Complaints and Professional Standards Course Workbook · Complaints and Professional Standards Course . Workbook ... are used in the Complaints and Professional Standards course

Managing an Immigration Consulting Practice Course

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Complaints and Professional Standards Course

Workbook

Version: 2018-003 Last Modified: May 28, 2018

©2018 Immigration Consultants of Canada Regulatory Council. No part of this publication may be used or reproduced in any manner whatsoever without the prior written permission of the Council, except in the

case of non-commercial use of brief quotations accompanied by proper citation.


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Table of Contents

Glossary of Terms……………………………………………………………. .............................. .3

Module 1: Complaint Submission and Investigation …….………………………………..6

Module 2: Complaints Committee ................................................................... 18

Module 3: Discipline Committee ...................................................................... 21

Appendices Appendix A—Claim Reporting Procedures ..................................................... ..26 Appendix B—Errors & Omissions Insurance FAQ ................................ …………..27 Appendix C—Complaint Form against an RCIC………………………………………………30 Appendix D—Tips for Responding to a Complaint from ICCRC………………………36 Appendix E—Notice of Referral Sample………………………………………………………..38 Appendix F—Publication of Notices of Hearing ...................................... ……….41 Appendix G—Publication of Orders and Reasons for Decision ................... …..42


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Glossary of Terms

NOTE: The following terms are used in the Complaints and Professional Standards course materials and are defined below based on how they are used in the course. Aggravating Factors

Any fact or circumstance that increases the severity or culpability of an act. Agreed Statement of Facts

Means a submission provided to the Discipline Committee, signed by both parties or their legal counsel, which details the facts of the case to be reviewed by the Discipline Committee and which both parties agree to be correct.

Allegation

An assertion made by a party in a legal proceeding, which the party then undertakes to prove. Caution

Means a warning that the person subject to the caution should in future be careful to avoid in future be careful to avoid similar further behavior or complaints against that person, this warning to be placed on the person’s file for a period not to exceed two (2) years (By-law 2017-1, 1.1.j)

Committee

A group of people appointed for a specific function, typically consisting of members of a larger group.

Complaint/Response Information

Includes any information respecting, related to or arising out of a complaint received by the Council or a Committee of Council from any source at any time whether before or after any disposition of a complaint, including but not limited to information obtained pursuant to Sections 29, 31 or 32 of By-law-2017-1.

Culpability The guilt or blame that is deserved. General Liability

Insurance that covers injury to clients or employees on your premises. Independent Complaints Review Officer (“ICRO”) Means the person appointed to review complaints under section 62.7 of By-law 2017-1. In Good Standing

Means that an individual is not in arrears in respect of any amount payable by such individual to the Council for a period in excess of the time specified in By-law 2017-1, is current and in


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full compliance with the requirements of Section 40 (Learning and Development), and Section 45 (Professional Liability Insurance); and his or her membership in or registration with the Council is not under suspension for any cause whatsoever.

Key Person Insurance

If relying on specific people to help run your business, this insurance helps protect against the loss of these critical employees.

Limited Liability Company

A company in which the shareholders cannot be assessed for debts of the company beyond the sum they still have invested in the company.

Minor Infraction

Means any infraction of the Code of Professional Ethics other than conduct contrary to sections 2.2.3, 3.1, 4.2, 4.3, 7, 8, 9, 13, 15 and 15 that does not involve an offence under IRPA, the Citizenship Act or the Criminal Code (By-law 2017-1, 1.1.ss)

Mitigating Factors Circumstances that may be considered to lessen the culpability of an individual.

Notice of Referral

A letter prepared by ICCRC’s legal counsel and issued by ICCRC’s Registrar in order to commence proceedings against a RCIC, whom the Complaints Committee has decided to refer to the Discipline Committee.

Panel

A small group of people brought together to discuss, investigate, or decide on a particular matter.

Property Insurance

Insurance that covers the property and buildings owned by your business in the event of destruction or damage due to fire, etc.

Remedial

Intending to correct or improve a practice or behavior within the profession. “Run Off” Insurance

This is a type of extended Errors & Omissions insurance coverage, which is intended to protect against claims from former clients that may arise after an RCIC has closed his/her practice.

Settlement Agreement

Is an agreement made between a RCIC and the ICCRC’s legal counsel, prior to a Discipline Panel Hearing, that sets out the agreed upon facts and penalty, based on the complaint made against the RCIC.


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Submission(s)

The written or oral presentation of the facts of the case; relevant points of law; and the recommendation of a particular decision, which is made by either party (i.e., the RCIC and/or his/her legal counsel and ICCRC’s legal counsel) to the Discipline Committee.

Summary of Complaint

A document prepared by the ICCRC Investigator, which is based on the complaint document submitted through the ICCRC website and which sets out the allegations made against the RCIC. The Summary of Complaint is provided to both the RCIC and the complainant.

Ungovernable Means conduct that demonstrates repeated unwillingness, refusal or inability to comply with ICCRC’s regulatory requirements as set out in the By-law, Code of Professional Ethics or a Regulation.

Urgent Motion

Is an order requesting the restriction and/or suspension of practice of a RCIC pending the final outcome of criminal or other proceedings of which the RCIC is the subject.

Voluntary Resolution Program (“VRP”)

Means the resolution program that may be accepted voluntarily by a person under Subsections 29.2 (c) ii, iii, (d) and Subsection 29.4 (f).

