Provisional licence and supervisor policy

Purpose

This policy sets out the requirements for provisional licence applicants and provisional licence supervisors.

Information required for new applicants applying for a provisional licence.

New applicants applying for a provisional licence must have passed Courses A and B of the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice. The applicant must have a supervisor who holds a full licence to directly supervise them while they hold a provisional licence.

The applicant will be required to complete Form 101: Initial Licence Application and Form 101 A: Supervision Arrangement Agreement. 

Information required for previously licensed applicants applying for a provisional licence.

If the applicant held a provisional New Zealand immigration advisers licence within the six months before they lodge their licence application they will be required to complete Form 101: Initial Licence Application, Form 101 A: Supervision Arrangement Agreement and Form 101 B: Supplementary Documentation Application.

If the applicant held a provisional New Zealand immigration adviser licence within the 36 months before they lodge their licence application they must have completed a refresher course that is approved by the Registrar. They will be required to complete Form 101: Initial Licence Application and Form 101 A: Supervision Arrangement Agreement.

If the applicant held a provisional New Zealand immigration advisers licence more than 36 months before they lodge their licence application they must complete Form 101: Initial Licence Application and Form 101 A: Supervision Arrangement Agreement and they must have completed:

• Courses A and B of the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice within the 12 months before they lodge their application, OR
• a refresher course that is approved by the Registrar, completed within the 12 months before the licence application is lodged, where the applicant has completed Courses A and B of the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice which was completed more than 12 months before the licence application is lodged.

Purpose of a provisional licence

A provisional licence allows a person to provide immigration advice in all immigration matters while working under the direct supervision of an immigration adviser with a full licence.

The provisional licence provides a pathway for new entrants to the industry who have some knowledge of immigration matters but little or no experience and people who do not qualify for a full licence but are otherwise sufficiently competent to provide advice under supervision.

The purpose of a provisional licence is to establish a robust supervision arrangement:

• that gives a provisional licence holder’s clients access to the same standard of full, accurate, competent and ethical advice that would be received by a full licence holder’s clients
• that facilitates the education and professional development of provisional licence holders so that they may develop the skills and competencies required for a full licence
• that facilitates the education and professional development of supervisors by providing them with the opportunity to develop leadership and training skills in their areas of expertise.

Direct supervision

Section 19(5) of the Immigration Advisers Licensing Act 2007 (the Act) requires that a person who holds a provisional licence must work under the direct supervision of an immigration adviser with a full licence.

Direct supervision includes the supervisor monitoring all formal documentation and correspondence from the provisional licence holder to clients, Immigration New Zealand and tribunals. This monitoring may take the form of checking all correspondence.
The supervisor and the provisional licence holder must meet regularly. These meetings should:

• discuss client cases and immigration law and policy
• ensure the provisional licence holder is working within the scope of their knowledge and skills
• ensure that the documentation is being monitored by the supervisor
• identify the provisional licence holder’s learning needs
• develop and monitor the provisional licence holder’s professional development plan.

Direct supervision must continue when the primary supervisor is away or unavailable. The supervision agreement may include provision for an alternative full licence holder to act in the supervision role in the absence of the primary supervisor.

The provisional licence holder and the supervisor must develop and agree on a professional development plan for the provisional licence holder.

Roles and responsibilities of the provisional licence holder

The provisional licence holder must:

• hold a provisional immigration adviser licence in accordance with the Act
• provide to the Registrar a copy of their signed and dated supervision agreement
• advise all clients that they hold a provisional licence and that they are formally supervised
• obtain the client’s consent to disclose their personal information to the supervisor; unless this consent has been previously obtained due to the employment relationship between the adviser and supervisor
• retain responsibility for their own professional practice
• safeguard the commercial and professional interests of their organisation
• work within their competence
• provide the relevant documentation to the supervisor for monitoring purposes
• implement actions and strategies agreed with their supervisor aimed at enhancing their immigration advice services
• inform the Registrar if there is a change in supervisor and seek approval for a new supervision agreement.

