CODE OF PROFESSIONAL ETHICS - iccrc-crcic · PDF fileCODE OF PROFESSIONAL ETHICS 2016-001 ......

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CODEOFPROFESSIONALETHICS

CODEOFPROFESSIONALETHICS 2016-001

©2016 IMMIGRATIONCONSULTANTSOFCANADAREGULATORYCOUNCILCONSEILDERÉGLEMENTATIONDESCONSULTANTSENIMMIGRATIONDUCANADA

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Version:2016-001LastModified:March11,2016



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TableofContents

ARTICLE1. INTENTIONOFCODE...............................................................................................................5

1.1 Purpose............................................................................................................................................51.2 DisciplineforNon-compliance.........................................................................................................5

ARTICLE2. INTERPRETATION.....................................................................................................................5

2.1 InterpretationConsistentwithBylawsandRegulations..................................................................52.2 DefinedTerms..................................................................................................................................5

ARTICLE3. DUTYOFGOODFAITH.............................................................................................................6

3.1 DutyofGoodFaith...........................................................................................................................6

ARTICLE4. DUTYTOTHEICCRCANDITSMEMBERS.................................................................................7

4.1 ReportingBreachesoftheCode......................................................................................................74.2 ProhibitionAgainstFalseorMisleadingPublicStatements.............................................................74.3 DutyofCivility..................................................................................................................................7

ARTICLE5. DUTYOFCOMPETENCE...........................................................................................................7

5.1 DutyofContinuingCompetence......................................................................................................75.2 NatureofCompetence.....................................................................................................................75.3 ObligationifNotCompetent............................................................................................................7

ARTICLE6. QUALITYOFSERVICE...............................................................................................................8

6.1 MaintenanceofQualityService.......................................................................................................86.2 DeliveryofClientDocuments...........................................................................................................86.3 ResponsibilityforAgentsandStaff..................................................................................................8

ARTICLE7. ADVISINGCLIENTS...................................................................................................................8

7.1 HonestyandCandourRequired.......................................................................................................87.2 ResponsetoIllegality.......................................................................................................................8

ARTICLE8. DUTYTOMAINTAINCONFIDENTIALITY...................................................................................9

8.1 MaintenanceofConfidentiality........................................................................................................98.2 ConfidentialitySurvivesRetainer.....................................................................................................98.3 ProtectionofConfidentialInformation............................................................................................98.4 DisclosureProhibited.......................................................................................................................98.5 ExceptionforDefenceofAllegations...............................................................................................98.6 ExceptionforCollections..................................................................................................................9



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ARTICLE9. CONFLICTSOFINTEREST.......................................................................................................10

9.1 ProhibitionWhereConflict.............................................................................................................10

ARTICLE10. THEMEMBERASADVOCATE.................................................................................................10

10.1 AdvocacyDuties.............................................................................................................................10

ARTICLE11. WITHDRAWALFROMREPRESENTATION...............................................................................10

11.1 WhenWithdrawalRequired...........................................................................................................1011.2 WhenWithdrawalOptional...........................................................................................................1011.3 WithdrawalonOtherBasis............................................................................................................1011.4 WithdrawalonFailuretoPay.........................................................................................................1111.5 MemberActionRequiredonWithdrawal......................................................................................11

ARTICLE12. ADVERTISINGANDPROMOTIONOFSERVICES.....................................................................11

12.1 MandatoryIdentification...............................................................................................................1112.2 EndorsementsandTestimonials....................................................................................................1112.3 UseoftheICCRC’sDesignationandLogo......................................................................................11

ARTICLE13. ERRORSANDOMISSIONS......................................................................................................12

13.1 ErrorsandOmissionsInsuranceRequired.....................................................................................1213.2 RequiredActionuponDiscoveryofSomethingthatMaybeDamagingtoaClient.......................12

ARTICLE14. RESPONSIBILITYTOICCRCANDOTHERS...............................................................................12

14.1 MaintenanceofContactInformation.............................................................................................1214.2 ObligationtoRespondtotheICCRC...............................................................................................1214.3 RestrictiononCommunicatingwithComplainant.........................................................................12

ARTICLE15. ADDITIONALRESPONSIBILITYOFMEMBERSPRACTISINGINTHEPROVINCEOFQUÉBEC....12

15.1 DealingswiththeGovernmentofQuébec.....................................................................................1215.2 Non-AdherencetoAnActRespectingImmigrationtoQuébec.....................................................1315.3 ViolationofQuébecImmigrationLaws..........................................................................................13



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ARTICLE1. INTENTIONOFCODE

1.1 Purpose1.1.1 ThisCodesetsstandardsofconductforMembers,thefairandefficientenforcementofwhich

shouldprotectthepublicfromunethicalorincompetentpracticebyMembers.

1.2 DisciplineforNon-compliance1.2.1 ThisCodeisbindingonallMembers.MemberswhofailtocomplywiththisCodewillbesubject

todisciplinaryproceedings.

ARTICLE2. INTERPRETATION 2.1 InterpretationConsistentwithBylawsandRegulations2.1.1 TheinterpretationofthisCodeshallbeconsistentwiththeICCRC’sBylawsandRegulationsin

forceatthetimeoftheconductcomplainedof,unlessthecontextotherwiserequires.