Works consulted: By-Law 2017-1. (2015). Immigration Consultants of Canada Regulatory Council. Retrieved from

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/File/BylawsEnglish.pdf Canada Business Network. 2016. Insurance for your small business Retrieved August 30, 2016 from:

http://www.canadabusiness.ca/eng/page/2684/ Dictionary.com, LLC. (2016). Dictionary.com. Retrieved from http://www.dictionary.com/browse Discipline Committee Rules of Procedure. (2015). Immigration Consultants of Canada Regulatory

Council. Retrieved from http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Discipline%20Committee%20Rules%20of%20Procedure%20-%20FINAL(1).pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/File/BylawsEnglish.pdf

http://www.canadabusiness.ca/eng/page/2684/

http://www.dictionary.com/browse

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Discipline%20Committee%20Rules%20of%20Procedure%20-%20FINAL(1).pdf




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Module 1: Complaint Submission and Investigation Preventing Complaints

Part A Instructions: List some of the external factors which may contribute to RCICs being the subject of client complaints in the space provided below. Then, refer to the “Tips for Preventing a Client Complaint” resource on pages 7-8 and propose a preventative strategy to address each factor.

External Factors Preventative Strategy 1. The immigration application process often

takes a long time, which can be frustrating for clients.

Educate clients about the immigration process and anticipated wait times.

2.

3.

4.

Part B Instructions: List some of the internal factors which may contribute to you being the personal subject of a client complaint in the space provided below. Then, refer to the “Tips for Preventing a Client Complaint” resource on pages 7-8 and propose a preventative strategy to address each factor.

Internal Factors Preventative Strategy 1. I have a dry sense of humour, which can be

confusing or misinterpreted as hurtful. Consider the communication style of your client and modify your communication style as needed.

2.

3.

4.


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Tips for Preventing a Client Complaint Instructions: Scan the tips in the column “General Tip” below and read the corresponding “Practical Examples” for at least three (3) of the General Tips.

General Tip Practical Examples 1. Don’t practise in

isolation • Actively seek peer feedback through educational programs or from

other RCICs • Review your competencies with other RCICs • Stay up-to-date on communications from ICCRC, IRCC, CBSA, etc.

2. Foster a professional office environment

• Treat everyone with respect and require your staff to do the same • Maintain professional boundaries • Encourage active learning • Delegate responsibly and do not permit non-RCICs to provide

immigration advice

3. Know and live the ICCRC Code of Professional Ethics and Regulations

• Post the Code and Regulations prominently in your work place • Make sure staff are aware of the Code and Regulations • Make client aware of the Code and Regulations

4. Provide a retainer agreement

• Explain clearly the client’s options and potential complications • Outline all costs • Satisfy yourself that the client understands the retainer agreement

and that his/her expectations of the process are reasonable • Do not assume that the client knows or understands—clearly

document and explain

5. Prioritize good communication

• Take the time to speak with each client and address any concerns • Encourage the client to be well-informed about the immigration

process • Do not send angry e-mails/letters • Assume that all communication between you and the client might

someday be used in evidence—ensure that your writing is professional and polite

• Keep the client regularly updated and notify him/her as soon as possible whenever there is a development

6. Don’t represent a client

with which you cannot have good relationship

• Perform the “gut” test—can you work well together? • Don’t accept work with which you’re not comfortable–you are the

professional and can say “no”


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7. Seek guidance and assistance, when needed

• Contact a trusted RCIC • Email your Practice Management Instructor with a specific question

related to one or more of the Practice Management Education Regulations (e.g., Retainer Agreement Regulation, etc.)

8. Be proactive • If there’s a concern, deal with it before it becomes a problem • Develop an office policy for how to deal with unhappy clients. This

policy might include: o Expectations for staff demeanor o Steps for addressing client concerns, etc.

• Share the office policy with clients (e.g., through your website, etc.)

9. Respond to an issue promptly

• If something happens, immediately inform the client and explain his/her options

• Contact your Errors & Omissions insurance provider, as needed

Modified resource used with author’s permission: College of Dental Surgeons of British Columbia. (2016). How to Avoid Getting a Complaint. Retrieved from

https://www.cdsbc.org/Public-Protection/complaint-investigations-and-discipline/complaints-process-registrant-faq/how-to-avoid-getting-a-complaint




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Handling a Client Complaint Instructions: Refer to “Tips for Handling a Client Complaint” below and compile a list of things to “Do” and “Don’t” in relation to handling client complaints in the space provided below. Tips for Handling a Client Complaint

General Tip Additional Information

1. Compose yourself and take a deep breath

• A complaint is usually the outpouring of accumulated frustration

• A client tends to escalate when there’s been a failure to resolve a more minor issue

• Assume the client has tried for what he/she believes to be a reasonable resolution

• A perceived failure to resolve what the client imagines to be a reasonable request often leads to anger

2. Complaints should be

embraced, not shied away from

• Because there’s so much emotion involved, we tend to fear complaints

• The client may be expecting to fight for a fair outcome • Pleasantly surprise the client by responding positively to

his/her complaint • View a client complaint as an opportunity to improve your

service and to turn the client into a promoter of your business

3. Don’t be defensive • Most people don’t enjoy complaining • Appreciate that it may have been difficult for the client to

bring the issue to your attention • Try not to take it personally

4. Say sorry • An apology is not an admission of guilt, but it may help to diffuse the situation

5. Listen carefully and discern

the real problem • Do not assume you know what the client will say before

he/she has had a chance to say it • Summarize what you have heard and discuss possible

solutions


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6. Solve the immediate problem as quickly as possible and identify the root cause

• Make sure the problem gets solved, even if you hand it off to someone else

• Follow-up to ensure it has been resolved • While solving the problem, keep the client informed of the

steps you are taking • Identify the root cause of the problem and take measures to

ensure that it does not happen again

7. Ensure the client is happy with the outcome

• Talk to the client—summarize the agreed-upon outcome and the next steps you will each take

• Follow up by writing an e-mail or letter

8. Move on • If a client wants to terminate the retainer agreement, facilitate the process

• Do not drag out the process—act efficiently, advise the client of his/her rights and update him/her of the status of his/her application and any pending actions

• Ensure that client property is returned promptly, provide a final account of finances and co-operate with any successor

9. Telephone is better than e-

mail for responding to a complaint

• E-mail may be easier to implement, but it can also be easily misunderstood (e.g., tone, etc.)