Roles and responsibilities of the supervisor

The supervisor must:

• hold a full immigration adviser licence in accordance with the Act
• have the ability to provide direct supervision on the basis that they have supervision, leadership or management experience
• provide direct supervision for the provisional licence holder
• provide direct supervision only within the scope of their skills and knowledge as set out in the competency standards
• provide support to the provisional licence holder to develop the skills and competencies that are required for a full or limited licence and to meet their professional development goals by providing:
  • critical feedback
  • support and guidance for work practice
  • structured learning and
  • opportunities for on-the-job learning and development
• accept responsibility for the quality of the provisional licence holder’s work
• ensure that the provisional licence holder is operating within the scope of their knowledge and skills
• monitor all documentation and correspondence sent by the adviser
• maintain oversight of the provisional licence holder’s handling of immigration matters.

The supervisor can only supervise two provisional licence holders at a time.

Licensed Immigration Advisers Code of Conduct 2010

Both parties must comply with the Licensed Immigration Advisers Code of Conduct 2010 (code of conduct).

All breaches of the code of conduct must be reported to the Authority as a complaint under section 44 of the Act.

Matters not covered by the code of conduct or the Act must be referred to the appropriate authorities.

Keeping records

Both parties must keep records relating to the supervision arrangement. The provisional licence holder and their supervisor are encouraged to develop template documents to record the supervision. Records should include:

• the supervision agreement
• minutes of supervision meetings
• a list of client files for which the supervisor is providing direct supervision
• the provisional licence holder’s professional development goals, plan and results
• details of any training attended by the provisional licence holder.

In accordance with section 57 of the Act, the Registrar may inspect these records.

The role of the Registrar of Immigration Advisers

The Registrar will assess each supervision arrangement as part of the application for a provisional licence.

Under section 57 of the Act, the Register may inspect supervision records to verify whether a provisional licence holder is receiving direct supervision and whether the supervisor and the provisional licence holder are acting in accordance with this policy.

The Registrar will not intervene in a dispute between the provisional licence holder and the supervisor unless they have received a complaint under section 44 of the Act.

The Registrar recognises direct supervision by the supervisor as an activity for the purpose of their continuing professional development.

Initial provisional application process

The applicant must submit Form 101: Initial Licence Application and Form 101 A: Supervision Application Arrangement, together with the required fee and supporting documentation.

The Authority must receive the licence application

• by mail delivered by a recognized postal service
• by freight paid courier
• 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.

Form 101: Initial Licence Application (Form 101)

Applicants will be required to provide the following information:

• personal details
• evidence of completion of Courses A and B of the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice or approved refresher course
• the type of licence the applicant is applying for and their proposed supervisor’s details
• contact details and addresses
• fitness for licensing
• proof of identity
• a verified passport size photograph
• criminal record history/police certificate
• the application fee
• statutory declaration.

Personal details (sections 1-2)

The personal details section requires the applicant to give:

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

The place of residence section requires the applicant to state if they have been in New Zealand lawfully for more than 183 days in the last 12 months.

Previous immigration adviser licence (section 3)

An applicant who previously held a provisional New Zealand immigration adviser licence that expired or was surrendered is required to provide their previous New Zealand immigration adviser licence number and the date their previous licence expired or was surrendered.

Graduate Certificate in New Zealand Immigration Advice (section 4)

Applicants who are applying for a provisional licence for the first time must have completed Courses A and B of the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice within 12 months of lodging their licence application.

If it has been more than 12 months since the applicant has completed Courses A and B they must completed the approved refresher course before lodging their licence application.

The applicant must provide a certified copy of their academic transcript which shows they have completed Courses A and B and, if relevant, the approved refresher course.

Type of licence (section 5)

Applicants must indicate they are applying for a provisional licence.
Applicants are required to provide the full name and immigration adviser licence number of their proposed supervisor.

Contact details and addresses (section 6)

The contact details section requires the applicant to provide:

• the name of their business or employer
• their current status with the business or employer
• their business address, which is the main location where the applicant conducts their business
• their physical address for the service of documents
• their postal address (if different from the business address)
• their business phone number, direct dial phone number, mobile phone number, fax number and business email address where the applicant can be contacted on
• their business website.

