Our Policy Manual

Provisional licence and supervisor policy

Purpose

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

Provisional licences

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.

Application process

The requirements to apply for an immigration adviser licence are set out in the New Zealand Immigration Advisers Licence Application Booklet (the application booklet).

Application for an immigration adviser licence (Part A)

For Part A of the application booklet the following information is required:

personal and contact details
the type of licence that the applicant is applying for
qualifications or relevant work experience
examples of continuing professional development
evidence of the applicant’s English language and communication ability
fitness for licensing
proof of identity and two verified passport size photographs
police certificate
fee and levy
authorisation and statutory declaration
case studies
application for approval of supervision arrangement.

Personal and contact details (Sections 1-3)

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
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 for more than 183 days in the last 12 months.

The contact details section requires the applicant to provide:

their current employment status
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 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.

Type of licence (Section 4)

When applying for a provisional licence, applicants must tick the provisional licence box.

Qualifications (Section 5)

If applicable, the applicant is required to list, what qualifications they have, relevant study, or work experience.

The Authority is currently establishing an immigration licence qualification that will be available from July 2012.

In the meantime, the Registrar recognises the applicant’s experience in providing immigration advice, demonstrated by their work history.

The Register recognises the Graduate Certificate in Australian Migration Law and Practice or the Massey University paper 155.222 Immigration Law and Practice. It is important to attach a certified copy of the academic transcript.

The applicant must list any other educational qualifications, such as secondary schooling, or trade or tertiary qualifications.

It is important for the applicant to advise whether they are or have been licensed or registered, or hold a similar recognition with an overseas organisation that has a similar role to the Authority.

Continuing professional development (Section 6)

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
self-directed learning on topics relevant to the provision of immigration advice.

English language (Section 7)

See the English Language Policy for more information.

Fitness for licensing (Section 8)

See the Fitness Policy for more information.

Proof of identity (Section 9)

The applicant is required to attach the following:

one certified copy of their driver licence, or birth certificate or a certified copy of the page of your current passport that shows the photograph and personal details. A person who is authorised to witness a statutory declaration must certify this document
two identical passport-sized and passport quality photographs that were 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.

New Zealand police certificates (Section 10)

Applicants are required to provide a New Zealand police certificate, obtained within the last six months if they have lived in New Zealand for more than 12 months in the last 10 years.
To apply for a New Zealand police certificate, the applicant must download the application form (Priv/F2) form issued by the Ministry of Justice and signed by the Authority from the Authority’s website, www.iaa.govt.nz.

Applicants must complete and send it to Privacy Unit, Ministry of Justice, National Office, PO Box 6140, Wellington. Applicants must sign the form with a copy of certified identification included.

The Ministry of Justice sends a copy of the certificate to the Authority and a duplicate to the applicant. Applicants must send in this duplicate copy with the application.

Overseas police certificates (Section 10)

Applicants are required to provide police certificates, obtained within the last six months, from each country that they have lived in for 12 months or more over the last 10 years.
Applicants must contact the relevant authorities in the particular country or countries to find out the cost and the timeframe for delivery.

Do not apply for a licence until the Authority has received the overseas police certificate. The applicant is required to email the Authority info@iaa.govt.nz that they intend to apply for a licence and have sought the police certificate/s. The Authority will contact the applicant by return email when it has received the certificate/s, after which they can apply for the licence.

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 and their own language.

This declaration needs to detail the applicant’s attempts to obtain a 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.

Alternative evidence

The Registrar has some discretion to determine what evidence is required to demonstrate competency. In some cases, the Registrar may waive the requirement of the applicant to provide client files where acceptable alternative evidence is available.
In order for the Registrar to accept alternative evidence, the applicant must have significant immigration-related experience. The Registrar regards this as meaning a minimum of 12 months direct immigration experience in the last three years. Examples of direct immigration experience may include:

working on immigration cases in a Member of Parliament’s office
working on immigration cases in a lawyer’s office.

The Registrar will determine alternative evidence to client files at their discretion on a case-by-case basis. Applicants wishing to submit alternative evidence to client files should discuss their application with the Authority before submitting it.

Fee and Levy (Section 11)

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

The immigration advisers 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. Payment methods are located in the application booklet.

Authorisation and statutory declaration (Section 12)

Applicants must statutory declare 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.

Supplementary documentation (Part B)

Applicants must supply the following supplementary documentation, as set out in Part B of the application booklet.

Case studies

Applicants must complete the three immigration-related case studies in the application booklet.

Each case study outlines a specific set of circumstances and asks a series of questions that requires detailed answers.
Applicants need to demonstrate in their responses how they would handle these scenarios, rather than actual practical experience.

Questionnaires

Provisional licence applicants must complete the following three questionnaires in the application booklet:

the immigration advisers licensing scheme questionnaire
immigration law and instructions questionnaire
business processes questionnaire.

References

Applicants must supply two professional references.

A professional reference can include the applicant’s supervisor or manager, or a previous employer or manager.

Supervision (Part C of the application booklet)

Section 19(5) of 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.

A supervisor can only supervise two provisional licensed advisers. When looking for a supervisor, an applicant must make sure that, the possible supervisor is not already supervising two advisers. The Authority will not make any exemption to this policy.

The applicant must complete the Application for Approval of Supervision Arrangement.

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 also 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.

What must be included in a 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 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 and how they will address 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).

Roles and responsibilities of the provisional licence holder

The provisional licence holder must:

hold a provisional immigration advisers 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 advisers 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 their skills and competencies that are required for a full licence
must 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.

Licensed Immigration Advisers Code of Conduct 2010

Both parties agree to 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.

Conflicts of interest

Both parties must identify any conflicts of interest, including the commercial and professional interests of both parties, and must agree on how to manage these.

Keeping records

Both parties must keep records relating to the supervision arrangement. The provisional licence holders 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 in 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.

Fees and Levy

For applicants who are ordinarily resident in New Zealand the initial Application Processing Fee is NZ$909.78 and the Immigration Advisers Levy is NZ$1129.55.

A person is ordinarily resident in New Zealand if they have spent more than 183 days in New Zealand in the immediately preceding 12-month period and are not unlawfully in New Zealand.

For applicants who are not ordinarily resident in New Zealand the Application Processing Fee is NZ$791.11 and the Immigration Advisers Levy is NZ$982.22.

Immigration Advisers Authority