• E-mail is good for summarizing an agreed-upon course of action, or for confirming detailed facts

• Telephone is good for understanding an issue and reassuring a client

10. Remember the emotions

when you handle a client complaint

• Consider your own preferences when making a complaint: o Accessible complaints contact information o Easy to get a hold of a person o The service provider is responsive and accepts

responsibility o The service provider affirms there’s a problem and

doesn’t blame you o The service provider gives you a direct and specific

response to your question


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11. Make it easy to complain • This may lead to more complaints, but it is the complaints you don’t hear about that may hinder your practice and the complaints you do hear about that may strengthen your practice

Modified resource used with author’s permission: Letts, G. (2014). How to Handle Customer Complaints Like a Customer Service Ninja. Retrieved from http://www.customersure.com/blog/how-to-handle-customer-complaints/. When handling a client complaint:

“Do”

“Don’t”

http://www.customersure.com/blog/how-to-handle-customer-complaints/


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ICCRC’s Complaints Process: Submission

Notes:

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ICCRC’s Complaints Process: Investigation

Notes:

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Required Actions Upon Being Informed of a Complaint by ICCRC Instructions: Reflect on the Complaint Process video and the information presented in Module 1 and answer the following question in the space provided below: What are you required to do when informed of a complaint by ICCRC?

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Case Study—Part 1

Background Information:

Adanac Consulting is owned by RCIC Jill Chen. She employs one other RCIC, Tina Brolin, and an administrative assistant, Tony Patel.

Chen was overseas on a business trip from December 14, 2015-February 29, 2016 and had left the day-to-day operation of the company to Brolin, including monitoring and responding to e-mail in the company’s e-mail account.

Chen signed a retainer agreement with client N. Flanders on December 11, 2015, but had obtained the client’s permission to transfer some of the professional tasks to Brolin while she was overseas and the retainer agreement was updated accordingly.

Brolin was going through a messy divorce and custody battle during the time Chen was overseas and was frequently away from the office due to legal proceedings and stress-associated health issues. In Brolin’s absence, Patel had assumed some of her responsibilities.


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Background Information (cont’d): Upon Chen’s return to Canada on March 1, 2016, Brolin presented her with three e-mails from N. Flanders, as listed below, and notified her that she had yet to respond to N. Flanders on account of her frequent absences from the office and her inability to catch up on e-mail.

Instructions: Read the three e-mails from N. Flanders and respond to questions “a-c” in the space provided below. ------------------------------------------------------------------------------------------------------------------------------

From: N. Flanders Sent: Tuesday, January 5, 2016 10:45 AM To: [email protected] Subject: Request for Update

Dear Mr. Patel and Ms. Chen,

I hope you are well.

Could you please provide me with a detailed update on the work that is currently being done with regards to my wife’s application? I am sure you have many clients and I doubt that I am a priority for you, but as I told you at our first meeting I miss my wife terribly and I am most anxious to have her come and live with me in Canada.

I e-mailed you last week about this and the response I received, when it eventually came, did not give me a clear picture of where we are at in the process.

Yours,

N. Flanders

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From: N. Flanders Sent: Wednesday, January 20, 2016 1:23 PM To: [email protected] Subject: No-show for Appointments

Ms. Chen and Mr. Patel,

On two occasions recently I was scheduled to come to your office to meet with Mr. Patel and on both occasions he was not there to receive me. Nor was anyone else! I was later informed that he had been ill.

I understand that these things happen, but what I do not understand is why I was not informed in advance. It costs me time and money to make a trip to your office.

N. Flanders

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From: N. Flanders Sent: Monday, January 25, 2016 10:08 AM To: [email protected] Subject: Request for Change of Contact

Ms. Chen,

I would be very grateful if you would assign to me another member of your staff to handle my case from now on. As you are no doubt aware, up to this point, apart from the one time that I met with you when signing our agreement, I have been dealing exclusively with Tony Patel.

I was made uncomfortable by something Tony said during a recent phone call. He suggested that things might proceed a little quicker for me and my wife if she did not include on her application form the fact that she has a son by her ex-husband, who is currently refusing to allow her to have her son medically examined. When I asked him if he was seriously suggesting this, he laughed and said he was only joking.

This incident, together with previous issues I have tried to bring to your attention, lead me to believe that Mr. Patel is not very professional.

Your prompt attention to this matter would be very much appreciated.

N. Flanders

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a. When did N. Flanders issue his first complaint about the service he was receiving?

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b. What are N. Flanders’ complaints?

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c. Describe how Chen should address the concern(s) directly with the client.

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Case Study—Part 2


On Monday, March 7, 2016 (a few days after Chen’s return to Canada), Brolin told Chen that she forgot to submit a work permit renewal application on behalf of one of Chen’s clients in February. She thought she could remedy the issue by submitting an application for restoration of status on behalf of the client and hadn’t informed the client of the issue.

She went on to tell Chen that the application for restoration of status was returned to her because she had made a clerical error.

