Our Policy Manual

Licence upgrade policy

Purpose

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

Upgrade Requirements

A limited or provisional licence holder may apply 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.

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.

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 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
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 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.

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.

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
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
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. 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 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 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.

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

All 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 at 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 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
relate to a separate client or set of clients. For example, applicants may not submit two client files from one family
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	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 INZ 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 INZ and other relevant organisations.	Does the adviser have good professional relationships with INZ and other organisations, demonstrated by correspondence like letters or emails.
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 clear 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 INZ 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?

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, 5 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 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 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.
The person who witnesses the statutory declaration 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 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
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.

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.

Immigration Advisers Authority