Upgrade Policy: Client File Pathway

Purpose

Until 31 December 2014, there will be two pathways for provisional and limited licence holders to upgrade their licence.

This policy sets out the requirements to upgrade a limited or provisional immigration adviser licence for those applicants who were granted a licence under the Immigration Advisers Competency Standards 2010 and have not completed the Bay of Plenty Polytechnic’s Graduate Certificate in New Zealand Immigration Advice.

Upgrade requirements

A limited or provisional licence holder may apply to 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.

For a provisional or limited licence holder to upgrade through the client file pathway they must:

• have lodged their initial licence application for a provisional or limited licence by 24 December 2012
• have been granted their provisional or limited licence under Immigration Advisers Competency Standards 2010
• lodge their licence to upgrade from a provisional or limited licence to a limited or full licence by 24 December 2014
• meet all other licensing requirements as set out in this policy.

An upgrade of a licence takes effect from either the date of expiry of the previous licence or the date on which the upgrade is granted, whichever occurs first.

Upgrade application process

The Authority will contact all limited and provisional licence holders 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 (application), together with the required fee and supporting documentation.

The Authority must receive the licence application using one of the following ways:

• by mail delivered by a recognised 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.

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

If the Authority has lodged an upgrade application, but has not assessed it before the date on which the licence would otherwise expire, the licence continues in force until the assessment of the application is complete.

Information required in the upgrade application process

The application 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	√	√

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

The personal details section requires the applicant to provide

• their full legal name, which will appear on the register
• their preferred name, if applicable, which will be indicated on the register
• any other names they may be known by
• their employment status.

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
• postal address (if it is different from the business address). 

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 must choose whether they are upgrading to a full or limited licence. If upgrading to a limited licence, the applicant may only choose up to three immigration matters to advise in.

Fitness for licensing (Part B of the upgrade application)

See the Fitness Policy for more information.

Competency standards and the code of conduct (Part C of the upgrade application)

Part C is divided into sections that require the applicant to provide information regarding continuing professional development (CPD), business activity, code of conduct, matters relating to competency, client files and the business process questionnaire.

Continuing professional development (section 1)

The applicant must list the CPD activities that they have undertaken in the 12-month period before applying for the licence. These activities can be active learning or self directed learning activities.
For more information see Continuing Professional Development in Part C: Professional Responsibilities Policies and Procedures Manual for Licensed Immigration Advisers.

Business activity (section 2)

The applicant must 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.

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

Licensed Immigration Advisers Code of Conduct 2010 (section 3)

For assessment purposes, the applicant must provide a copy of their internal complaints procedure.

If the applicant manages client funds through taking money (fees and/or disbursements including INZ fees) in advance they must attach copies of:

• bank statements for the applicant’s client account for the last three months
• the 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 and include the date of the transaction, amount of the transaction, purpose of the transaction, type of transaction, client name and related invoice number.

This section also asks whether applicants 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.

Other matters relating to competency (section 4)

Section 4 requires the applicant to answer the following:

• if 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
• if there are any matters relevant to the assessment of the competency that the Registrar should be aware of.

Client files (section 5)

Depending on the application type, applicants must provide the following client files.

Provisional to limited	Provisional to full	Limited to full
Applicants must provide three client files. All client files must be applications relating to the specified immigration matters that the licence applicant wishes to specialise in. At least two of the files must have been completed during the period of the applicant’s current licence. At least one of the files must have been started and at least substantially complete (only awaiting the final decision from INZ) during the current licence period.	Provide four files, two applications for temporary entry applications and two residence applications. At least two of the files must have been completed during the period of the applicant’s current licence. At least two of the files must have been started and at least substantially complete (only awaiting the final decision from INZ) during the current licence period.	Provide a completed client file that was 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 INZ).

The client files may relate to any immigration matter, but they should reflect the applicant’s competence and their business processes and practices.

The client files must be ones in which revenue was generated or fees charged. 

The client files must be in English and should be copies only. The Authority allows applicants to translate client files from the first language into English; however, translations must be legible and information may be returned if readability is an issue.

A client file starts on the date of the signing of the service agreement between the client and the adviser.

A client file is substantially complete when INZ issues an approval in principle letter or notice and the application is only awaiting final decision.

The applicant must submit a client authorisation and declaration with each client file.

The client file must relate to a separate client or set of clients. For example, applicants may not submit two client files from one family.
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
• evidence of the safe return of the client’s original documents.

The client file summary asks the applicant to comment on the following:

• the nature and complexity of the immigration matter and any aspects that they found challenging
• whether a provisional licence holder completed the entire file under supervision or if there were parts that they did not complete.

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.

Competency standards assessment for limited licence holders

Limited licence holders have already demonstrated standards 1, 2, 5 and 6 during their initial licence assessment. They have also demonstrated standards 3 and 4 in the areas they currently practise.

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.

Competency standards assessment for provisional licence holders

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.

Performance indicators for client files and case studies

The Authority considers the following performance indicators against the client files and case studies submitted when assessing the competency standards for limited and provisional licence holders.
If the evidence provided in an application raises concerns if an adviser is meeting the competency standards or indicates non-compliance with the code of conduct, the Authority will consider these when assessing the application. The Authority may choose to put these concerns to the adviser or seek additional information.
The information below is a guide only.