Brolin added that the client was now on the phone demanding to speak with Chen because he was being denied re-entry to Canada by CBSA after a brief trip to the USA. The client was also threatening to sue Chen.

Instructions: Respond to question “d” in the space provided below.

d. At what point in the series of incidents described under “Background Information” should Brolin have informed the Errors & Omissions insurance provider?

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Module 2: Complaints Committee

Case Study—Part 3

Instructions: Client John Smart has submitted a complaint against RCIC Tina Brolin. Refer to the “Background Information” in Part 2 of the Case Study, the “Summary of Complaint” and “Tina Brolin’s Response to the Complaint” below. Review question “e” below and the five possible outcomes listed therein. Circle the outcome you think best represents how the Complaints Committee would rule on the case. Then, briefly explain your rationale for your selection in the space provided.


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Summary of Complaint

Complainant: John Smart Member Subject to the Complaint: Tina Brolin Member’s Registration Number: R891623 ICCRC File No. CD 2016.750 Complaint It is alleged that the RCIC failed to submit the complainant’s application before his work permit expired. The RCIC failed to advise the complainant that his application had not been submitted. Rather than inform the client of her mistake, the RCIC attempted to submit a restoration of status application on behalf of the complainant. This application was returned to the RCIC due to a clerical error.

RCIC Tina Brolin’s Response to the Complaint

These past few months have been very difficult for me. A series of personal problems and poor health has unfortunately negatively impacted my work. I believed that I had submitted the work permit renewal on behalf of the client before the deadline. However, I realised after the submission deadline had passed that I had confused this client with another client with a similar surname whose work permit renewal I was also working on. In order to fix the problem, I decided to apply for a restoration of status on behalf of the client. I didn’t want to unnecessarily worry the client, so I didn’t trouble him with the details. I always intended to inform the client of what had happened once we received the restoration of status. I did not contact the E&O insurance provider, as I believed I could fix the problem through the restoration of status application. I have always acted very professionally when carrying out my duties as an RCIC and I attribute the mistakes made on the restoration of status documents to the stress and health issues I was experiencing at the time. I would also like to note that I presented the client with a full apology immediately after he contacted our office with his complaint.


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e. Based on the “Background Information” in Part 2 of the Case Study, as it relates to RCIC Tina Brolin, and the “Summary of Complaint” above, how do you predict the Complaints Committee would rule on the case? Indicate which outcome you predict the Complaints Committee would choose by circling one of the five outcomes listed below. Then provide your detailed rationale in the space provided. Possible Outcomes: (circle one)

a. Refer the complaint, in whole (i.e., all aspects of the complaint), to the Discipline Committee

b. Refer the complaint, in part (i.e., some aspects of the complaint), to the Discipline Committee

c. Not refer the complaint to the Discipline Committee

d. Refer the complaint back to the investigator for further investigation

e. Refer the complaint to the Registrar to be dealt with as a regulatory offence under Section 19,

of By-law 2017-1

f. Refer the complaint to the Fitness to Practice Committee for capacity or competency

determination

g. Motion to explore a Voluntary Resolution Program (VRP)

h. Motion to explore a Caution

i. Make any other order that is consistent with the By-law

In addition to providing your detailed rationale, if you chose:

“a”—indicate which Articles from the Code of Professional Ethics Brolin has violated.

“b”—indicate which parts or aspects of the complaint you would forward to the Discipline

Committee and which Articles from the Code of Professional Ethics Brolin has violated.

“c”—explain what evidence was lacking.

“d”—indicate what aspects of the complaint require further investigation.

“e”—indicate which Regulation(s) and Section(s) Brolin violated.

“f”—indicate why you are referring the complaint to the Fitness to Practice Committee.

“g”—indicate the proposed content of the VRP.

“h”—indicate the proposed content of the Caution.

“i”—describe the order you are issuing and indicate how it is appropriate in the circumstances.


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Rationale:

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Module 3: Discipline Committee

Case Study—Part 4


As a result of the recent issues confronting her company, Chen decided to review all current client files.

While doing so, she noticed several irregularities in relation to the company’s client account. It appeared as though Patel, her administrative assistant, had somehow gained access to the company’s client account during the three months she was overseas and had withdrawn approximately $30,000 of clients’ money. Chen attempted to call Patel, but he was unreachable. Chen then called the police, who eventually informed her that they could not locate him and that he was assumed to have returned to his home country.

At this point Chen sought help from another experienced RCIC. She asked the other RCIC to help her review her office practices, particularly those relating to bookkeeping and client file management. Using her own money, she paid back into the company’s client account all of the money that Patel had stolen.

Several weeks after taking these steps, Chen received notice from ICCRC that one of her clients submitted a complaint against her. The client claimed that Chen and her staff failed to submit his application on time and failed to keep him updated on the progress of his application.


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In addition, a reliable source notified ICCRC that Chen’s company is currently the subject of a police investigation in relation to the misappropriation of client funds. In the weeks since Patel vanished, several individuals approached the reliable source to complain that they signed retainer agreements with Patel assuming that they were signing with Adanac Consulting. These individuals claim that they handed over large sums of money to Patel, but there is currently no sign of the money or Patel. The reliable source has forwarded this complaint to ICCRC. As a result of the police investigation and ICCRC’s investigation, Chen has volunteered to suspend her practice, thus removing the need for ICCRC to explore an Urgent Motion.

Instructions: RCIC Jill Chen is the subject of a combined complaint from a client and a reliable source. The complaint has proceeded through the Complaints Process and is currently before the Discipline Committee. The Council and Chen have arrived at a partial settlement as they were able to agree on the facts of the case; however, they were unable to agree on the penalty. The case has now gone to a contested hearing. Refer to the “Background Information” provided above, as it relates to Chen (the owner of Adanac Consulting), and the “Agreed Statement of Facts” below. In your small group, review question “f” below and predict how the Discipline Committee would rule on the matter.

Agreed Statement of Facts

The Parties submitted an agreed statement of the facts:

1. Jill Chen (“Chen”) is a consultant registered as a Member with the Immigration Consultants of Canada Regulatory Council (“ICCRC”) and has practiced as an immigration consultant for 15 years.

2. Chen, as the owner of Adanac Consulting employed both RCIC, Tina Brolin (“Brolin”) and

administrative assistant Tony Patel (“Patel”). 3. The Complainant entered into a retainer agreement with Chen in November 2015 for the

purpose of renewing his work permit application. 4. Chen assigned her employee Brolin to carry out work on behalf of the client. 5. The application was not submitted on time and the complainant was not updated on the

status of the application. Furthermore, the complainant was not informed of the company’s failure to submit the application on time.

6. The complainant was not advised in accordance with Article 13 in the Code of Professional

Ethics “Errors and Omissions”; specifically as it relates to Article 13.2 “Required Action upon Discovery of Something that May be Damaging to a Client”.


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7. Chen acknowledges that she failed to adequately supervise her employee, Brolin, in

accordance with the Code of Professional Ethics, Article 6.3. 8. It is alleged that Patel gained access to the company’s client account and illegally withdrew

$30,000 of clients’ money from the client account. It appears that Patel was able to gain access to the account because the account information and password was stored in the company’s computer system, to which he had access. Chen acknowledges that she asked Patel to help her improve her company’s IT system. Chen acknowledges that she should have been more careful when it came to protecting her company’s client account details.

9. Chen accepts that if she had reconciled her client account monthly in accordance with the

Client Account Regulations it is reasonable to assume that she would have detected Patel’s alleged theft sooner.

10. Once aware of the alleged theft and wrongdoing Chen did act promptly to address the matter

by contacting the RCMP, seeking advice from colleagues about how best to update her office practices, attempting to contact Patel and replacing the amount stolen from the company’s client account with her own money.

11. Chen accepts that she did not do enough to make clear to her employee, Patel, that as a non-

RCIC he should never give immigration advice to the clients’ of Adanac Consulting. Chen further accepts that, in her absence, Patel acted as if he was a RCIC. Chen indicates that it was not her intention for this to happen but, due to the fact that she herself was spending extended periods of time overseas and her employee, Brolin, was often absent from the office, it did.

12. Chen states that she had no knowledge that Patel was signing retainer agreements with

clients in the name of Adanac Consulting and receiving money from those same clients. Chen never allowed Patel to sign retainer agreements with clients. Chen states that she could not have known that her employee was committing this type of fraud any earlier. However, she does accept that some red flags had been raised about Patel’s professionalism from some of her other clients and that she should have paid more attention to these warning signs.

The parties did not agree, prior to today’s hearing, on a joint submission on penalty.

f) Based on the “Background Information” above, as it relates to Chen (the owner of Adanac

Consulting), and with reference to the “Agreed Statement of Facts” above, how do you predict the Discipline Committee would rule on the case? Provide your predication and detailed rationale in the space provided. NOTE: The Discipline Committee may order one or more of the outcomes listed under By-law 2017-1, 31.9 (see below).


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According to By-law 2017-1, 31.9, if the Discipline Panel finds that an RCIC has committed an offence, they may: a. Revoke the RCIC’s membership for a stipulated period; b. Suspend the RCIC’s membership for a stipulated period; c. Prohibit a suspended RCIC from using any designation, term, title, initials or description

implying that the RCIC is practising as a RCIC during the period of revocation or suspension; d. Determine the timing and manner of the return of a Certificate of Registration to the Council

by a RCIC whose membership is revoked; e. Impose restrictions or conditions on the right of the RCIC to practice as a RCIC; f. Issue a reprimand and direct the reprimand to be published on ICCRC’s website; g. Require the RCIC to take a specified rehabilitative measure (e.g., complete professional

development courses, seek specified counselling or treatment); h. Require the RCIC to pay a monetary penalty and/or the ICCRC’s reasonable costs of

investigation and legal fees for the hearing; i. Delay the imposition of a measure for a specified period or on specified terms (e.g., successful

completion of a specific course); j. Direct that a failure to comply with the Committee’s order will result in the revocation of

membership; or k. Make any other order that the Committee considers necessary in the circumstances.

When making your decision, please consider the following questions: • Is there clear evidence that the RCIC has committed acts inconsistent with the Code of

Professional Ethics? • Is this an example of serious wrongdoing? • Is the proposed penalty reasonable? • Does the penalty protect the public interest? • Have any aggravating circumstances been considered? • Have any mitigating circumstances been considered? • Has the RCIC cooperated in the resolution of this matter? • Has the RCIC agreed to the facts and the proposed penalty and in doing so accepted

responsibility for her actions? • Does the penalty provide both specific deterrence and general deterrence to deter members

of the profession from engaging in similar conduct?


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Decision and Rationale: ________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

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________________________________________________________________________________

________________________________________________________________________________

________________________________________________________________________________

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________________________________________________________________________________

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________________________________________________________________________________

________________________________________________________________________________

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Appendix A

CLAIMS REPORTING PROCEDURES

PLEASE NOTIFY: Email (claims reporting):

Telephone: 1-800-267-6684 Facsimile: 1-613-786-2001 Report a claim online www.ENCON.ca

ENCON online link: http://www.ENCON.ca/English/liability/Claims/Pages/eNotice.aspx REPORT CLAIMS OR POTENTIAL CLAIMS IMMEDIATELY

Do Not Admit Liability NOTE: When reporting a claim please provide:

1. iccrc/crcic member, your Name, Location, Phone Number and Fax Number. 2. The date of the occurrence 3. A brief description of the occurrence and any action taken.