All addresses must be in the same country. Under section 77(2)(a) of the Act, the purpose of the register is to enable members of the public to know how to contact a licensed immigration adviser and to facilitate the compliance, audit and other supporting and administrative functions of the Registrar. The register must show a business, service and postal address for where the adviser is located.

The applicant may choose to have their business phone number, direct dial phone number, mobile number, fax number, business email address or business website shown on the public register of immigration advisers.

Fitness for licensing (section 7)

See the Fitness Policy for more information.

Proof of identity (section 8)

The applicant is required to attach one certified copy of their:

• current driver licence
• birth certificate or
• current passport page that shows their photograph and personal details.

A person who is authorised to witness a statutory declaration must certify this document.

Photograph (section 9)

The applicant must provide one passport-sized and passport-quality photograph that was taken in the last six months.

A person who has known the applicant for more than 12 months and is not a family member or living at the same address must verify the photograph as a true likeness of the applicant.

This photograph will be used on the applicant’s wallet card and certificate. It will also be available on the register.

Criminal record history/police certificates (section 10)

Applicants are required to provide criminal record histories or police certificates, obtained within the last six months, from each country that they have lived in for a total of 12 months or more in the last 10 years.

If an applicant must obtain a New Zealand Criminal Record History, they must print off and completed form Priv/F1 from the Ministry of Justice website. This form must be sent to the Criminal Records Unit, Ministry of Justice, National Office, SX 10161, Wellington, New Zealand.

The original New Zealand Criminal Record History must be provided to the Authority with Form 101.

If an applicant must obtain a criminal record history or police certificate from an overseas authority, they must contact the relevant authority in the particular country to find out the cost and the timeframe for delivery.

If the relevant overseas authority will only deliver the criminal record history or police certificate to the Authority, the applicant must email the Authority at info@iaa.govt.nz that they intend to apply for a licence and have sought a criminal record history or police certificate that will be sent to the Authority. The Authority will contact the applicant by return email when it has received the criminal record history or police certificate. The applicant should allow up to three months for the criminal record history or police certificate to be delivered to the Authority.

When requesting a criminal record history or police certificate, the applicant must supply all of the names they have listed in Personal Details (Section 1) of Form 101.

If the applicant cannot get a police certificate because they are not available or are difficult to obtain, they will need to provide a statutory declaration in English or in their own language and English.

This declaration needs to detail the applicant’s attempts to obtain a criminal record history or police certificate and whether they have been convicted or charged with any offences in each country that they have lived in for 12 months or more over the last 10 years. The applicant needs to include information confirming their good character.

Fee and levy (section 11)

The applicant must pay the licence application fee when applying for the licence.

For applicants who ordinarily reside in New Zealand the initial application processing fee is NZ$909.78 and the immigration adviser’s levy is NZ$1129.55.

A person ordinarily resides in New Zealand if they have spent more than 183 days in New Zealand in the immediately preceding 12 months and is not unlawfully in New Zealand.

For applicants who do not ordinarily reside in New Zealand the initial application processing fee is NZ$791.11 and the immigration adviser’s levy is NZ$982.22.

The immigration adviser’s levy is payable only if the Registrar approves the application. If the application is successful, the Authority will contact the successful applicant to request the levy.

The Authority only accepts payments in New Zealand dollars. An applicant can pay their fee and levy by bank draft in New Zealand dollars EFTPOS, New Zealand issued cheque and Visa or Mastercard.

Statutory declaration (section 12)

Applicants must make a statutory declaration that the information provided is correct by making the declaration 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
• 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
• 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.

Form 101A: Supervision Arrangement Application

To apply for a provisional licence the applicant must complete Form 101A: Supervision Arrangement Application to have their proposed supervisor and supervision arrangements approved by the Authority.

Applicants will be required to provide:

• details about themselves
• a supervision agreement
• the applicant’s acknowledgement and declaration
• details about the proposed supervisor
• any conflicts of interest
• the supervisor’s acknowledgement and declaration.

Applicant details (section 1)

The applicant must provide their full legal name.

