Licensed immigration advisers

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Upgrade policy

Introduction

This policy sets outs how to apply to upgrade your limited or provisional immigration adviser licence.

A limited or provisional licence holder may apply to upgrade their licence at any time.

If your upgrade application is successful, your new licence will be valid for one year from the date it is granted.

Purpose

This policy sets out the process, evidence and assessment required to upgrade your limited or provisional immigration adviser licence.

IMPORTANT

Lodging an upgrade application DOES NOT allow you to continue to practise beyond the expiry of your current licence. If you choose to upgrade less than two months before the expiry of your current licence, you may also choose to apply for a licence renewal to ensure that you can continue to practise beyond the expiry of your current licence. You can opt to apply for a renewal of your current licence when you apply to upgrade without completing a separate renewal form.

The onus is on you to maintain the currency of your licence.

If you fail to maintain a current licence, the expiry of your licence will be recorded on the register of licensed immigration advisers (the register), and you will no longer be able to give immigration advice.

Advisers are required to keep their contact details up to date and should lodge applications and respond to queries or requests from the Authority promptly.

The application process

Overview

The Authority will contact each limited and provisional licence holder approximately two months prior to the expiry of his or her licence to determine whether the adviser wishes to renew or upgrade their licence. The Authority will then send an upgrade or renewal application form to the adviser. If you wish to upgrade your licence at any other time, you may request a licence upgrade application form from the Authority. Alternatively, you may download the application form from the website.

To upgrade your licence, you must complete and submit the Application Form for Upgrade of an Immigration Adviser Licence [PDF, 2MB, 33 pages] in hard copy, together with the required fee and supporting documentation. If your licence is due to expire within two months, you may also use this form to apply to renew your licence.

You may submit the upgrade application form to the Authority by mail or courier, or in person to the Authority’s premises. An application may not be submitted by facsimile or email. An application that is incomplete when received by the Authority may be returned to you. The Authority will acknowledge the application and provide a receipt for the fee.

The Authority will endeavour to fully process an upgrade application within 40 working days of receiving a fully completed application.

If your application for a licence upgrade is successful, you will be required to pay the prescribed levy. The levy will be reduced in proportion to the unexpired portion of your current licence. For example, if you have three months remaining on your current licence when your upgraded licence is issued, your levy will be reduced by one-quarter of the previous year’s levy. Once the levy is received, you will be sent a new licence and identification card, and the Register will be updated.

Requirements for all upgrade applicants

All licence upgrade applicants will be required to:

You will also be asked to provide information about the fees you charge for the provision of immigration advice. This information will NOT form part of the upgrade assessment. The purpose of collecting this information is to publish median and average fees on the Authority’s website, for public reference. It will also help 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. Fees charged by individual advisers will NOT be published.

Requirements for applicants upgrading from a limited licence

Limited licence holders who apply to upgrade to a full licence must:

Client file

A client file is a file that records your work on behalf of a client in relation to a particular immigration matter. It should trace your work on the client’s behalf, from your first contact with the client through to the resolution of the immigration matter. It should contain evidence of your communications with your client, and with Immigration New Zealand or any appeal bodies, as well as copies of any applications or other documentation relating to the immigration matter.

This file can relate to any immigration matter. You should choose a file that demonstrates your competence and reflects your standard business practices and processes. The file should be one that was completed during the period of your current licence. If this is not possible, you may choose a file that is substantially complete (only awaiting the final decision from Immigration New Zealand).

You will be required to submit a client authorisation and declaration with the client file.

Case studies

On the basis of the upgrade application, the Authority will identify two areas for you to be assessed on. If you are not currently licensed to advise on residence matters, at least one of the assessments will be regarding a residence matter. The Authority will send, by tracked courier, two case studies for completion and return to the Authority within 10 working days.

The case study will include a scenario and questions regarding each part of the immigration process. The case studies will be designed for you to demonstrate your knowledge in areas outside your current scope of practice. You will also be asked to demonstrate how you would apply your knowledge through examples of written materials such as client correspondence.

Requirements for applicants upgrading from a provisional licence

Provisional licence holders who apply to upgrade to a full licence must submit four client files, regarding two temporary and two permanent immigration matters. At least two of the files must have been completed during the period of your current licence. At least two of the files must have been started and at least substantially completed (only awaiting the final decision from Immigration New Zealand) during the period of your current licence.

Provisional licence holders who apply to upgrade to a limited licence must submit three client files, regarding the limited area or areas in which they intend to practise. At least two of the files must have been completed during the period of your current licence. At least one of the files must have been started and at least substantially completed (only awaiting the final decision from Immigration New Zealand) during the period of your current licence.

Provisional licence holders will also be required to complete a business process questionnaire based on their actual practice since the grant of their provisional licence.

