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Version: 2018-003 May 28, 2018
1
Where are we now 3/3
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Complaints and Professional Standards
Where are we now 3/3
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This course is designed to:
� Promote consumer protection and the maintenance of high
professional standards
� Support RCICs in preventing client complaints
� Increase RCIC awareness and understanding of ICCRC’s Complaints and Professional Standards process
Course Description
Where are we now 3/3
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� This course consists of three modules:
1. Complaint Submission and Investigation
2. Complaints Committee
3. Discipline Committee
� Networking opportunities
Course Overview
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Where are we now 3/3
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Course Schedule
Module Content/Learning
Objective
Time
Allotted
Morning
Session
Afternoon
Session
Registration Networking Opportunity 15 mins 8:45-9:00 1:15-1:30
Opening Welcome and Course
Overview
15 mins 9:00-9:15 1:30-1:45
#1 Complaint Submission and
Investigation
85 mins 9:15-10:40 1:45-3:10
BREAK Networking Opportunity 10 mins 10:40-10:50 3:10-3:20
#2 Complaints Committee 25 mins 10:50-11:15 3:20-3:40
#3 Discipline Committee 70 mins 11:15-12:25 3:40-4:55
Closing Wrap-up 5 mins 12:25-12:30 4:55-5:00
Where are we now 3/3
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� Course completion
� Attend entire course
� Contribute to learning process
� Member feedback
� Questions are encouraged
� Learning environment
� Interactive
� Undivided attention
� Mutual respect
� Respect diversity
Course Expectations
When was the last time you complained about a service you received?
How could the service provider have handled your complaint better?
Activity
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Discussion
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MODULE 1: COMPLAINT SUBMISSION AND INVESTIGATION
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Module 1: Client Records Requirements
At the end of this module, participants will be able to:
� Recognize a potential client complaint and propose a strategy
for preventing a complaint to ICCRC
� Relate his/her obligations to the role of the Errors &
Omissions (E&O) insurance provider
� Outline the RCIC’s required actions upon being informed of a
complaint by ICCRC
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Module 1 Objectives
Module 1: Client Records Requirements
Purpose of ICCRC’s Complaints and Professional Standards:
� To ensure that RCICs comply with the ICCRC Code of Professional Ethics
� To protect consumers of Canadian immigration and citizenship services
www.iccrc-crcic.info
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Purpose of Complaints and Professional Standards
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Module 1: Client Records Requirements
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Types of Complaints
Member’s response to complaint
1. Received from client
2. Involving E&O
3. Received from ICCRC
Module 1: Client Records Requirements
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Complaint Received from Client
1. Received from client
� Client may not use the word “complaint” to indicate a concern
� Be alert to:
� Direct signs of dissatisfaction—oral
or written
� Indirect signs of dissatisfaction—
e.g., body language, tone, etc.
List the external factors that may contribute to RCICs being the subject of client complaints
Refer to “Tips for Preventing a Client Complaint” and propose a preventative strategy for each factor
Activity
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Activity
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Refer to “Tips for Handling a Client Complaint” and compile a list of “Dos and Don’ts” for handling a client complaint
Activity
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Activity
Module 1: Client Records Requirements
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Complaint Involving E&O
Why have E&O?
� To fulfill Article 13.1.1 of the Code of Professional Ethics
� To protect:
� Client
� RCIC
� RCIC’s family
2. Involving E&O
Module 1: Client Records Requirements
What are common allegations against RCICs?
Failure to:
� Respond to phone calls or e-mails
� Explain timelines
� Explain costs (e.g., government fees, language tests, etc.)
� Explain the details of program to which applying (e.g., quotas, deadlines, consequences, etc.)
� Properly communicate status of file
Information provided by Smith Petrie Carr and Scott Insurance Brokers
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Complaint Involving E&O (cont’d)
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Module 1: Client Records Requirements
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Complaint Involving E&O (cont’d)
Cover Not Cover
� You and your employees � Your agent(s)
� Unintentional acts or failures to act
� Deliberate, dishonest or fraudulent acts
� Compensatory damages � Demands for refunds
� Damages caused to property in your care
What will E&O:
Module 1: Client Records Requirements
How much insurance coverage do I need?
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Complaint Involving E&O (cont’d)
Requirement Suggestion
� No less than the minimum amount E&O required by
ICCRC (A.13.1.1)
� Apply for extended coverage if operating as limited liability
company
� Apply for “Run-off” coverage when
you resign/retire
� Consider purchasing Key-Person,
Property, General Liability, etc.
When do you need to inform:
� Client
� E&O provider
� ICCRC
of an issue?
Activity
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Discussion
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Module 1: Client Records Requirements
If RCIC discovers an act or failure to act that may be damaging to a client and cannot be readily corrected, inform:
� Client promptly and fully and recommend client obtain legal advice (A.13.2.1.i-ii)
� E&O provider promptly and fully (A.13.2.1.iii) – Appendix A
� ICCRC promptly and fully that E&O provider has been informed (A.13.2.1.iv)
� Email [email protected]
Refer to Appendix B
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Complaint Involving E&O (cont’d)
Module 1: Client Records Requirements
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Complaint Received from ICCRC
ICCRC reviews complaints submitted:
� Through ICCRC website – Appendix C
� By reliable source (e.g., Canadian
government, RCMP, etc.) (By-law 2017-1, 28.4)
3. Received from ICCRC
Module 1: Client Records Requirements
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Complaint Received from ICCRC (cont’d)
ICCRC staff may:
� Refer complaint to Complaints Committee, provided
� Complaint alleges a breach of Code of Professional Ethics
� Complaint is written, complete and signed
� RCIC was given 15 calendar days to reply (By-law 2017-1,29.2.a.i-iii)
� Refer complaint to Registrar to determine risk to consumers (By-law 2017-1, 29.2.b)
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Module 1: Client Records Requirements
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Complaint Received from ICCRC (cont’d)
ICCRC staff may (cont’d):
� Contact complainant to resolve misunderstanding without a
formal proceeding (By-law 2017-1, 29.2.c.i) or
� Contact RCIC to discuss Voluntary Resolution Program
(VRP) and/or be issued a Caution (By-law 2017-1, 29.2.c.ii)
Provided complaint is based on misunderstanding of Code or discipline process, or alleged infraction is a Minor
Infraction and is a first complaint against RCIC:
Overview of the Complaints and Professional Standards ProcessActivity
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Video
What are you required to do when informed of a complaint by ICCRC?
Refer to Appendix D
Activity
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Activity
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Complete Parts 1 and 2 of the “Case Study”
Activity
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Activity
Where are we now 3/3
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Questions
Where are we now 3/3
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Break
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MODULE 2: COMPLAINTS COMMITTEE
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Module 1: Client Records Requirements
At the end of this module, participants will be able to:
� Predict how the Complaints Committee would rule on a given
case study
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Module 2 Objective
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ICCRC’s Complaints Process
Submission InvestigationComplaints Committee
Discipline Committee
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Module 1: Client Records Requirements
Who is on the Complaints Committee?
� Minimum of five RCICs in good standing
� Minimum of one public representative—appointed by the
Governance and Nominating Committee
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Complaints Committee
Module 1: Client Records Requirements
What does the Complaints Committee do?
� Reviews all complaints referred by ICCRC staff (By-law 2017-1, 29.1)
� Forms panels of three members (one of which is public
representative) to review files and make decisions
� Inform both parties of decisions, in writing
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Complaints Committee (cont’d)
Module 1: Client Records Requirements
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Complaints Committee (cont’d)
What might the Complaints Committee decide?
a. Refer the complaint, in whole or in part, to the Discipline Committee
b. Not refer the complaint to the Discipline Committee—may offer
recommendation to RCIC with respect to future conduct
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Module 1: Client Records Requirements
Why might the Complaints Committee decide notto refer a complaint?
� Insufficient evidence of offence under the Code of Professional Ethics
� Complaint is frivolous, vexatious, abuse of process, or
manifestly without substance
� Made for an improper purpose
� Not in the public interest to investigate further
[Complaints and Discipline Process Q&A]
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Complaints Committee (cont’d)
Module 1: Client Records Requirements
What if the complainant disagrees with the decision not to refer the complaint?
� Complainant may, after receiving decision, request a review
by the Independent Complaints Review Officer (ICRO) (By-law 2017-1, 30.1)
� ICRO reviews the fairness of the procedure and whether an error
in fact or law occurred (By-law 2017-1, 30.3)
� ICRO may accept that procedures were fair and no error in fact or
law occurred OR refer complaint back to Complaints Committee
(By-law 2017-1, 30.4)
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Complaints Committee (cont’d)
Module 1: Client Records Requirements
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Complaints Committee (cont’d)
What might the Complaints Committee decide? (cont’d)
a. Refer the complaint, in whole or in part, to the Discipline Committee
b. Not refer the complaint to the Discipline Committee—may offer
recommendation to RCIC with respect to future conduct
c. Refer the complaint back to the investigator for further fact-finding
d. Refer the complaint to the Registrar to be dealt with as a regulatory offence under Section 19 of By-law
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Module 1: Client Records Requirements
What is the penalty for Breach of Regulation?
