cps presentation final 28may2018 - iccrc - crcic...most common complaints as of august 2016: 41...

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Where are we now 3/3

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Complaints and Professional Standards


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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


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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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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


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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


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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Types of Complaints

Member’s response to complaint

1. Received from client

2. Involving E&O

3. Received from ICCRC


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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


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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


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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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:


How much insurance coverage do I need?

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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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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 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


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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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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


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Questions


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Break

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MODULE 2: COMPLAINTS COMMITTEE

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� 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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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


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)


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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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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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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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What might the Complaints Committee decide? (cont’d)


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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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


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)


What might the Complaints Committee decide? (cont’d)


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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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


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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Questions

MODULE 3: DISCIPLINE COMMITTEE

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� 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



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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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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� 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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(cont’d)Deny the allegation and request a hearing (By-law 2017-1, 19.3.b)


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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(cont’d)Deny the allegation and request a hearing (By-law 2017-1, 19.3.b)


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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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


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)


What happens next? (cont’d)

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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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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


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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What happens next? (cont’d)

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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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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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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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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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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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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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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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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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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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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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Compliance Audit Process Final TipsActivity

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Video

Complete Part 4 of the “Case Study”Activity

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Group

Activity

Questions

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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

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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

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Wrap-up (cont’d)

Member Support

� E-mail your instructor with PME course-related questions

� [email protected] for all other queries

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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


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

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Works Consulted (cont’d)


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.

cps presentation final 28may2018 - iccrc - crcic...most common complaints as of august 2016: 41...

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