Client files

A client file is a file that records your work on behalf of a client in relation to a particular immigration matter. It should trace your work on the client’s behalf, from your first contact with the client through to the resolution of the immigration matter. It should contain evidence of your communications with your client, and with Immigration New Zealand or any appeal bodies, as well as copies of any applications or other documentation relating to the immigration matter.

You should choose files that demonstrate your competence and reflect your standard business practices and processes.

The files must have been completed by the adviser themselves, under direct supervision, and a reference from the supervisor confirming this must be attached.

You will be required to submit a client authorisation and declaration with each client file.

Summary of documents and evidence required

The requirements for a completed application are set out in the following table.

Documents and evidence required Upgrade from limited to full licence Upgrade from provisional to limited licence Upgrade from provisional to full licence
Completed Application Form for Upgrade of an Immigration Adviser Licence, including a statutory declaration Yes Yes Yes
One verified recent passport photograph Yes Yes Yes
Evidence relating to fitness If applicable If applicable If applicable
One client file in an area in which you are licensed to practise, completed (or substantially completed) within the period of the adviser’s current licence, with authorisation and declaration from the client
NOTE: After lodgement, you will also be required to complete two case studies in areas outside your scope of practice		 Yes N/A N/A
Copy of three client files (at least two completed and at least one started within the period of the adviser’s current licence), with authorisation and declaration from each client N/A Yes N/A
Copy of four client files (at least two completed and at least two started within the period of the adviser’s current licence), with authorisation and declaration from each client N/A N/A Yes
Copy of the adviser’s internal complaints procedure Yes Yes Yes
Certified copy of the three most recent statements from the adviser’s separate clients’ bank account If applicable If applicable If applicable
Licence upgrade application fee Yes Yes Yes
Levy Yes Yes Yes

Assessment of licence upgrade applications

Summary

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 the Registrar deems relevant to the upgrade process. The assessor will carry out a desktop assessment of the application, including the forms and supporting evidence. The assessor will also contact the adviser to ask questions about the application.

The Registrar may:

Continuing professional development (CPD)

At the time of applying for a licence upgrade, a licensed adviser is required to demonstrate that he or she has participated actively in relevant CPD activities as required by competency standard 7 of the Immigration Advisers Competency Standards 2008.

The performance indicator for competency standard 7 for holders of all types of licences is that the adviser must “participate actively in relevant professional development activities”. The performance indicator states that professional development activities could include:

The application form includes questions about your participation in CPD activities. You will be asked to state how each activity is relevant to your own development needs and to your profession, and to explain how the activity relates to one or more of the competency standards 2, 3, 4, 5 and 6. These cover:

Advisers should refer to the Registrar’s CPD policy, in deciding what CPD activities will assist them in maintaining competency.

Competency assessments for limited licence holders

Limited licence holders have already demonstrated competency standards 1 (regarding qualifications), 2 (regarding knowledge of the immigration advisers licensing scheme), 5 (regarding English language) and 6 (regarding business conduct). They have also demonstrated competency standards 3 (regarding immigration law and policy relating to New Zealand) and 4 (regarding preparing, lodging and administering immigration applications) in regard to the areas they are currently licensed to practise in.

Assessment of upgrade applications from limited licence holders will focus on competency standards 3 and 4 in regard to the new areas of work for the adviser, as described in more detail below. It will also assess competency standard 7 (professional development), since the grant of their initial licence.

Competency assessments for provisional licence holders

Provisional licence holders have already demonstrated competency standards 1 (regarding qualifications), 2 (regarding knowledge of the immigration advisers licensing scheme) and 5 (regarding English language).

Assessment of upgrade applications from provisional licence holders will focus on the adviser’s application of competency standards 3 (regarding immigration law and policy relating to New Zealand) and 4 (regarding preparing, lodging and administering immigration applications) in regard to their client files. It will also assess competency standards 6 (regarding business conduct) and 7 (professional development), since the grant of their initial licence.

In particular, the Authority is likely to consider the following performance indicators against the client files and/or case studies submitted when assessing the competency standards for both limited and provisional licence holders:

3.2 Ability to access, interpret and apply knowledge of immigration policies and procedures.
  • Does the adviser have a good understanding of the relevant, current immigration law and policy?
  • 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?

  • Is the advice provided by the adviser in a given situation comprehensive?

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?

Important note: The information above is given as a guide only. The Authority notes that, in addition to the specific matters above, 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 take these issues into account when assessing the upgrade application.

The fee and levy

The licence upgrade fee has been set at NZ$535 (including GST) or NZ$475.56 if not ordinarily resident in New Zealand. The licence upgrade fee will cover the cost of processing and assessing the application.

The levy is set at NZ$1105 per year or NZ$982.22 if you are not ordinarily resident in New Zealand. The levy will be reduced in proportion to the unexpired portion of your current licence to ensure there is no double payment. Levies will cover the cost of funding the functions of the Authority (other than application costs) and Tribunal costs.

Tips

To ensure a smooth upgrade process, the Authority suggests that you: