser for comment or request additional information.
The information below is a guide only.

Competency number	Performance Indicator	Assessment expectations
3.2	Ability to access, interpret and apply knowledge of immigration instructions and procedures.	Does the adviser have a good understanding of the relevant, current immigration law and immigration and operational instructions? Is the adviser familiar with the tools available, such as the Immigration New Zealand Operational Policy Manual, to help apply their knowledge?
3.3	Can the adviser identify the main criteria for providing advice in relation to applications, appeals, requests and claims across the full range of immigration matters?	Given a complex real-life scenario, can the adviser identify the most appropriate immigration option for the client?
3.4	Can the adviser apply their knowledge of immigration matters to provide comprehensive advice?	The advice provided by the adviser is comprehensive and reflects the given situation?
4.1	Developing and maintaining professional relationships with Immigration New Zealand and other relevant organisations.	Does the adviser have good professional relationships with Immigration New Zealand and other relevant organisations, demonstrated by correspondence such as letters or emails on file?
4.2	Developing and maintaining professional relationships with clients.	Does the adviser provide advice and information before, during and after the immigration application process, demonstrated by correspondence such as letters or emails on file?
4.3	Assess clients’ immigration situations.	Does the adviser work with clients to establish eligibility criteria, gather all appropriate information necessary to make an accurate assessment, conduct preliminary assessments, identify potential barriers to eligibility, evaluate the range of possible options for clients, provide correct advice and information to clients and provide reasons for advising on a course of action?
4.4	Agree on terms of appointment.	Does the adviser agree on services to be provided and fees to apply, outline refund policy and any other key terms of agreement, establish performance expectations and enter into a formal agreement with clients?
4.5	Arrange agreed services in a timely, complete and accurate manner.	Does the adviser plan the immigration process, issue understandable and accurate instructions, coordinate the preparation of applications, lodge applications with supporting evidential documents, take all reasonable steps to ensure that clients submit accurate and genuine documentation, and satisfy all lodgement requirements?
4.6	Administer the immigration application process.	Does the adviser liaise with and administer the immigration process with Immigration New Zealand or other appropriate organisation, keep clients informed, complete the process following decision including the timely return of clients’ documents, ensure that decisions are communicated to clients and the details and implications of outcomes are explained and advise clients of the procedures for handling complaints?
4.10	Apply quality assurance techniques to the provision of immigration advice.	Does the adviser use any of the following techniques: checklists, peer reviews, case reviews, supervisor reviews, team briefings?
6.1	Demonstrate professional, ethical and socially responsible behaviour and practice	Does the adviser provide honest advice, preserve client confidentiality, provide an internal complaint process and disclose financial or non-financial interests in goods or services recommended or supplied to clients?
6.3	Apply business management disciplines to immigration matters in accordance with New Zealand law and best practice.	How does the adviser manage the financial aspects of their business, record client transactions and advise applicants of interactions with Immigration New Zealand?

ix.7.9 Supervision

The supervisor of the provisional licence holder is required to complete the supervisor reference.
The supervisor must comment on how the applicant has developed the skills and knowledge necessary to apply for either a limited or full licence in relation to competency standards 3. 4. 5 and 6.

ix.7.10 Business processes questionnaire

Only provisional licence holders must complete the business processes questionnaire, which examines:

business administration;
quality assurance; and
professional and ethical practice.

ix.8 Fee and levy (Part D of the upgrade application)

For applicants who are ordinarily resident in New Zealand the Licence Upgrade Fee is NZ$546.89 and the Immigration Advisers Levy is NZ$1129.55.
For applicants who are not ordinarily resident in New Zealand the Licence Upgrade Fee is NZ$475.56 and the Immigration Advisers Levy is NZ$982.22
The upgrade application fee must be submitted with the upgrade application. The advisers levy is only payable if the Registrar determines that the applicant is eligible to have their licence upgraded.
The Authority will reduce the levy charged in proportion to the unexpired portion of the current licence to ensure that there is no double payment.

ix.9 Photograph, authorisation and statutory declaration (Part E of the upgrade application)
ix.9.1 Proof of identity

The applicant must attach a passport-sized and quality photograph, taken within the last six months.
The photograph must be verified as a true likeness of the applicant by the person who witnesses the statutory declaration..

ix.9.2 Authorisation and statutory declaration

The authorisation and statutory declaration section requires the applicant to declare that the information that they have provided is correct. The declaration must be made in front of a person authorised to witness a statutory declaration.
The following persons may witness a statutory declaration made in New Zealand;

an enrolled barrister and solicitor of the High Court of New Zealand;
a Justice of the Peace;
a notary public; or
a Registrar or Deputy Registrar of the District Court, High Court, Court of Appeal or Supreme Court.

The following persons are authorised to witness a statutory declaration made outside of New Zealand;

in a Commonwealth country other than New Zealand— a Judge, Commissioner of Oaths, a notary public, a Justice of the Peace, or any person authorised by the law of that country to administer an oath there for the purpose of a judicial proceeding, a Commonwealth representative, or a solicitor of the High Court of New Zealand; or
in a country other than a Commonwealth— a Commonwealth representative, a Judge, a notary public, or a solicitor of the High Court of New Zealand.

ix.10 Fee information

All applicants must provide information about the fees that they charge for the provision of immigration advice. This does not form part of the upgrade assessment. The Authority gathers this information to publish the median and average fees on its website for public reference.
This information also helps the Registrar to form a view as to what fees are reasonable and fair for the purpose of section 8 of the code of conduct.
The Authority does not publish the fees charged by individual advisers.

ix.11 Assessment of licence upgrade applications

The assessor will assess the application; including the forms and supporting evidence. The assessor will also contact the applicant to ask questions about the application.
The Registrar will assess whether the upgrade applicant meets the minimum standard of competence for a limited or full licence including compliance with the code of conduct.
The Registrar’s assessment will be based on the evidence provided by the applicant and any other evidence that they deem relevant to the upgrade process.
The Registrar may:

Grant an upgraded (limited or full) licence if the applicant meets the upgrade criteria; or
Grant the same (provisional or limited) licence for another year if the applicant meets the criteria for a renewal only; or
Decline the upgrade application, and the current licence will continue in force until its expiry.

ix.12 Grant of licence

Once the Registrar has made a decision, the Authority will send a conditional approval letter to the applicant’s service address given on the application. The applicant must pay the levy within 20 working days of the date the conditional letter being sent or the application will be declined. Offshore applicants are given 30 working days to pay the levy.
Once the levy is paid, the Authority will send a licence certificate, a wallet card and information about being a New Zealand licensed immigration adviser to the service address given on the application. The register of immigration advisers will be updated with the adviser’s details.

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ix. Licence Upgrade Policy 1 September 2011