Running the organisation

Management policies and structures

52. An adviser must have in place management policies and structures. All policies and structures must be reviewed annually and be available for inspection. The policies must be accessible to the adviser's staff and must be dated, with any changes made to them recorded. These policies and structures should include, where appropriate:

1. a statement showing how their service is organised, including the decision-making structure;
2. a statement showing their service's key objectives and what they aim to achieve within the current year and the subsequent two years;
3. a statement showing how financial control of the service is exercised and who is responsible for financial management;
4. job descriptions and person specifications for all staff, including volunteers, who provide advice; and
5. an induction programme for all new staff, which must cover, among other matters, the client information requirements as detailed in Codes 32 and 33.

All policies and structures must reflect equality of opportunity and impartiality.

53. All advice organisations must have an annual business plan with a cash flow/funding projection. Exempt organisations must explain how their service will be adequately funded.

54. A regulated adviser must notify the Commissioner of the address(es) of all the premises from which their business is carried out, and must notify clients and the Commissioner of any change to those addresses within ten working days.

People management

55. Advisers must notify the Commissioner of changes in their organisation's immigration advice-giving staff within ten working days of such staff joining or leaving.

Management of staff

56. In organisations where staff are employed to provide immigration advice and/or services, there must be adequate management and oversight of such staff, including:

1. Organisations must identify and nominate a person to act as manager of immigration advice staff. Operational management arrangements, and any significant changes thereto, must be notified to the Commissioner.
2. Where there is more than one staff manager within an organisation, one person should be identified as having responsibility for overseeing supervision.

57. In all organisations where staff are employed to provide immigration advice and/or services, there must be the following written procedures, statements and documents, detailing:

1. a system for managing and overseeing staff to ensure their continued competence and fitness, including how such staff's work will be monitored or audited;
2. details of the respective skills, knowledge and competencies of those assisting advisers, their performance reviews and associated feedback;
3. how training needs are identified, and training plans recorded and delivered;
4. the organisation's internal disciplinary procedures; and
5. an induction plan as detailed in Code 52(e).

58. Advisers must maintain records that demonstrate that the processes outlined in Codes 56 and 57 are adhered to and must ensure the provision of competent immigration advice or services.

Allocation of cases

59. Advisers must maintain a system for the allocation of cases to staff, according to their authorised levels of competence.

Fees and accounts

60. No exempt adviser should charge for the provision of immigration advice or immigration services.

61. An adviser who charges for their advice or services must only charge a fee for which they are legally entitled.

62. Where monies or fees are taken, an adviser must keep accounts, including a distinct written record of the transactions undertaken for each client.

63. Wherever possible, payment of fees to government departments, tribunals, local authorities and similar bodies should be made by the client direct to the authorities. Where it is necessary to hold client money, either in respect of future payments to be made on behalf of the client or in respect of fees paid for work not yet done, or for any other purpose, the money:

1. must be held in a client account distinct and separate from their business bank account; and
2. it must be made clear that the funds remain the client's.

64. With respect to the client account:

1. transfers into and out of a client account must have supporting documentation;
2. clients must be given a financial statement showing their account balance, if they so request; and
3. there must be a direct co-relation between work done and monies charged.

65. An adviser must have audited or certified and otherwise verified business accounts to which the following apply:

1. Accounts and records must comply with current legislation.
2. The Commissioner's Rules and Code of Standards do not replace any obligations/requirements of any UK law or institution (e.g. VAT, HM Revenue and Customs, the Companies Act, the Charities Commission, Companies House).
3. Advisers must give access of historic and day-to-day records to the Commissioner upon request.

66. Upon request, an adviser must produce to the Commissioner their latest set of accounts.

Indemnity insurance

67. All advisers must have current and adequate professional indemnity insurance cover in respect of any civil liability that may be incurred in relation to their work and advice services. The OISC will not grant authorisation to practise to any adviser without such insurance being in place.

68. If such insurance cover lapses, an adviser must inform the OISC within five working days of becoming aware of the lapse. They must also indicate what immediate action they are taking to remedy the situation. While there is no cover, the Commissioner will seek to suspend the adviser's authority to provide immigration advice or immigration services with immediate effect, until such time as cover is restored.

