Version: May 28, 2018

Transcription

1 Where are we now 3/3 Complaints and Professional Standards 1 Where Course are Description we now 3/3 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 2 Where Course are Overview we now 3/3 This course consists of three modules: 1. Complaint Submission and Investigation 2. Complaints Committee 3. Discipline Committee Networking opportunities 3 1

2 Module Where Course are Schedule we now 3/3 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 #1 Complaint Submission and Investigation 15 mins 9:00-9:15 1:30-1:45 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 4 Course Where are Expectations we now 3/3 Course completion Attend entire course Contribute to learning process Member feedback Questions are encouraged Learning environment Interactive Undivided attention Mutual respect Respect diversity 5 Discussion Activity When was the last time you complained about a service you received? How could the service provider have handled your complaint better? 6 2

3 MODULE 1: COMPLAINT SUBMISSION AND INVESTIGATION 7 Module 1 Objectives 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 8 Purpose of Complaints and Module Professional 1: Client Records Standards 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 9 3

4 Types of Complaints Member s response to complaint 1. Received from client 3. Received from ICCRC 2. Involving E&O 10 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. 11 Activity 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 12 4

5 Activity Refer to Tips for Handling a Client Complaint and compile a list of Dos and Don ts for handling a client complaint 13 Complaint Involving E&O 2. Involving E&O Why have E&O? To fulfill Article of the Code of Professional Ethics To protect: Client RCIC RCIC s family 14 Complaint Involving E&O (cont d) What are common allegations against RCICs? Failure to: Respond to phone calls or s 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 15 5

6 Complaint Involving E&O (cont d) What will E&O: Cover You and your employees Unintentional acts or failures to act Compensatory damages Your agent(s) Not Cover Deliberate, dishonest or fraudulent acts Demands for refunds Damages caused to property in your care 16 Complaint Involving E&O (cont d) How much insurance coverage do I need? Requirement No less than the minimum amount E&O required by ICCRC (A ) Suggestion 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. 17 Discussion Activity When do you need to inform: Client E&O provider ICCRC of an issue? 18 6

7 Complaint Involving E&O (cont d) 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 i-ii) E&O provider promptly and fully (A iii) Appendix A ICCRC promptly and fully that E&O provider has been informed (A iv) info@iccrc-crcic.ca Refer to Appendix B 19 Complaint Received from ICCRC 3. Received from ICCRC ICCRC reviews complaints submitted: Through ICCRC website Appendix C By reliable source (e.g., Canadian government, RCMP, etc.) (By-law , 28.4) 20 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 , 29.2.a.i-iii) Refer complaint to Registrar to determine risk to consumers (By-law , 29.2.b) 21 7

8 Complaint Received from ICCRC (cont d) ICCRC staff may (cont d): 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: Contact complainant to resolve misunderstanding without a formal proceeding (By-law , 29.2.c.i) or Contact RCIC to discuss Voluntary Resolution Program (VRP) and/or be issued a Caution (By-law , 29.2.c.ii) 22 Activity Video Overview of the Complaints and Professional Standards Process 23 Activity Activity What are you required to do when informed of a complaint by ICCRC? Refer to Appendix D 24 8

9 Activity Complete Parts 1 and 2 of the Case Study 25 Where are we now 3/3 Questions 26 Where are we now 3/3 Break 27 9

10 MODULE 2: COMPLAINTS COMMITTEE 28 Module 2 Objective At the end of this module, participants will be able to: Predict how the Complaints Committee would rule on a given case study 29 ICCRC s Complaints Process Submission Investigation Complaints Committee Discipline Committee 30 10

11 Complaints Committee 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 31 Complaints Committee (cont d) What does the Complaints Committee do? Reviews all complaints referred by ICCRC staff (By-law , 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 32 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 33 11

12 Complaints Committee (cont d) Why might the Complaints Committee decide not to 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] 34 Complaints Committee (cont d) 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) (Bylaw , 30.1) ICRO reviews the fairness of the procedure and whether an error in fact or law occurred (By-law , 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 , 30.4) 35 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 36 12

13 Breach of Regulations What is the penalty for Breach of Regulation? Breach of Regulation Penalty a. First offence Written warning with direction to correct deficiency within 30 calendar days b. Second or subsequent offence $ per incident (By-law ) c. Failure to correct deficiencies within 30 calendar days or pay fines Subject to suspension and ultimately revocation [e.g., Retainer Agreement Regulation, s.17] 37 Breach of Regulations (cont d) What options do RCICs have? Accept the allegation and pay fine (By-law a) Deny the allegation and request a hearing (By-law b) 38 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 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 , 29.4] 39 13