[e.g., Retainer Agreement Regulation, s.17]
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Breach of Regulations
Breach of Regulation Penalty
a. First offence Written warning with direction to correct deficiency within 30 calendar
days
b. Second or subsequent offence $100.00 per incident (By-law 2017-1 19.2)
c. Failure to correct deficiencies within 30 calendar days or pay fines
Subject to suspension and ultimately revocation
Module 1: Client Records Requirements
What options do RCICs have?
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Breach of Regulations (cont’d)
Accept the allegation
and pay fine (By-law 2017-1 19.3.a)
Deny the allegation
and request a hearing (By-law 2017-1 19.3.b)
Module 1: Client Records Requirements
What might the Complaints Committee decide? (cont’d)
a. Refer the complaint, in whole or in part, to the Discipline Committee
b. Not refer the complaint to the Discipline Committee—may offer recommendation to RCIC with respect to future conduct
c. Refer the complaint back to the investigator for further fact-finding
d. Refer the complaint to the Registrar to be dealt with as a regulatory offence under Section 19 of By-law
e. Refer the complaint to Fitness to Practice Committee for capacity or competency determination
f. Approve a VRP
g. Approve a Caution
h. Make any other order that is consistent with By-law
[By-law 2017-1, 29.4]
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Complaints Committee (cont’d)
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Module 1: Client Records Requirements
Rank the following Articles in order of most to least commonly complained about:
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Complaints Received by ICCRC
Article Rank
5.1 Duty of Competence – Duty of Continuing Competence
3.1 Duty of Good Faith
6.1 Quality of Service – Maintenance of Quality Service
11.1 Withdrawal from Representation – When Withdrawal Required
7.1 Advising Clients – Honesty and Candour Required
6.3 Quality of Service – Responsibility for Agents & Staff
Module 1: Client Records Requirements
Most common complaints as of August 2016:
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Complaints Received by ICCRC (cont’d)
Article Rank
5.1 Duty of Competence – Duty of Continuing Competence 4
3.1 Duty of Good Faith 2
6.1 Quality Service – Maintenance of Quality Service 1
11.1 Withdrawal from Representation – When Withdrawal Required 5
7.1 Advising Clients – Honesty and Candour Required 3
6.3 Maintenance of Quality – Responsibility for Agents & Staff 5
Complete Part 3 of the “Case Study”Activity
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Activity
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Where are we now 3/3
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Questions
MODULE 3: DISCIPLINE COMMITTEE
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Module 1: Client Records Requirements
At the end of this module, participants will be able to:
� Predict how the Discipline Committee would rule on a given
case study
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Module 3 Objective
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ICCRC’s Complaints Process (cont’d)
Submission InvestigationComplaints Committee
Discipline Committee
Module 1: Client Records Requirements
What does the Discipline Committee do?
A. Hears cases about Breach of Regulation forwarded by
Registrar (By-law 2017-1, 19.3.b, 19.5-9)
� RCIC is alleged to have breached an ICCRC Regulation, denies
the allegation and requests a hearing
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Discipline Committee
Module 1: Client Records Requirements
To request a hearing, RCIC must:
� Sign the prescribed hearing request form
� Provide reasons for denying the allegation
� Provide 3 dates within the next 60 calendar days when RCIC is available for hearing
[By-law 2017-1, 19.5]
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Breach of Regulation (cont’d)
Deny the allegation and request a hearing (By-law 2017-1, 19.3.b) (cont’d)
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Module 1: Client Records Requirements
� Hearings are conducted before a single member of the Discipline Committee either:
� In writing
� By telephone or
� By video call
[By-law 2017-1, 19.6]
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Breach of Regulation (cont’d)
(cont’d)Deny the allegation and request a hearing (By-law 2017-1, 19.3.b)
Module 1: Client Records Requirements
The Discipline Committee may decide to:
a. Accept the denial and dismiss the case
b. Reject the denial and order the fine paid
c. Reject the denial but waive the fine
d. Award payment of the costs of the hearing up to $2000
[By-law 2017-1, 19.9]
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Breach of Regulation (cont’d)
(cont’d)Deny the allegation and request a hearing (By-law 2017-1, 19.3.b)
Module 1: Client Records Requirements
What does the Discipline Committee do? (cont’d)
A. Hears cases about Breach of Regulation forwarded by
Registrar (By-law 2017-1, 19.3.b, 19.5-9)
� RCIC is alleged to have breached an ICCRC Regulation, denies
the allegation and requests a hearing
B. Hears cases about Breach of Code of Professional Ethics forwarded by Complaints Committee (By-law 2017-1, 31)
� RCIC is alleged to have breached ICCRC’s Code of Professional
Ethics
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Discipline Committee (cont’d)
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Module 1: Client Records Requirements
What happens next?