69. The lapse of professional indemnity insurance cover is sufficient to cause the withdrawal by the OISC of authority to provide immigration advice or immigration services.

Use of the OISC reference number and the OISC logo

70. All directly regulated organisations must display their unique OISC reference number on all printed and electronic publications, including websites, advertisements, publicity material, letterheads and business cards.

71. The OISC logo must be used in accordance with guidance contained in the adviser's approval letter.

Promotional material and general information provided by the adviser

72. Description of the advice and services offered, as well as the qualifications and competence levels of those providing advice and services, must not be misleading. It is a criminal offence for an adviser in their promotional material or by other means to offer to provide immigration advice and/or services at a level or in an area for which they are not authorised by the Commissioner. [Note: Section 39, the Asylum and Immigration (Treatment of Claimants, etc.) Act 2004]

73. Advisers in their literature, website and other promotional materials must not criticise other advisers either directly or indirectly or make statements about success rates.

74. All information published by an adviser, whether in printed or electronic format, such as websites, must accurately reflect the adviser's authorised OISC level. The requirement to ensure that advertising and promotional material comply with the Code of Standards is the personal responsibility of the adviser, and this cannot be delegated.

75. The name of any advice organisation must not suggest connection with, or approval by, government.

76. The advice organisation's name must not have the potential to confuse or mislead clients.

77. In either instance mentioned in Codes 74 or 75, the OISC may require that the advice organisation change its name.

78. No adviser must claim they have a qualification to which they are not entitled.

Business promotion

79. An adviser must not promote their business directly or indirectly by unsolicited approaches to prospective clients either in person, by means of telephone calls or in writing. This provision does not include approaches to a current or former client of the adviser acting without inducement, referrals made in accordance with the Code or approaches to a commercial organisation or public body.

80. Advisers must not tout for clients at ports or detention or accommodation centres.

Records and case management

81. An adviser must keep clear, orderly and accurate records of contacts, dealings with clients and dealings with third parties such as government departments.

82. An adviser's record-keeping and information systems must be appropriate to the levels of service they provide. An adviser must use systems that enable information to be organised and accessible, with each client's records kept separate.

83. When an adviser asks to retain possession of a client's documents for whatever reason, they must immediately provide that client with a photocopy of all such retained documents.

84. In respect of each client, advisers must identify and record key information and dates and enter these in a file management system. This is to ensure that actions are taken at the correct time. These records must detail the background of the client's case, records of meetings, action taken and by whom, advice given and by whom and any other relevant matters.

85. Client records must be maintained in an orderly manner with the progress of each case clearly recorded. Such records must be accessible to, and be capable of being easily understood by, colleagues and others.

86. Client records must be retained for at least six years.

The client's documents and file

87. A client's records must be made accessible to the client upon their request.

88. An adviser must, without delay, having regard to the urgency of the client's business and to ensure that the client's affairs are not prejudiced, give or send the client's documents to the client or such other third party as they may request in writing.

89. If a matter is referred on and a properly authorised request for the file is made, the client's file must be transferred as soon as possible and, in the case of a client who is in detention or where their removal is imminent, the relevant documents must be forwarded no later than three working days after receipt of the request.

90. An adviser must not give or send a client's documents to any person other than the client unless the client has given written authorisation. This does not apply where there is a legal requirement.

Engaging experts

91. An adviser must have a written procedure for selecting experts such as interpreters or doctors. The procedure must use relevant objective criteria such as membership of a recognised accreditation body.

Interpreters and country experts

92. An adviser must use an interpreter if there are language difficulties. An adviser must explain to an interpreter their precise role and responsibilities, and, in particular, that they should act impartially, respect client confidentiality and not distort information stated by the client.

93. An adviser must have regard to the fact that clients may not be best served by choosing a family member to act as an interpreter, as there may be instances where the client is required to disclose matters of a sensitive or personal nature or may require objectivity.

94. An adviser must be mindful of the fact that, while clients and interpreters or country experts may share a common language, they may have significantly different cultural, political or religious beliefs.

95. Advisers must be vigilant in observing any unease on the part of their client regarding the interpreter employed.