PROVIDED BY: Smith Petrie Carr & Scott Insurance Brokers Ltd.

359 Kent Street, Suite 600 Ottawa, ON K2P 0R6

Telephone: 1-877-432-5118 Fax: 613-237-1179

Work used with author’s permission: Smith Petrie Carr & Scott Insurance Brokers Ltd. (2016). Report An ICCRC Claim. Retrieved from:

https://www.spcs-ins.com/report-an-iccrc-claim/

http://www.encon.ca/

http://www.encon.ca/English/liability/Claims/Pages/eNotice.aspx

https://www.spcs-ins.com/report-an-iccrc-claim/


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Appendix B

Errors & Omissions Insurance FAQ

I already have insurance through my employer. Do I still need to purchase this insurance? Yes. This is a mandatory program and coverage is on an individual member basis. We recommend coverage be purchased through the ICCRC insurance program to confirm compliance with ICCRC membership requirements.

I am a member of ICCRC/CRCIC but am currently not practicing; do I need to purchase this insurance? Yes. It is a requirement of the ICCRC/CRCIC that all members in good standing purchase Errors & Omissions insurance.

Does this insurance policy cover my company? No. This policy is intended to cover individual members and their clerical staff. However a person who registers themselves as a “personal corporation or limited entity” can have coverage extended.

Who does this insurance provide coverage for? The policy is for individuals or individual entities. The policy will cover employees (clerical staff ONLY) of personal entities, but does not cover independent contractors.

What does the coverage provide coverage for? This policy provides coverage for all sums which insured members become legally obligated to pay as damages resulting from an error, omission or negligent act while performing duties usual to that of an immigration consultant. An electronic copy of the policy wording is available to members upon request by e-mailing at: [email protected] Does this policy cover claims outside of Canada? This policy provides coverage without territorial limitation however suits or judicial proceedings must first be brought against the insured member within Canada. What is the limit of insurance on this policy? The limit of insurance on this policy is $1,000,000 per member per loss with a $5,000,000 shared limit for all members annually.

If I cancel my certificate of insurance coverage during the policy term will I be entitled to a refund? The policy premium is 100% earned and therefore premiums paid are non-refundable. Due to the low cost of the errors and omissions program to members, there will be no refunds for premiums paid if the member’s coverage is cancelled at any time during the policy term

mailto:[email protected]


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What type of claims does the ICCRC insurance program cover?

The ICCRC insurance plan covers claims for an error, omission or a negligent act in the rendering of services as

an Immigration Consultant in accordance with regulations of the ICCRC.

When should I report a potential claim?

Any alleged or potential claim received by an ICCRC member (verbally or in writing) should be reported

promptly to ENCON. If an ICCRC member is aware of any circumstance which could reasonably give rise to a

CLAIM, the ICCRC member shall give written notice thereof to ENCON as soon as practicable. In other words,

do not ignore circumstances and report any third party complaints against you immediately, so ENCON can

properly investigate the claim on your behalf.

Whose responsibility is it to report a potential claim?

It is the responsibility and obligation of the ICCRC member to personally report any potential or alleged claim

to ENCON. Upon receiving verbal or written notice, the claim should be reported directly by the Insured (ICCRC

member) and under most circumstances, should not be received from the third party making the actual

complaint against the ICCRC member. ENCON needs the ICCRC members version to confirm the specific details

of the alleged claim and to determine coverage under the program.

Who is covered under the insurance coverage for claims?

ICCRC members that have enrolled in the ICCRC insurance program and any present or former employee while

acting within their scope of their duties.

Do I have to pay a deductible on a claim?

Yes, a $500 deductible is applied per loss and will be the responsibility of the individual ICCRC member.

Will the ICCRC know about my claim?

Yes, the application process authorizes claims information to be released by ENCON to the Registrar of the

ICCRC for review of member conduct and for educational purposes. All claims information is handled with

confidentiality.

Will my rates go up for making a claim?

The overall claims results of the entire program will have an impact on the rates and are reviewed annually.

Individual claims are currently not being surcharged but subject to review on an ongoing basis depending on

the circumstances.

Who should I call if I have any questions about my claim?

A claims adjuster will be assigned by ENCON to review your claim and will contact you to discuss the claim.


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ENCON claims can be reached at 1-800-267-6684. You can also call your broker, Smith Petrie Carr and Scott

Insurance Brokers for claims follow up or assistance with claims service at 1-877-432-5118.

Who is ENCON Insurance Managers?

ENCON insurance Managers underwrite the ICCRC insurance program. ENCON Group Inc. has been a trusted

name in professional liability for many years. As a leading managing general agent in Canada, ENCON offers

insurance programs for individuals, professionals, organizations and businesses, which are available exclusively

through brokers and plan advisors across the country.

ENCON’s insurance programs are underwritten by a select group of carriers who have demonstrated leadership in the industry. With offices in Edmonton, Ottawa, and Mississauga, ENCON has more than 240 employees across the country.

For more information, please visit ENCON’s website at www.ENCON.ca

Who is Smith Petrie Carr and Scott Insurance Brokers?

Established in 1969, Smith Petrie Carr and Scott Insurance Brokers has evolved into one of the largest

independent Insurance Brokerages in Eastern Ontario. Our team of over 40 licensed insurance professionals

pride themselves on serving the needs of our clients by specializing in niche insurance products. We offer a

wide range of insurance solutions for large employers and associations including affinity commercial programs,

group home and auto insurance, plus life and group health benefit plans.