They must also indicate whether they have had any conditions imposed on their supervision arrangement by the Immigration Advisers Complaints and Disciplinary Tribunal. They will be required to provide a copy of the decision with Form 101A.

Supervision agreement (section 2)

The applicant must provide a copy of their signed supervision agreement.

The Registrar has developed a model supervision agreement.

All supervision agreements must contain the following:

• the names and details of each party to the agreement
• the purpose of the agreement
• details of the supervision arrangement, including details of how direct supervision will take place
• the agreement of the employer of the provisional licence holder and/or the supervisor, where either of the parties are not the employer
• who will bear the costs of the supervision arrangement
• a new professional development plan for the provisional licence holder
• the roles and responsibilities of the provisional licence holder and the supervisor
• agreement that both parties abide by the Provisional Licence and Supervisor Policy and the code of conduct
• any conflicts of interest either party may have or close personal relationship the two parties may have and how they will manage these
• agreement on how disputes will be resolved
• agreement to keep records relating to the supervision arrangement for inspection by the Authority
• the date and signatures of both parties and the provisional licence holder’s employer (if this is not the supervisor) and the supervisor’s employer (if applicable).

Applicant acknowledgement and declaration (section 3)

The applicant must acknowledge and declare that:

• they understand that they cannot provide immigration advice except under the direct supervision of their approved supervisor
• they will adhere to the supervision arrangement for the term of their supervision
• all details they have provided are true and correct.

Proposed supervisor details (section 4 and 5)

The proposed supervisor must provide the following details:

• their full legal name
• their New Zealand immigration adviser licence number
• the business or organisation the supervisor works for
• contact phone number
• their email address.

The proposed supervisor must declare that they hold a full licence and if they are supervising another provisional licence holder.
Supervisors can only supervise two provisional licence holders at a time.

Conflicts of interest (section 6)

The supervisor must identify any commercial or professional conflicts of interest, and determine how to manage these. They must provide details as to how they will manage these conflicts of interests.

The supervisor must declare if they are in a close personal relationship with the applicant and how they intend to manage this relationship while supervising the applicant.

Supervisor’s acknowledgement and declaration (Section 7)

The proposed supervisor must acknowledge and declare that:

• they understand that the applicant cannot provide immigration advice except under their direct supervision
• they will adhere to the supervision arrangement for the term of the supervision
• all details they have provided are true and correct.

Form 101 B: Supplementary Documentation (Form 101 B)

An applicant whose provisional New Zealand immigration advisers licence expired or was surrendered within six months of lodging their licence application will be required to provide:

• information about how they meet the English language requirement
• information about continuing professional development activities the applicant has completed
• information about applications they tendered to INZ while they were licensed
• information about compliance with the Licensed Immigration Advisers Code of Conduct 2010
• a completed client file
• a completed client file summary including the client authorisation and declaration.

English language (section 1)

See the English Language Policy for more information.

Continuing professional development (section 2)

Applicants are required to provide information regarding the active learning and self directed learning activities they have participated in relevant to the provision of immigration advice during the 12 months prior to the expiry or surrender of their previous licence.
For further information see Continuing Professional Development in Part C: Professional Responsibilities Policy and Procedures Manual for Licensed Immigration Advisers.

Record keeping (section 3)

Applicants must indicate the type and numbers of applications or requests that they had returned / failed lodgement, withdrawn, declined or approved by Immigration New Zealand during the most recent 12 months that they held a provisional New Zealand immigration adviser licence.

This information must come from the applicant’s own records. Please do not request an activity record from Immigration New Zealand. Approximate figures are acceptable.

For further information regarding File Management see Part D: Professional Practice Policy and Procedures Manual for Licensed Immigration Advisers.

Licensed Immigration Advisers Code of Conduct 2010 (section 4)

The applicant must provide a copy of their internal complaints procedure.
If the applicant previously (when licensed) managed fees through client funds and/or mixed funds, they must attach copies of:

• bank statements for their client account for the last three months that they held a licence
• the client tracking records relating to the bank statements provided.