Competency	Performance Indicator	Assessment expectations
3.2	Demonstrate knowledge of and the ability to apply immigration and operational instructions made under the Immigration Act 2009.	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 INZ Operational Policy Manual, to help apply their knowledge?
3.3	Demonstrate knowledge of and the ability to provide tailored advice on avenues for seeking assistance including the Immigration New Zealand, Immigration Advisers Authority, and Immigration Protection Tribunal websites and the Immigration New Zealand contact centre.	Given a complex real-life scenario, can the adviser identify the most appropriate avenue for seeking assistance for the client?
3.4	Demonstrate knowledge of and the ability to provide tailored advice on the full range of immigration matters relating to applications, appeals, requests, claims and other representations.	Given a complex real-life scenario, can the adviser identify the most appropriate immigration option for the client?
4.1	Demonstrate the ability to assess a client’s immigration situation.	Does the client file demonstrate: understanding of eligibility criteria for the relevant immigration matter gathering of appropriate information to assess the client’s eligibility that the adviser conducts a preliminary assessment and identifies potential barriers to eligibility identification and evaluation of possible options for the client provision of correct advice and information to the client and reasons for the advice that the adviser understands the requirements relating to medical evidence and character waivers.
4.2	Demonstrate the ability to provide services in an ethical, timely, conscientious, complete and accurate manner.	Does the client file demonstrate the adviser’s ability to: plan the application process clearly communicate with the client the requirements for their immigration matter co-ordinate and prepare applications lodge applications with all the required supporting documents take reasonable steps to inform clients to submit accurate and genuine documentation and the consequences of not doing so satisfy all lodgement requirements apply immigration knowledge as appropriate and in a manner that protects the client’s immigration status and entitlement advise clients appropriately, with a view to providing full information to Immigration New Zealand.
4.3	Represent clients through the immigration process	Does the client file demonstrate the adviser’s ability to: follow up on applications liaise with Immigration New Zealand as required keep clients informed in a consistent manner recognise and work within time limits understand and respond appropriately to issues as they arise including responding promptly to correspondence from Immigration New Zealand, the client and third parties complete the process following decision-making including the timely return of the client’s documents ensure decisions are communicated to clients with the details and implications of outcomes explained, particularly appeal and review rights check a visa label for accuracy advise clients in a timely manner of the procedures for complaints and the avenues for redress including rights to appeal take necessary follow-up action.
6.1	Demonstrate understanding of and commitment to professional, ethical, socially responsible and culturally sensitive behaviour and practice; in particular to all aspects of the licensed immigration advisers code of conduct.	Does the client file demonstrate the adviser’s ability to: provide honest advice preserve client confidentiality provide an internal complaint process handle conflicts with clients and other parties in a constructive and professional manner recognise financial or non-financial interests in goods or services recommended or supplied to clients disclose financial or non-financial interests in goods or services recommended or supplied to clients disclose conflicts of interest to other parties as appropriate abide by the code of conduct.
6.3	Demonstrate the ability to manage a business in accordance with New Zealand law and the licensed immigration advisers code conduct including the management of client services, business accounts and finances and where appropriate seek the assistance of other professionals.	Does the client file demonstrate the advisers ability to: manage client services manage business accounts and finances according to New Zealand law and the code of conduct requirements apply immigration knowledge as appropriate and in a manner that protects clients immigration status and entitlement seek the assistance of other professionals when necessary.
6.5	Demonstrate the ability to develop and maintain ethical and professional relationships with Immigration New Zealand and other relevant organisations.	Does the client file demonstrate the adviser’s ability to develop a good professional relationship with INZ and other organisations, demonstrated by correspondence like letters or emails?
6.6	Demonstrate the ability to develop and maintain ethical and professional relationships with clients.	Does the client file demonstrate the adviser’s ability to develop a good professional relationship with their client, demonstrated by correspondence like letters or emails?
6.7	Demonstrate the ability to develop and apply a clear and understandable written agreement.	Does the written agreement show evidence of: A full description of the services to be provided by the adviser Advice that the client is entitled to seek independent legal advice before entering into agreements Fees to be charged and a clear payment schedule which shows how and when the client will be invoiced A refund policy.
6.8	Demonstrate understanding of the importance of qualify 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?

Supervision

The supervisor of the provisional licence holder needs to complete the supervisor reference.

They must comment on how the applicant has developed the skills and knowledge necessary to apply for either a limited or a full licence in relation to competency standards 3, 4 and 6.

Business processes questionnaire (section 6)

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

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

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 adviser’s 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 adviser’s levy is NZ$982.22.

The applicant must submit the upgrade application fee with their 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.

Photograph, authorisation and statutory declaration (Part E of the upgrade application)

To verify their identity, the applicant must attach a passport-sized and quality photograph, taken within 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.

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
• 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.

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.

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.

Once the Authority lodges the application it will send the applicant the cases studies to complete. The case studies are sent to the service address given on the application.

The case studies include a scenario and questions regarding each part of the immigration process. These ask 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 INZ 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. The case studies are assessed using the same performance indicators used for client file assessment.

Assessment of upgrade 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.

The Registrar may:

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

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.

Upgrade licences are valid for 12 months from the date the Registrar grants it or the expiry of the previous licence, whichever occurs first.

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.