We have received many industry awards including IBAO Brokerage of the Year, we are a certified Gold Seal Broker for meeting industry business standards and a member of a select best practices organization called Canadian Broker Network.

As your broker, we represent you in the insurance transaction. We have access to multiple insurance markets and assist you in placing insurance coverage with the best matched insurance company, based on your needs for coverage, meeting our service standards and competitive insurance terms.

Modified resources used with author’s permission: Smith Petrie Carr & Scott Insurance Brokers Ltd. (2016). ICCRC Program F.A.Q. Retrieved from:

https://www.spcs-ins.com/iccrc-program-f-a-q/ Smith Petrie Carr & Scott Insurance Brokers Ltd. (2016). Claims F.A.Q.. Retrieved from: https://www.spcs-

ins.com/claims-f-a-q/

http://www.encon.ca/

https://www.spcs-ins.com/iccrc-program-f-a-q/

https://www.spcs-/

http://www.ins.com/claims-f-a-q/


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Appendix C

Complaint Form against an RCIC

Federal law requires that immigration consultants, in Canada or abroad, who provide Canadian immigration services for a fee, must be registered with the ICCRC and accredited as a Regulated Canadian Immigration Consultant (RCIC). Further to the designation given by the federal government, the Immigration Consultants of Canada Regulatory Council (ICCRC) has the authority to regulate and discipline immigration consultants who are authorized to practice. Unauthorized providers of immigration services are not regulated and cannot be disciplined by the Council. In these cases, ICCRC will investigate the situation and, where necessary, pass the information along to the Royal Canadian Mounted Police (RCMP), Canada Border Services Agency (CBSA), a provincial or territorial Law Society or any other Authority.

Confidentiality of your complaint

Your communications with ICCRC will remain confidential until a formal complaint is lodged, at which point the parties involved, including the member named in the complaint, will be notified.

Consumers without immigration status in Canada can be assured that ICCRC will take all appropriate measures to protect their personal information.

What the Council needs from you

Fully Complete and sign the Complaint Form Attach a copy of any documents that relate to the complaint Send completed Complaint Form with copies of relevant

documents by: -mail: ICCRC/CRCIC 5500 North Service Road, Suite 1002

Burlington, ON L7L 6W6 -email: [email protected] or -fax: 1-877-315-9868

What happens next

We will promptly send you a letter advising you that we have received your complaint. Your complaint will be assigned a file number, which

will be included in the letter. You should know that:

• Each complaint will be carefully reviewed and assessed. For information about our processes, please see the Complaints and Discipline Process on our website.

• If we cannot help with a complaint, we will let you know. • We will keep you informed about the status of your complaint.

mailto:[email protected]


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Section 1: Complainant’s Information

Please complete all applicable fields:

I have read the Complaints and Discipline Process Q&A

Title Mr. Mrs. Miss. Ms.

Legal First Name

Middle Name(s)

Legal Last Name

Family Last Name (if different than above)

Address HOME WORK

City

Province

Country

Telephone Number(s) HOME ( ) WORK ( ) MOBILE ( )

Email Address

Preference For Response MAIL: EMAIL:


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Section 2: Information on the RCIC you are complaining about. Please complete all applicable fields

Title Mr. Mrs. Miss. Ms.

Legal First Name

Middle Name(s)

Legal Last Name

Family Last Name (if different than above)

Company

Business Address

City

Province

Country

Telephone Number(s) HOME ( ) WORK ( ) MOBILE ( )

Email Address

ICCRC Membership #


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Section 3: Please answer all applicable questions to the best of your knowledge: 1. Did you hire this immigration consultant to represent you?

Yes No

2. Does this immigration consultant still represent you?

Yes No

4. When did you hire this immigration consultant?

5. On what date did this immigration consultant stop representing you?

6. Please tell us about your complaint in your own words. Attach additional pages if required.

(dd/mm/yyyy)

(dd/mm/yyyy)


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7. Did you have a retainer agreement? If yes, please provide a copy. Yes No 8. Were you provided with any receipts? If yes, please provide a copy.

Yes No

9. Were you provided with a statement of account? If yes, please provide a copy.

Yes No

10. Have you filed a complaint with another agency (e.g. CBSA)?

Yes No

11. If yes, please provide the name of the agency and attach details of the investigation:

12. Are you attaching any additional documents?

Yes No

13. If yes, please list here. Do NOT send original documents.

14. What would you like to see happen as a result of your complaint?


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Acknowledgement, Consent and Signature

I have read and I understand the following:

I understand that the Immigration Consultants of Canada Regulatory Council may share all or some of the information and documents that it receives from me and other parties with the immigration consultant complained about.

I understand that the Immigration Consultants of Canada Regulatory Council may not be able to process my complaint without supporting documents. I have attached copies of documents that relate to my complaint.

Signature Date

If ICCRC reviews your complaint and finds that the person(s) you are complaining about is not an ICCRC member; you herby authorize ICCRC to forward your complaint information to the Royal Canadian Mounted Police (RCMP), Canada Border Services Agency (CBSA), a provincial or territorial Law Society or any other Authority on your behalf in order that your complaint can be better addressed.