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Breach of Code of Professional Ethics
ICCRC’s Legal Counsel reviews the complaint
• Prepares Notice of Referral
• Sets out allegations against RCIC
• Explains process and consequence of not participating in hearing
• Invitation to discussions
Registrar issues Notice of Referral
• Issued (dated and signed) by Registrar to commence a proceeding
• Delivered to RCIC within 30 days of being issued
• Mutual disclosure of evidence may begin
• Settlement discussions may begin
Module 1: Client Records Requirements
Notice of Referral may include:
� By-law sections under which the proceeding will be held
� Date and purpose of Initial Pre-Hearing Conference
� Description of alleged conduct
� A warning—failure to participate in hearing may result in
suspension/revocation
Refer to Appendix E
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
What happens next? (cont’d)
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Breach of Code of Professional Ethics(cont’d)
ICCRC’s Legal Counsel reviews the complaint
• Prepares Notice of Referral
• Sets out the allegations against RCIC
• Explains process• Invitation to
discussions
Registrar issues Notice of Referral
• Issued (dated and signed) by Registrar to commence a proceeding
• Delivered to RCIC within 30 days of being issued
• Mutual disclosure of evidence may begin
• Settlement discussions may begin
Pre-hearing conference may be
held
• Set date for contested hearing if settlement not reached
• Continue Settlement discussions
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Module 1: Client Records Requirements
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Breach of Code of Professional Ethics(cont’d)
Settlement Agreement Prior to Hearing
Partial settlement agreement—agreement on facts but not penalty
Full settlement agreement—agreement
on facts and penalty
Settlement Agreements are then reviewed by the Discipline Committee Panel
Module 1: Client Records Requirements
Discipline Committee Panel will either:
� Review a joint recommendation for settlement without
hearing
OR
� Review evidence and legal arguments of both parties and
determine if RCIC has breached Code of Professional Ethics
� Discipline Committee Panel also determines penalty
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
What happens next? (cont’d)
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Breach of Code of Professional Ethics(cont’d)
Written Submissions
• Orally-in person or • Telephone/video
conference call
Oral Submissions
Discipline Committee decides if Breach of
Code occurred and orders appropriate
penalty
No agreement, proceed to a
hearing
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Module 1: Client Records Requirements
Hearing—Discipline Committee Panel
� Costly process—parties expected to do best to avoid unnecessary hearings
� Panel can order either party to pay some or all costs of other party
� Panel consists of 3 Discipline Committee Members
� Of whom at least one is a Committee Public Member
� Panelist presiding at a Pre-Hearing Conference may not be a member of the Panel conducting the Hearing
� Unless consent given by both parties
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
What might the Discipline Committee Panel decide?
If Panel finds RCIC has committed an offence, they may:
a. Revoke RCIC’s membership for a stipulated period
b. Suspend RCIC’s membership for a stipulated period
c. Prohibit suspended/revoked RCIC from using any
designation/term/title/initials/description of practising RCIC
d. Determine when and how Certificate of Registration to the Council
is returned by RCIC whose membership is revoked
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
What might the Discipline Committee Panel decide? (cont’d)
If Panel finds RCIC has committed an offence, they may: (cont’d)
e. Impose restrictions or conditions on right of RCIC to practice
f. Issue a reprimand and direct it to be published on ICCRC’s website
g. Require RCIC to take a rehabilitative measure (e.g., PME course)
h. Require RCIC to pay monetary penalty and/or ICCRC’s costs of investigation and legal fees for the hearing
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Breach of Code of Professional Ethics(cont’d)
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Module 1: Client Records Requirements
What might the Discipline Committee Panel decide? (cont’d)
If Panel finds RCIC has committed an offence, they may: (cont’d)
i. Delay imposition of measure for specified period/terms (e.g.,
complete PME course)
j. Direct that failure to comply with order results in revocation
k. Make any other necessary order
(By-law 2017-1, 31.9)
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
When may an Urgent Application to seek an Urgent Interim Order be brought?
� If RCIC has been charged/arrested/convicted with an offence under Canadian criminal law or IRPA that may harm current clients/potential clients/profession and/or
� If an evidence-supported complaint to ICCRC suggests RCIC may be engaged in serious misconduct that may harm current clients/potential clients/the public (Discipline Committee Rules of Procedure)
What is the result of an Urgent Interim Order?
� Order suspending RCIC pending final outcome of criminal or other proceedings or
� Restriction or supervision of practice
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
When can RCIC be considered Ungovernable?
Majority of Panel finds that RCIC:
a. Repeatedly failed to respond to ICCRC
b. Repeatedly failed to respond to client requests for information
c. Substantially abandoned clients
d. Failed to comply with Discipline Committee/Appeal Committee/Fitness to Practice Committee orders
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Breach of Code of Professional Ethics(cont’d)
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Module 1: Client Records Requirements
When can RCIC be considered Ungovernable? (cont’d)
Majority of Panel finds that RCIC: (cont’d)
e. Repeatedly committed offences
f. Repeatedly failed to comply with ICCRC’s regulatory requirements
(By-law 2017-1, 31.10)
What is the result of being found ungovernable?
� Order suspending or revoking RCIC
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
How does the Discipline Committee communicate its decisions and orders?
� Panel provides written reason for the decision and order to
Complainant and RCIC
� Decisions usually published on ICCRC’s website
� Refer to Appendix F and G
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Breach of Code of Professional Ethics(cont’d)
Module 1: Client Records Requirements
How does the appeal process work?
� Either party may appeal a decision of the Disciplinary
Committee within 30 days
� Provided there are valid grounds, such as:
• Serious error of law/fact/mixed law and fact
• Denial of procedural fairness
• Discovery of material new evidence
(By-Law 2017-1, 33)
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Breach of Code of Professional Ethics(cont’d)
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Compliance Audit Process Final TipsActivity
67
Video
Complete Part 4 of the “Case Study”Activity
68
Group
Activity
Questions
69
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Member Feedback Survey
� Feedback for ICCRC on course and instructor
� Online survey – link e-mailed to you today
� Anonymous – be honest and constructive
70
Wrap-up
Webinar Invitation
� Optional
� Online session – audio and data
� Headset with built-in microphone required
� E-mail questions on complaints and professional standards in
advance
71
Wrap-up (cont’d)
Member Support
� E-mail your instructor with PME course-related questions
� [email protected] for all other queries
72
Wrap-up (cont’d)
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Module 3: Shared practice
Ciotti, G. (2016). How to Talk to Your Angriest Customers. Retrieved from https://www.helpscout.net/blog/customer-complaints/
Canada Business Network. (2016). Insurance for your small business. Retrieved from http://www.canadabusiness.ca/eng/page/2684/
College of Dental Surgeons 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
College of Dental Surgeons 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
Consumer Protection. (2016). Handling consumer complaints and problems: How to develop a customer complaints process and deal with problems effectively. Retrieved from https://www.consumerprotection.govt.nz/for-business/handling-consumer-complaints-and-problems
Immigration Consultants of Canada Regulatory Council. (2016). Complaints and Discipline Process. Retrieved from https://registration.iccrc-crcic.ca/admin/contentEngine/contentImages//Complaints__Discipline_Summary_of_Process__EN.pdf
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Works Consulted
Module 3: Shared practice
Immigration Consultants of Canada Regulatory Council. (2016). Complaints and Discipline Process Q&A. Retrieved from https://registration.iccrc-crcic.ca/admin/contentEngine/contentImages//ICCRC_ComplaintsProfessional_
Standards_Process_QA__Final_February_3_2016EN.pdf
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/
Ministry of Justice New Zealand. (2016). Immigration Advisers Complaints & Disciplinary Tribunal. Retrieved from https://www.justice.govt.nz/tribunals/immigration/advisers-complaints-disciplinary/
Office of the Migration Agents Registration Authority. (n.d.). Disciplinary decisions. Retrieved from https://www.mara.gov.au/news-and-publications/public-notices/disciplinary-decisions/
The Law Society of British Columbia. (2011). Top complaint against lawyers is rude or uncivil behaviour. Bencher’s Bulletin, 2. Retrieved from https://www.lawsociety.bc.ca/page.cfm?cid=2219
74
Works Consulted (cont’d)
Module 3: Shared practice
Thank you!
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©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.