Being selected for inspection

Any person authorised by the Registrar may, for the purpose of administering the licensing regime, carry out an inspection under sections 56 and 57 of the Immigration Advisers Licensing Act 2007. Section 20 allows inspections to be used as a method of determining an adviser’s competency.

Purpose of inspections

The inspection powers are used to support the administration of the licensing regime. Inspections provide the Immigration Advisers Authority (IAA) with an educative tool to identify deficiencies in an adviser’s practices and help improve the adviser’s ability to meet competency standards and comply with the Code.

Adviser eligibility for an inspection

All advisers are eligible for an inspection. If an adviser was required to be inspected and they let their licence expire rather than renewing it, they will be inspected when they reapply.  

Inspections process

If you are selected for inspection, the IAA will send you a notice of inspection along with the renewal reminder email that is sent out two months before your licence is due to expire.

This inspection notice will be issued pursuant to Section 57 of the Immigration Advisers Licensing Act 2007.

Documents for inspection

If you are selected for inspection, you will need to provide additional documents with your licence application.

The inspection notice will set out what additional documents you need to provide. These may include:

• a client file of the IAA’s choosing
• your Continuing Professional Development (CPD) plan and record for the period set out in the inspection notice
• if you have previously taken client funds in advance:
  • bank statements for the period set out in the inspection notice; and
  • the related client account ledger
• if you are renewing or reapplying for a provisional licence, supervision arrangement documents, including:
  • a completed Form 301A: Supervision Arrangement Application (Inspection Renewal), signed by all parties
  • an acceptable supervision agreement, signed by all parties
  • minutes of supervision meetings for the period set out in the inspection notice, signed by you and your supervisor
  • a list of client files for which your supervisor is providing direct supervision, signed by you and your supervisor
  • your reflections on your supervision arrangements to date
  • your supervisor’s reflections on your supervision arrangements to date
• if applicable, a response to other matters relating to competency.

All documents must be in PDF, PNG or JPG format with a maximum file size of 10 MB.

Further information about these documents is set out below.

For additional guidance on supervision arrangements, please see our Supervision Toolkit.

Supervision toolkit

Client file requested by the IAA

The inspection notice will set out the details of a client file for inspection that has been chosen by the IAA from all applications submitted by you to Immigration New Zealand.

You must provide the client file that is requested by the IAA. As this client file is requested under section 57 of the Act, you and the client do not have to complete a client authorisation and declaration.  

A client file is a file that records your work on behalf of a client in relation to a particular immigration matter. It should trace your 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. The client file should be a copy of the information and documentation you have kept.

The Registrar would expect to see the following in a complete client file:

• documented evidence of assessment of the client’s immigration eligibility
• the written agreement entered into with the client and any supporting information
• a copy of the internal complaints procedure provided to the client
• invoices for services
• all correspondence with the client, INZ and/or third parties; this includes all emails, letters and file notes of verbal communication
• EITHER 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 (for example, letter, visa label).

The file must be in English. If there is any documentation or correspondence in another language, the adviser must provide translated copies.

Performance indicators for client files

The IAA will consider the following performance indicators against the submitted client file when assessing the competency standards for an inspection. This list is not exhaustive, and is intended as a guide only. Other performance indicators or competency standards may also be relevant.

If the evidence provided in an application raises concerns about whether you are meeting the competency standards or indicates non-compliance with the Code, the IAA will consider these when assessing the application. The IAA may put these concerns to you or seek additional information.

Competency 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 Manual, to help apply their knowledge?

Competency 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 and Protection Tribunal websites and the Immigration New Zealand contact centre
Given a complex real-life scenario, can the adviser identify an appropriate avenue for seeking assistance for the client?

Competency 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 an appropriate immigration option for the client?

Competency 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 appropriate advice and information to the client and reasons for the advice
  • that the adviser understands the requirements relating to medical evidence and character waivers.

Competency 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.

Competency 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 clients 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
  • if applicable, 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.

Competency 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
  • if applicable, handle conflicts with clients and other parties in a constructive and professional manner
  • if applicable, recognise financial or non-financial interests in goods or services recommended or supplied to clients
  • if applicable, disclose financial or non-financial interests in goods or services recommended or supplied to clients
  • if applicable, disclose conflicts of interest to other parties as appropriate
  • abide by the code.

