File management

One of the most valuable risk management tools that an adviser can use when dealing with clients is to proactively manage client files. A well-managed file is like a ‘useable trail’ of actions, which will benefit the adviser as well as the client.

A file for each client

Having taken instructions to proceed with an immigration matter, an adviser needs to open a unique client file and place all documentation in that file. The file can either be in hard copy or electronic – or both.

A copy of each client’s application or other immigration matter

The word ‘application’ in this context includes:

• the immigration application form(s)
• any sponsorship form that might be needed to accompany the application form
• all supporting documentation, e.g. certified copies of birth, marriage and death certificates, educational qualifications and passports, and
• any covering letter written to Immigration New Zealand by the client or adviser, when the application is submitted.

In respect of an ‘appeal’, ‘request’, ‘claim’ or ‘other representation’ any other relevant form(s), supporting documentation and covering letter submitted to Immigration New Zealand or the Immigration and Protection Tribunal should similarly be kept.

Copies of any legislation or instructions that are relevant to the client’s immigration matter

Although it is not required, as immigration instructions can change, it may be useful to place on the client’s file a copy of the relevant legislation or instructions that applied to their particular immigration matter at that time.

A copy of all written agreements

Copies of all signed/agreed written agreements relating to the client (or clients) on the file must be kept.

If any changes are made to the written agreement during the relationship with the client, a copy of the amended agreement must be kept, together with evidence that all parties have accepted the changes in writing. If the adviser has obtained the client’s agreement to any changes in writing via email or letter, a copy should be attached to the client’s file.

Copies of written communications

During the progress of an immigration matter, written communications may occur between the adviser and the client, Immigration New Zealand, or another relevant statutory authority, which must be kept on the client’s file. It is also important to keep file notes that record material oral communications.

It is important that advisers maintain a written record of their eligibility assessment and any other advice for each client.

Copies of invoices and receipts

Advisers must keep on the client file copies of:

• any invoices issued by the adviser to the client
• any receipts issued by the adviser to the client.

Copies of client’s personal documents

The adviser must make sure that they take a copy of any personal documents submitted as supporting documentation in regard to an immigration matter to retain on their client file.

Evidence of safe return of original documents

Clause 27(b), discussed below, requires passports and other personal documents to be returned to the client without delay and in a secure manner. Evidence that this has occurred must be kept on the client’s file. This could take the form of, for example:

• a copy of a track and trace courier confirmation of delivery
• a signed receipt from the client that they have collected/received their documents.

Confirmations in writing

When an adviser lodges an application they must confirm this in writing to their client.

The adviser must also make on-going timely updates to their client in regard to their immigration matter.

It may be helpful to agree with the client in the written agreement when these updates will occur, for example, monthly or only when an action is taken on the immigration matter.

Whenever a material discussion takes place with the client, the adviser must confirm the details of the discussion to their client in writing. This reduces the risk of misunderstanding between the client and the adviser and gives the client an opportunity to question or correct any aspect of the discussion.

Written confirmations and updates should be kept on the client’s file.

Here are decisions from the Immigration Advisers Complaints and Disciplinary Tribunal that refers to the importance of confirming in writing when applications have been lodged, timely updates and confirming in writing material discussions:

Adams v Aucamp

Decision: [2015] NZIACDT 94 (22 October 2015) (PDF, 150KB)(external link)

Penalty Decision: [2016] NZIACDT 53 (14 September 2016) (PDF, 210 KB)(external link)

AQ v Mudaliar

Decision: [2015] NZIACDT 76 (23 June 2015) (PDF, 192KB)(external link)

Penalty Decision: [2015] NZIACDT 93 (16 October 2015) (PDF, 132KB)(external link)

Muller v Yerman

Decision: [2015] NZIACDT 77 (25 June 2015) (PDF, 205KB)(external link)

Penalty Decision: [2015] NZIACDT 102 (11 December 2015) (PDF, 119KB)(external link)

Carley (INZ) v Kim

Decision: [2015] NZIACDT 47 (7 May 2015) (PDF, 144KB)(external link)

Penalty Decision: [2015] NZIACDT 107 (22 December 2015) (PDF, 183KB)(external link)

Senadipathi & Xavier v Sampang

Decision: [2015] NZIACDT 43 (20 April 2015) (PDF, 98KB)(external link)

Penalty Decision: [2015] NZIACDT 110 (23 December 2015) (PDF, 123KB)(external link)

N v Letalu

Decision: [2015] NZIACDT 41 (16 April 2015) (PDF, 142KB)(external link)

Penalty Decision: [2015] NZIACDT 109 (22 December 2015) (PDF, 160KB)(external link)

A well-managed filing system

Advisers can choose the method that they use to file client records. The primary considerations in respect of any filing system should be:

• that the system is well-managed, and
• that it is easy to use.

Maintain files for no less than 7 years

The adviser must ensure that each client file is maintained for at least 7 years, and that the file is accessible.

Advisers also need to remember their obligations to IRD in New Zealand or their obligations to any overseas equivalent department. In New Zealand, for example, the IRD requires that all financial records are kept for a period of at least 7 years.

For more information on how to keep your financial records in order see the business.govt.nz(external link) website.

Release of client files

In the event that the client terminates the contract with their adviser part way through performance of the services, the client, or their new adviser if they have engaged one, may request a copy of the client’s file.

Any lodged applications and any correspondence relating to the client must be released to the client or their representative.

An adviser must also consider their obligations to release personal information under the Privacy Act 2020.

There is no requirement in the Code for an adviser to release this information without charge. However, if charging for providing a copy of a file, the adviser also needs to ensure they are complying with clauses 21 a, b and c, relating to disbursements.

If not previously agreed to with the client, the adviser would need to discuss the options and estimates with the client and ensure these are recorded and agreed to in writing.

Adviser may consider the Privacy Commissioner’s guidelines on charging for access to personal information(external link).

Here are some decisions from the Immigration Advisers Complaints and Disciplinary Tribunal that refer to the importance of file management and good record keeping:

Muneez v Deng

Decision: [2013] NZIACDT 33 (27 May 2013) (PDF, 108 KB)(external link)

Penalty Decision: [2013] NZIACDT 53 (20 August 2013) (PDF, 65 KB)(external link)

TX v MGK

Decision: [2013] NZIACDT 14 (19 March 2013) (PDF, 96 KB)(external link)

TSO v Hassan

Decision: [2013] NZIACDT 52 (16 August 2013) (PDF, 125 KB)(external link)

Penalty Decision: [2013] NZIACDT 62 (18 September 2013) (PDF, 68 KB)(external link)