Applicants are also required to declare whether when they were licensed they provided the code of conduct to clients and if they displayed the code of conduct and their immigration adviser licence.

For further information regarding Internal Complaints Procedures, Client Funds and Client Account, Display of Licensed Immigration Advisers Code of Conduct and Display of Licence see Part D Professional Responsibilities Policy and Procedures Manual for Licensed Immigration Advisers.

Client file (section 5)

A client file is a file that records the applicant’s work on behalf of a client in relation to a particular immigration matter. It should trace the applicant’s work on the client’s behalf, from the first contact with the client through to the resolution of the immigration matter. It should reflect an end-to-end process.

Applicants are required to submit a copy of one client file relating to an application tendered to Immigration New Zealand. This client file must have been started and finalised within the 12 months prior to the expiry or surrender of the applicant’s previous licence.

The client file can relate to any immigration matter and should reflect the applicant’s competence and their business processes and practices. The client cannot be related to the applicant.

The applicant should submit a client file which was completed while they were being directly supervised by the previous supervisor. The client file should be one where revenue was generated or fees charged. The entire client file should be in English. If there is any documentation or correspondence in another language, the applicant must provide translated copies. The client file should be a copy of the information and documentation the applicant has kept.

In a complete client file the Registrar expects to see:

• a client file summary sheet
• documented evidence of assessment of the client’s immigration eligibility
• the written agreement with the client(s) and any supporting information
• invoices for services
• all correspondence with the client, INZ and/or third parties. This includes all emails, letters and file notes of verbal communication
• the signed application form tendered to INZ and cover letter that accompanied the application; OR if the client file relates to a request for special directions, a refugee/protection claim or an appeal, a complete copy of the request lodged or claim or appeal filed
• exact copies of all supporting documentation provided in support of the immigration matter
• evidence of the decision
• evidence of the return of original documentation to the client.

The Authority is looking for evidence that the applicant met the competency standards and complied with the code of conduct while they were licensed. For more information see Part D: Professional Practice Policies and Procedures Manual for Licensed Immigration Advisers.

Client file summary (section 6)

The applicant must provide:

• the name of the client
• the date the client file was opened
• the date of the final outcome
• the type of immigration matter
• why they selected this file to best demonstrate their competency
• whether they completed all parts of the client file under direct supervision. If there were parts that they were not involved in, what parts of the client file they were involved in.

The applicant must authorise the client to discuss the work done with the Authority.

The applicant must also submit the client’s authorisation and declaration with the client file. They must also submit the client’s contact details.

Assessment of licence applications

Once the Authority has received an application form it will be checked to see if it is complete.

The Authority will not lodge an application where an applicant has not used the correct form. The Authority will not lodge applications that do not contain all the required information.

Once the Authority lodges the application, it will acknowledge the application and provide a receipt for the fee.

The lodged application is then allocated to an assessor. The assessor undertakes a fitness assessment (see the Fitness Policy for more information) and assesses each application against the Immigration Adviser Competency Standards 2013. You can read the competency standards in full.

The assessor will contact the applicant if they require further information. The assessor will not begin to assess the application until they have all the relevant documentation and information.

Once the assessor has finished assessing the application, it will be passed on to the Registrar who will decide whether the application meets licensing requirements and if the applicant should be granted or refused a licence.

Grant of licence

The Registrar will approve an application if they are satisfied that the applicant:

• is not prohibited from licensing
• is fit to be licensed as an immigration adviser
• meets the minimum standards of competence
• has properly completed an application in accordance with the Act.

If the application is approved, the Authority will inform the applicant by letter and will request the immigration adviser’s levy from the applicant.

If the applicant is based onshore they will have 20 working days to pay the levy. If the applicant is based offshore they will have 30 working days to pay the levy. Only once the levy has been paid will a licence be granted. A licence pack containing a wallet card and licence certificate will be sent to the applicant once a licence is granted. The register will be updated with the applicant’s details.
All licences are valid for 12 months, from the date the Registrar grants it.

If a licence application is refused, the applicant will be informed by letter. The applicant has a right to appeal the refusal of a licence to the New Zealand District Court.