RETAINER AGREEMENT COURSE - Front Pageregistration.iccrc-crcic.ca/admin/contentEngine... · 2019-08-26 · RETAINER AGREEMENT COURSE 2 Activity ... Encourage professional dialogue

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RETAINER AGREEMENT

COURSE

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ActivityMy three learning goals for today’s

session are…

Course Expectations3

� Course completiono Attend entire course

o Contribute to learning process

� Member feedback

� Questions are encouraged

� Learning environmento Interactive

o Undivided attention

o Mutual respect

o Respect diversity

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Course Overview4

� Three modules:

1. Code of Professional Ethics and Retainer Agreement

Regulation

2. Retainer agreement fundamentals

3. Retainer agreement application

� Networking opportunities

Course Schedule5

Module Content/Learning Objective Time

Allotted

Suggested

Timeframe

Registration Networking Opportunity 30 mins 8:30-9:00

Opening Welcome and Course Overview 30 mins 9:00-9:30

#1 Code of Professional Ethics and Retainer

Agreement Regulation

50 mins 9:30-10:20

BREAK Networking Opportunity 10 mins 10:20-10:30

#2 Retainer Agreement Fundamentals 120 mins 10:30-12:30

LUNCH Networking Opportunity 60 mins 12:30-1:30

#3 Retainer Agreement Application 70 mins 1:30-2:40

Q&A Final Q&A Session 10 mins 2:40-2:50

Closing Wrap-up 10 mins 2:50-3:00

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GroupActivity

Introduce yourself by sharing your:

� Name

� Most rewarding moment as an immigration consultant OR

� Category of representation

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Role Play

Three volunteers to do a role play

Course Description8

The Retainer Agreement (RA) course is designed to:

� Familiarize members with ICCRC’s Retainer Agreement Regulation and requirements

� Enable members to develop a comprehensive RA

� Encourage professional dialogue between members

Course Objectives9

At the end of the course, participants will be able to:

1. Identify the relationship between the Code of Professional Ethics and the Retainer Agreement Regulation

2. Recall relevant RA vocabulary

3. Identify the role of an Initial Consultation Agreement

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Course Objectives (cont’d)10

4. Identify the mandatory components of a RA

5. Identify the steps for using a RA

6. Apply the Retainer Agreement Regulation and RA template

Code of Professional Ethics and

Retainer Agreement Regulation

Module 111

Module 1 Objective12

� To identify the relationship between the Code of Professional Ethics and the Retainer Agreement Regulation

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GroupActivity

Review the Code of Professional Ethics Article summaries

Summarize the corresponding Sections from the Retainer Agreement

Regulation

Code of Professional Ethics and Retainer Agreement Regulation

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Code of Prof. Ethics RA Regulation

A.3—Duty of Good

Faith

3.1.1—Dischargeresponsibilities in

good faith

s.4.2—Enter into RA with client

s.4.4—Complete RA for all services

undertaken for a fee or other consideration

s.4.6— Complete RA for pro bono services

s.5.1.d—Identify scope of services

s.6.6—All RCICs working on file subject

to By-law, Code and Regulations

Code of Professional Ethics and Retainer Agreement Regulation (cont’d)

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A.5—Duty of Competence

5.1.1—Perform services competently

5.3.1—Work with a

competent person

s.5.3—Obtain client authorization

s.6.4—Identify functions, if more than one RCIC

s.6.5—Signing member has

responsibility for Agreement

s.8.1.a—New RA for additional

services

s.13.1.b—Present dispute process

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A.7—Advising Clients

7.1.1—Be honest and

candid

s.9.1.a- f—Identify billing method and

fees

s.9.2—Contingency billing not permitted

s.14.1—Client’s right to discharge

representation

s.16.1—Identify how unused fees

will be refunded

s.16.2—Fees non refundable for a refusal


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A.8—Duty to Maintain

Confidentiality

8.1.1—Maintain client confidence

8.2.1—Confidentiality survives

RA

s.15.1—Outline how client’s information is protected

s.15.2—Notify client of preferredmethod of correspondence

s.15.3—Notify client that information is collected/protected

according to Code of

Professional Ethics

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Discussion

Why do members need both the Code of Professional Ethics and the Retainer Agreement Regulation?