14 Complaints Received by ICCRC Rank the following Articles in order of most to least commonly complained about: Article 5.1 Duty of Competence Duty of Continuing Competence Rank 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 40 Complaints Received by ICCRC (cont d) Most common complaints as of August 2016: Article Rank 5.1 Duty of Competence Duty of Continuing Competence Duty of Good Faith Quality Service Maintenance of Quality Service Withdrawal from Representation When Withdrawal Required Advising Clients Honesty and Candour Required Maintenance of Quality Responsibility for Agents & Staff 5 41 Activity Complete Part 3 of the Case Study 42 14

15 Where are we now 3/3 Questions 43 MODULE 3: DISCIPLINE COMMITTEE 44 Module 3 Objective At the end of this module, participants will be able to: Predict how the Discipline Committee would rule on a given case study 45 15

16 ICCRC s Complaints Process (cont d) Submission Investigation Complaints Committee Discipline Committee 46 Discipline Committee What does the Discipline Committee do? A. Hears cases about Breach of Regulation forwarded by Registrar (By-law , 19.3.b, ) RCIC is alleged to have breached an ICCRC Regulation, denies the allegation and requests a hearing 47 Breach of Regulation (cont d) Deny the allegation and request a hearing (By-law , 19.3.b) (cont d) 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 , 19.5] 48 16

17 Breach of Regulation (cont d) Deny the allegation and request a hearing (By-law , 19.3.b) (cont d) Hearings are conducted before a single member of the Discipline Committee either: In writing By telephone or By video call [By-law , 19.6] 49 Breach of Regulation (cont d) Deny the allegation and request a hearing (By-law , 19.3.b) (cont d) 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 , 19.9] 50 Discipline Committee (cont d) What does the Discipline Committee do? (cont d) A. Hears cases about Breach of Regulation forwarded by Registrar (By-law , 19.3.b, ) RCIC is alleged to have breached an ICCRC Regulation, denies the allegation and requests a hearing B. Hears cases about forwarded by Complaints Committee (By-law , 31) RCIC is alleged to have breached ICCRC s Code of Professional Ethics 51 17

18 What happens next? ICCRC s Legal Counsel reviews the complaint Registrar issues Notice of Referral Prepares Notice of Referral Sets out allegations against RCIC Explains process and consequence of not participating in hearing Invitation to discussions 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 52 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 53 What happens next? (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 54 18

19 Settlement Agreement Prior to Hearing Full settlement agreement agreement on facts and penalty Partial settlement agreement agreement on facts but not penalty Settlement Agreements are then reviewed by the Discipline Committee Panel 55 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 56 What happens next? (cont d) Oral Submissions No agreement, proceed to a hearing Written Submissions Orally-in person or Telephone/video conference call Discipline Committee decides if Breach of Code occurred and orders appropriate penalty 57 19

20 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 58 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 59 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 60 20

21 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 , 31.9) 61 When mayan 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 62 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 63 21

22 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 , 31.10) What is the result of being found ungovernable? Order suspending or revoking RCIC 64 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 65 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 , 33) 66 22

23 Activity Video Compliance Audit Process Final Tips 67 Activity Group Activity Complete Part 4 of the Case Study 68 Questions 69 23

24 Wrap-up Member Feedback Survey Feedback for ICCRC on course and instructor Online survey link ed to you today Anonymous be honest and constructive 70 Wrap-up (cont d) Webinar Invitation Optional Online session audio and data Headset with built-in microphone required questions on complaints and professional standards in advance 71 Wrap-up (cont d) Member Support your instructor with PME course-related questions for all other queries 72 24

25 Works Consulted Module 3: Shared practice Ciotti, G. (2016). How to Talk to Your Angriest Customers. Retrieved from Canada Business Network. (2016). Insurance for your small business. Retrieved from College of Dental Surgeons British Columbia. (2016). How to Avoid Getting a Complaint. Retrieved from College of Dental Surgeons British Columbia. (2016). What to do if you get a Complaint. Retrieved from Consumer Protection. (2016). Handling consumer complaints and problems: How to develop a customer complaints process and deal with problems effectively. Retrieved from Immigration Consultants of Canada Regulatory Council. (2016). Complaints and Discipline Process. Retrieved from Discipline_Summar y_of_process EN.pdf 73 Works Consulted (cont d) Module 3: Shared practice Immigration Consultants of Canada Regulatory Council. (2016). Complaints and Discipline Process Q&A. Retrieved from Standards_Process_QA Final_February_3_2016EN.pdf Letts, G. (2014). How to Handle Customer Complaints Like a Customer Service Ninja. Retrieved from Ministry of Justice New Zealand. (2016). Immigration Advisers Complaints & Disciplinary Tribunal. Retrieved from Office of the Migration Agents Registration Authority. (n.d.). Disciplinary decisions. Retrieved from The Law Society of British Columbia. (2011). Top complaint against lawyers is rude or uncivil behaviour. Bencher s Bulletin, 2. Retrieved from 74 Module 3: Shared practice Thank you! 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