Competency 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 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.

Competency 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?

Competency 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?

Competency 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
  • Fees to be charged and a clear payment schedule which shows how and when the client will be invoiced
  • A refund policy.

Competency 6.8: Demonstrate understanding of the importance of 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?

Continuing professional development plan and record

You must complete at least 20 hours of acceptable professional development activities, including any mandatory activities, during each 12-month licensing period.

You can either keep your CPD plan and record in the IAA online portal or via another method of your choosing. If you keep your CPD plan and record in the IAA online portal, you do not need to upload it with your application. 

Client funds documents

If you take client funds in advance, you must provide bank statements for your client account for the period set out in the inspection notice and the related client account ledger.

Bank statements and the client account ledger must be in consecutive date order with no gaps for the for the period set out in the inspection notice.

The client account ledger may take the form of an accounting system, an electronic ledger or a hard copy ledger.

A client account ledger should include:

• the date of the transaction
• the type of the transaction; whether it is a deposit or a withdrawal
• the amount of the transaction
• the client name
• the purpose of the transaction – specifically, whether it relates to professional fees (including the stage of work), or a disbursement (including what the disbursement is)  
• the related invoice number. 

Supervision arrangement documents

If you are renewing or reapplying as a provisional licence holder, you may be required to provide a number of documents relating to your supervision arrangement. These will be listed in your inspection notice.

Supervision agreement

You and your supervisor are required to have in place a signed supervision agreement for the approval of the Registrar. 

If you and your current supervisor are intending to update or change the terms of your supervision agreement, provide your revised supervision agreement. Otherwise, provide your current supervision agreement. 

If you are applying with a new supervisor, provide a new supervision agreement for approval.

If your professional development plan is not included in your supervision agreement, you will need to provide this separately. 

Reflections on your supervision arrangements

You and your supervisor(s) must provide reflections on your supervision arrangements to date. 

You and your supervisor(s) must provide details of:

• how you and your supervisor have complied with the terms of your supervision agreement
• how your supervisor monitored your documentation and formal correspondence
• how often you met with your supervisor
• whether you have achieved your learning needs as set out in your professional development plan
• if your supervisor was away, what arrangements were in place to ensure direct supervision carried on during your supervisor's absence.

Other matters relating to competency

The IAA may require you to provide evidence of a change in practice where you have failed to demonstrate adherence to a particular aspect of the competency standards or the Code and where the failing is not significant enough to warrant a refusal of your application or a complaint. A requirement to make a change in business practice is recorded in your approval in principle letter.

For your current application, you will be required to confirm whether the IAA required you to make a change in business practice with your previous application. 

If you were asked to provide evidence of a change in business practice, you will be required to provide the following:  

• a cover letter explaining how you have changed your business practice
• evidence that shows how these changes have been implemented.

Inspection outcomes

Depending on the quality of the information provided and if there is evidence of issues with meeting the competency standards or breaches of the Code, the assessor(s) will recommend to the Registrar that:

• you be issued with an improvement / change in business practice letter
• a complaint be made to the Immigration Advisers Complaints and Disciplinary Tribunal (the Tribunal)
• your application for a licence be refused
• you be approved a provisional licence instead of a limited or full licence
• no further action be taken against you.

Improvement letter

An improvement / change in business practice letter will be issued if minor issues arise that relate to you not meeting competency standards or not adhering to the Code of Conduct.

This letter will set out the issues and will outline what steps you are expected to take to address these issues.

You will be expected to demonstrate how you have addressed these issues at your next renewal.

If you are unable to demonstrate that you have improved on the issues outlined by your next renewal the IAA may refuse your application for renewal of your licence, cascade you from a full to a limited or provisional licence or make a complaint to the Tribunal.

Complaint to the Tribunal

An own-motion complaint will be recommended by the assessor if they are satisfied that you may have breached the Code of Conduct and that the breach has been re-occurring or serious.

The decision to lodge an own-motion complaint will be made by the Registrar. Should the Registrar choose to lodge a complaint with the Tribunal, the Tribunal will determine if a breach of the Code of Conduct has occurred, and any penalties that apply.

On-site inspection

The IAA can also undertake an on-site inspection. You will be informed if the IAA intends to carry out an on-site inspection.