Signature Date

Work cited: ICCRC. (2016). Complaint Against an RCIC. Retrieved from: http://registration.iccrc-

crcic.ca/admin/contentEngine/contentImages/file/Complaint_Form_against_an_RCIC__modified26March12.pdf


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Appendix D

Tips for Responding to a Complaint from ICCRC

General Tip Additional Information 1. Don’t panic • Respond promptly (A.14.2), objectively and respectfully

• Ensure that the contact information you provided to ICCRC (e.g., your business address, telephone number, fax number, email address, etc.) is up-to-date (A.14.1) o NOTE: Failure to respond to a complaint because the email sent

by ICCRC informing you of the complaint was sent to an email that you no longer use may result in your membership being suspended and/or revoked

2. Take a breath and

review the complaint and your response with a trusted RCIC

• Maintain client confidentiality when reviewing the facts of the complaint–no names, etc. (A.8.1)

• Minimize emotion—be factual, dispassionate and thorough • Be respectful of the complainant–think about him/her reading your

response • Remember that you, not the client, have a professional responsibility • Use good judgement in your response—the complainant will receive

a copy of your response • If there are witnesses to the event in question, have them each

prepare a dispassionate, factual account and include it with your report

3. Respond to ICCRC

about the complaint • Respond promptly (A.14.2)

o NOTE: Failure to respond within the given time frame may result in suspension and/or revocation

• Provide a detailed written response addressing each of the concerns raised, bearing in mind that your response will be provided to the complainant

• Provide all relevant documentation in support of your response • Ensure that documents submitted are in either English or French—

provide translations, as needed • Submit your complete response, together with all supporting

documents, via e-mail o Do not submit your response in multiple formats (e.g., mail, fax

and email) o Do not submit multiple versions of your response


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4. Don’t communicate

with the complainant, unless given permission by ICCRC (A.14.3)

• Refrain from pressuring the complainant to withdraw his/her complaint

• Continue providing services, as outlined in the retainer agreement, in a professional manner –provided written permission from the ICCRC has been provided o Do not prejudice the client’s application

5. Notify the Errors &

Omissions insurance provider

• Inform your Errors & Omissions insurance provider promptly and fully upon discovering that you have done something, or failed to do something, that is or may be damaging to a Client and that cannot be corrected readily (A.13.2.1.iv)

6. Reflect on what you

can learn from the complaint

• Consider making changes to how you operate your business • Investigate whether other clients have similar concerns or complaints

and whether there is opportunity to address them before the situation escalates

Modified resource used with author permission: College of Dental Surgeons of British Columbia. (2016). What to do if you get a Complaint. Retrieved from

https://www.cdsbc.org/Public-Protection/complaint-investigations-and-discipline/complaints-process-registrant-faq/what-to-do-if-you-get-a-complaint




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Appendix E

Notice of Referral Sample


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Appendix F

Publication of Notices of Hearing

Oral Hearings

(including Electronic Hearings)

Written Hearings Settlement Reviews

Notice of Hearing to Be Published on the Website

YES

At least ten (10) days before the hearing date

YES

At least ten (10) days before the hearing date

NO

Not a hearing within the By-law definition

Notice of Hearing to Be Removed from the Website

Five (5) days following the publication of the Order and Reasons for Decisions

Five (5) days following the publication of the Order and Reasons for Decisions

Not Applicable

Proceeding Open to the Public

Yes, unless ordered otherwise by the Committee.

Yes, unless ordered otherwise by the Committee.

Written hearings are open to the public by way of publication of the parties' arguments and submissions on the website on the day of the Hearing, not by personal attendance.

NO

Not a hearing within the By-law definition

Work cited: ICCRC. (2016). Website Publication Policy. Retrieved from: http://registration.iccrc-

crcic.ca/admin/contentEngine/contentImages/file/DARC_Website_Publication_PolicyFinal.pdf

http://registration.iccrc-/

http://crcic.ca/admin/contentEngine/contentImages/file/DARC_Website_Publication_PolicyFinal.pdf


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Appendix G

Publication of Orders and Reasons for Decision

Note: Following Oral Hearings, Written Hearings, and Settlement reviews, Orders and Reasons for Decision ("Reasons") are to be published unless the Discipline Committee orders otherwise. Nothing is this table restricts the discretion of the Discipline Committee in the circumstances of individual cases as set out in the By-Law.

Penalty

Remedial Education Only

Remedial Education & Reprimand

Suspension of Longer than 3 Months or Revocation

Other Penalty * This applies to all other penalties or combinations of penalties imposed

Current Discipline Decisions

Order and Reasons to be published. Member name and registration number redacted.

Order and Reasons to be published. Member name and registration number may be redacted at direction of Discipline Committee.

Order and Reasons, including Member name and registration number, to be published.

Order and Reasons, including Member name and registration number, to be published.

Length of Publication in Current Discipline Decisions Website Section

To remain published until educational requirement is met.

To remain published until educational requirement is met.

To remain published for at least the duration of the suspension and, as a general rule, for a period of one (1) year. Discipline Committee may order a longer publication period.

To remain published for up to, but no longer, than one (1) year.


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Archived Decisions Website Section

Member name and registration number remains redacted.

Member name and registration number is redacted if it was not redacted when posted to Current Discipline Decisions.

Member name and registration number to remain published for duration specified in Discipline Committee Order OR, if silent, then for seven (7) years before it is redacted.

Member name and registration number is redacted.

Work cited: ICCRC. (2016). Website Publication Policy. Retrieved from: http://registration.iccrc-

crcic.ca/admin/contentEngine/contentImages/file/DARC_Website_Publication_PolicyFinal.pdf

http://registration.iccrc-/

http://crcic.ca/admin/contentEngine/contentImages/file/DARC_Website_Publication_PolicyFinal.pdf

Documents

Complaints and Professional Standards Course Workbook · Complaints and Professional Standards Course . Workbook ... are used in the Complaints and Professional Standards course