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� The Code of Professional Ethics tells members what is expected when dealing with clients

� The Retainer Agreement Regulation tells members howto interact with clients in accordance with the Code of Professional Ethics

Module 1 Summary20

The relationship between the Code of Professional Ethics and the Retainer Agreement Regulation is:

Code of Professional Ethics = what is expected

Retainer Agreement Regulation = how to meet the expectation

Module 1 Summary (cont’d)21

The Code of Professional Ethics and Retainer Agreement Regulation tell us to:

� Discharge responsibilities in good faith to client, as detailed in RA

� Competently perform services and engage other members, as needed

o obtain client authorization

o provide dispute process

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� Advise clients honestly and candidly by notifying them of:

o billing methods and fees

o contingency billing not permitted

o termination rights

o refund policy

� Maintain client confidentiality

Questions23

BREAK29

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Retainer Agreement Fundamentals

Module 230

Module 2 Objectives31

� To recall relevant RA vocabulary

� To identify the role of an Initial Consultation Agreement

� To identify the mandatory components of a RA

� To identify the steps for using a RA

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Activity

Fill in the blanks to complete the

RA-related definitions

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Activity

Harry, a Canadian citizen and paediatrician who works for “Doctors without Borders”, married Sally, a trained nurse and citizen of Somalia, in March 2016. Harry wishes to bring Sally and her 3 children, ages 7, 5, and 3, to Canada to live with him and approaches you for advice.

� What is the initial step you take with Harry?

Initial Consultation Agreement34

� Written record of purpose, fee and date of advice

(s.3.2.i)

o Required when consultation given for fee (s.4.1)

� Written in English or French (s.4.1)

� Dated and signed by client and member before advice is given (s.4.1)

o Mutually agreed upon method if not physically present (s.4.1)

� Use Initial Consultation Agreement template, as needed

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Activity

Examine the Initial Consultation Agreement template.

� What would you add to the template?

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GroupDiscussion

Two days after the initial consultation, Harry decides to hire you as his RCIC. You invite Harry to the office to review the retainer agreement and he asks why he needs to sign a retainer agreement.

� How do you explain the purpose of a RA to Harry?

Purpose of RA37

The purpose of a RA is to:

� Detail the duties of the member and the client (s.2.1)

� Clarify expectations—what service will be provided, how the service will be provided, and the cost of service (s.2.1)

RA Principles38

A retainer agreement is a legally-binding contract and should be:

� Clear

� Complete

� Simple

� Defensible

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GroupActivity

When drafting Harry’s RA, what components must you include?

RA Template40

� Guideline

� Optional to use

� Minimum—add to it, as needed

� Reviewed by ICCRC’s lawyer

� Format—Word version on ICCRC’s website

RA Mandatory Components41

Component RA Reg

Identify client s.5.1.a

Name, address, telephone number of member and client

s.5.1.b

Identify functions of other members on file

s.6.4

Category of representation s.5.1.c

Matter and scope of services s.5.1.d

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Activity Identify (check) the RCIC responsibilities and commitments that are most useful to your practice

RA Mandatory Components (cont’d)

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Component RA Reg

Billing method s.9.1.a

Billing Method Examples44

Bill by the hour

� The member’s fees for immigration services are C$_____ per hour.

o The client will be billed according to the amount of work that is

done on the file.

o It is difficult to estimate the exact amount of time necessary to adequately represent the client.

o However, as discussed, the fee will not be less than C$______.

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Billing Method Examples (cont’d)

Flat fee with payment by milestone

� Express entry milestones

o The sum of C$____ upon completion of first phase initial

assessment and advice

o The sum of C$____ upon completion of Profile (preparation

and creation)

o The sum of C$_____ when PR Application is ready for

submission (pending ITA)

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Billing Method Examples (cont’d)46

Flat fee with payment by predetermined date

� The sum of C$_____ (applicable rate at time of filing) + tax is due on or before ____________(insert date).

o This payment is for the submission of documents to the immigration office.

� The sum of C$_____ + tax is due on or before ____________(insert date).

o This payment is for submitting the evidence to the Refugee Board.


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Component RA Reg

Fees payable s.9.1.b

Currency of fees s.9.1.d

Disbursements s.12.1, s.12.2

Applicable taxes s.9.1.e

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Component RA Reg

Administrative fee (as required) s.9.1.f

Payment schedule s.9.1.c

Refund policy s.16.1, 16.2

Death, incapacitation or otherwise unable to fulfill duties

s.4.5

Member of ICCRC s.13.1.a


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Component RA Reg

Dispute resolution process s.13.1.b

ICCRC’s website address and complaint process section details

s.13.1.d

ICCRC’s contact information s.13.1.c

Confidentiality s.15.1 - s.15.3.3


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Component RA Reg

Discharge or withdrawal of representation clauses—what happens, cost

s.14.1, 14.2, 14.4

Client authorization s.5.3

Dated signature of client and member

s.5.4

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Activity

Identify (underline/circle) which suggested components, from the RA template, you might use in your own RA

RA Steps52

1. Decide when to use a RA

� Every member must enter into RA with client (s.4.2)

o Designate may be appointed after signing RA (s.4.2)

o Exception – another authorized representative has signed RA

(s.4.3)

� For all services undertaken for a fee or other consideration (s.4.4)

� For pro bono services (s.4.6)

RA Steps (cont’d)53

2. Prepare the RA

� Include all mandatory components of RA

� Include additional components of RA—as per category of representation

� Collect a deposit—recommended

� Government fees may be directly payable by client

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2. Prepare the RA (cont’d)

� Contingency billing not permitted (s.9.2)

� Notify client of method of correspondence (s.15.2)

� Sign and date English or French RA preferably before representation commences (s.5.4)

o Mutually agreed upon method if not physically present (s.5.4)


2. Prepare the RA (cont’d)

� Copy of RA to member and client (s.5.5)

� Detail interest and bank fee arrangement in RA for client-specific client accounts—recommended


3. Implement the RA—member obligations

� Deposit client funds as per the Client Account Regulation (s.4.1 & s.4.2.a) and Retainer Agreement Regulation (s.9.3)

� Member signing RA has overall responsibility for service and client funds (s.6.5)

� All members engaged on the file are subject to Council’s By-law, Code of Professional Ethics, and Regulations (s.6.6)

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3. Implement the RA—member obligations (cont’d)

� Changes or edits to RA mutually agreed upon in writing (s.7.1) and initialled by member and client (s.7.2)

� Separate RA required for additional services (s.5.2 & s.8.1.a)

o Or signed addendum to original RA required (s.8.1.b)

� Not permitted to withhold client property for payment (A.11.5.1.i)


3. Implement the RA—client obligations

� Payment due on or before completion of work—recommended

o Special circumstances—extended payment terms negotiated with client and detailed in RA

� Provide required documentation (s.10.1.a)


3. Implement the RA—client obligations (cont’d)

� Provide up-to-date and reliable contact information in timely manner (s.10.1.b)

� Provide accurate information (s.10.1.c)

o Member’s obligations under RA voided if client knowingly provides inaccurate/misleading/false information (s.10.1.d)

o Client’s financial obligations remain (s.10.1.d)

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4. Conclude the RA

� Terminate representation, as per RA

� Withdraw as representative, if necessary (s.14.5-s.14.9)

� Refund unused fees (s.14.9.c)

� Fees are non-refundable for application refusal (s.16.2)

Module 2 Summary61

� RA vocabulary is based on Retainer Agreement Regulation

� Initial Consultation Agreement signed and dated preferably prior to giving advice

� Purpose of a RA is to:

o Detail duties—member and client

o Clarify expectations—service and fees


� RA is a legally-binding contract and should be:

o Clear

o Complete

o Simple

o Defensible

� Mandatory RA components located in Retainer Agreement Regulation

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� RA steps include:

1. Decide when to use RA

2. Prepare the RA

3. Implement the RA

4. Conclude the RA

Questions64

LUNCH72

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Retainer Agreement Application

Module 373

Module 3 Objective74

� To apply the Retainer Agreement Regulation and RA template

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GroupActivity

In your same groups

� Apply the Retainer Agreement Regulation and resources

� Complete the RA template for your assigned scenario

� Share your suggested components with the whole group

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Reporting to ICCRC76

� Members must submit recent RA to ICCRC

o Omit client information

� Part of membership renewal process

� RA must contain mandatory components

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Group Activity

Review your assigned case study and respond to the following questions:

1. What is the concern with this member?

2. What Sections has the member violated?

3. How might you prevent this from happening to you?

Errors and Omissions78

Upon discovery of error or omission, a member must:

� Inform client of what was done or not done, without

admitting or characterizing this as an error or omission (A.13.2.1.i)

� Recommend that client obtain legal advice (A.13.2.1.ii)

� Inform E&O insurance provider (A.13.2.1.iii)

� Inform ICCRC that E&O provider has been informed

(A.13.2.1.iv)

� Decide whether or not to withdraw service (A.13.2.1.v )

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Final Tips79

� Use RA file number for ICCRC audit

� RA is a legally-binding document—be clear and specific

� Have client initial each page of RA

� Have client acknowledge, in writing, receipt of RA copy

Module 3 Summary80

� Apply RA template to your practice, as needed

� Prevent complaints by following the Retainer Agreement Regulation

� In the event of error or omission, follow Article 13 of the Code of Professional Ethics

Questions81

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Wrap-up82

Member Feedback Survey

� Feedback for ICCRC on course and instructor

� Online survey—link e-mailed to you today

� Anonymous—be honest and constructive

Wrap-up (cont’d)83

Webinar Invitation

� Optional

� Online session—audio and data

� Headset with built-in microphone required

� E-mail RA questions to your instructor in advance

Wrap-up (cont’d)84

Member Support

� E-mail instructor with PME course-related questions

� [email protected] for all other queries

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Thank you!

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©2018 by the 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 brief quotations accompanied by proper citations.

Documents

RETAINER AGREEMENT COURSE - Front Pageregistration.iccrc-crcic.ca/admin/contentEngine... · 2019-08-26 · RETAINER AGREEMENT COURSE 2 Activity ... Encourage professional dialogue