Approval in principle (residence)

At a glance

Approval in principle (AIP) is a procedural step in residence visa processing: an application is approved in principle once an immigration officer is satisfied that all eligibility requirements have been met, except for any remaining administrative or financial steps (such as paying an ESOL tuition fee, transferring investment funds, or paying the 2021 Resident Visa fee) [R5.45]. The applicant is then given a specified period to fulfil those outstanding requirements before a final decision is made. If the requirements are not fulfilled within the timeframe, the application must be declined unless an extension is warranted by relevant circumstances [R5.45]. Additionally, any prejudicial information arising after AIP must be disclosed to the applicant in accordance with fairness principles [R5.45.1].

Definition

Under R5.45, approval in principle occurs when an immigration officer is satisfied that all necessary requirements for eligibility under the relevant residence instructions have been met, with the exception of:

• the payment of any ESOL tuition fee;
• transfer and/or investment of funds, as required under the relevant category of residence;
• the payment of any total fee owing for a 2021 Resident Visa (see S6.20) and paragraph R5.45(c)(ii) [R5.45].

The date of AIP is the date on the letter to the principal applicant or their agent advising that AIP has been given [R5.45]. An initial period is given to fulfil the outstanding requirements, which may include providing an acceptable travel document for the principal applicant or, for a 2021 Resident Visa, paying the total fee notified by INZ [R5.45].

If the outstanding requirements are not fulfilled within the initial period, the application must be declined unless an immigration officer extends the period after considering relevant circumstances [R5.45]. Relevant circumstances include the death of a family member, illness, or loss or theft of documentation [R5.45]. An immigration officer may extend the period if appropriate, and more than one AIP letter may be issued to allow time to fulfil requirements in stages (for example, first fulfilling investment transfer, then later providing passports and paying ESOL fees) [R5.45].

Information after AIP (R5.45.1)

If any potentially prejudicial information comes to light after AIP but before the final decision, the principal applicant must be given the opportunity to comment on it, in accordance with the principles of fairness and natural justice (see Administration chapter A1) [R5.45.1]. This ensures the final eligibility decision—including health and character requirements—is made fairly.

Application in decisions

• Immigration officers must monitor the AIP period and ensure that outstanding requirements are satisfied or an extension is granted before finalising the residence visa.
• When extending the period, officers must consider the circumstances listed in R5.45(e) and any other relevant factors. The instruction does not provide a maximum extension period, so discretion applies.
• For 2021 Resident Visa applications, the total fee owing as notified by INZ must be paid as an outstanding requirement; failure may lead to decline.
• The fairness obligation under R5.45.1 mirrors the general natural justice requirement; any adverse new information (such as new character concerns or health issues) must be put to the applicant for comment before decline.

Interpretation & edge cases

• Distinction from final approval: AIP is conditional; the visa is not granted until the outstanding requirements are met. If the requirements are not met within the allowed time (or extended time), the application is declined.
• Multiple AIP letters: An officer may issue a second (or further) AIP letter to stagger requirements, but only if appropriate. This is not an automatic entitlement.
• Interaction with category-specific instructions: Many residence categories (e.g., Business Investor, Skilled Migrant) have their own approval-in-principle rules that may supplement or override R5.45. Where a category-specific instruction sets a different process, that specific instruction prevails. R5.45 provides the default framework for all residence class visas.
• No appeal against AIP decline: The manual does not detail appeal rights specifically for AIP decline; the standard appeal provisions for residence declines apply.

Citations

• R5.45 — Approval in principle
• R5.45.1 — Information received after approval in principle has been given