2.2 DefinedTermsInthisCode:

2.2.1 TermsusedinthisCodehavethesamemeaningasthesametermsusedintheICCRCBylawsandRegulationsunlessdefineddifferently.

2.2.2 “Bylaws”meanthebylawsofICCRC.2.2.3 “ConductUnbecomingaMember”meansconduct

(A) intheMember’sprofessionalcapacitythatis

(i) notspecificallyprohibitedinthisCode;(ii) substantiallysimilartoconductthatisspecificallyprohibitedinthisCode,or;(iii) takingadvantageofaperson’svulnerabilityduetoage,inexperience,lackof

educationorillhealthtothedetrimentofthatperson,withorwithoutanybenefittotheMember.

(B) intheMember’spersonalcapacitythatisrelevanttotheMember’sprofessionalcapacity,including:

(i) dishonesty,breachoftrustorfraud,evenintheabsenceofanycriminalorcivilproceeding;

(ii) committingacriminalactorotherstatutoryoffence,whetherornotconvictedofit,thatdemonstratestheMember’slackoftrustworthinessormentaloremotionalstability.

2.2.4 “DesignatedLegalRegulatoryBody”meansalawsocietyofaprovinceorterritoryorthe

ChambredesnotairesduQuébec.



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2.2.5 “IRB”meanstheImmigrationandRefugeeBoardandanyofitsstaff,branchesordivisions. 2.2.6 “MemberUnderSuspension”meansaMemberofICCRCwhoselicensetopracticehasbeen

suspended,butnotrevoked.

2.2.7 “Officer”meansanypersonorclassofpersondesignatedasOfficersbytheMinistertocarryoutanypurposeoranyprovisionoftheIRPAortheCitizenshipAct.

2.2.8 “Practice”meansprofessionalworkundertakenbyaMemberinconnectionwithany

applicationorproceeding,orpotentialapplicationorproceeding,undertheIRPAortheCitizenshipAct.

2.2.9 “ProfessionalMisconduct”meansconductintheMember’spracticethatisinconsistentwith

thisCode,including:

(i) breachingorattemptingtobreachanyrequirementoftheIRPAortheCitizenshipAct;

(ii) recklesslyorwilfullyattemptingtomisleadanyemployeeoragentofICCRCinvestigatingacomplaintagainsttheMemberoranyotherperson,orknowinglywithholdinganyrelevantinformationordocumentinsuchaninvestigation;

(iii) knowinglyassistingorinducinganEmployeeorAgentofaMembertoengageinconductprohibitedbyclause2.2.9(i)or(ii);

(iv) misappropriatingorotherwisedealingdishonestlywithmoneyorpropertyinconnectionwithaMember’spractice;

(v) offering,promising,statingorimplyingthattheMemberwillinfluenceanygovernmentagencyorofficialtomakeapositivedecisioninanyimmigrationmatter;

(vi) offering,promising,statingorimplyingthatusingorcontinuingtousetheservicesoftheMemberwillresultinafavourableexerciseofdiscretionbyIRCC;

(vii) clauses2.2.9(vi)and(vii)donotpreventaMemberfrompromotingoradvertisinganabilitytoadvocateonbehalfofhisorherclient,totrytoinfluenceapositivedecisionorexerciseofdiscretion;

(viii) engaginginanynon-educational,remunerativeactivityinfurtheranceoftheMember’spracticewhilehavingthestatusofMemberUnderSuspension.Forgreatercertainty,theMembermaytakeprofessionaldevelopmentcoursesduringthesuspensionperiod.

ARTICLE3. DUTYOFGOODFAITH 3.1 DutyofGoodFaith3.1.1 EveryMembershalldischarge,ingoodfaith,allresponsibilitiestoClients,governmentagencies,

theIRB,colleagues,andanyothersaffectedinthecourseoftheMember’spractice.



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ARTICLE4. DUTYTOTHEICCRCANDITSMEMBERS 4.1 ReportingBreachesoftheCode4.1.1 SubjecttothedutyofClientconfidentiality,aMembershallpromptlyreporttotheICCRCany

conductbyanyMemberorAgentthatisinconsistentwiththisCode.Whereverpossible,theMembershallfirstrequestanexplanationfromthispersontoassistindeterminingwhetherthereisanyobligationtoreporttheconduct.

4.2 ProhibitionAgainstFalseorMisleadingPublicStatements4.2.1 AMembershallnotmakeapublicstatementaboutanotherRCICinhis/hercapacityasa

Member,abouttheICCRCitself,oraboutanyemployeeorotherpersonretainedbytheICCRC,thatisfalseormisleadinginthegeneralimpressionitgives.IftheMembermakessuchapublicstatementandattemptstoconcealtheMember’sidentitythatincreasestheseriousnessoftheoffence.

4.3 DutyofCivility4.3.1 AMembershallbecourteousandcivilinallprofessionaldealingswiththecourts,theIRB,

governmentOfficersorofficials,clients,Members,AgentsandtheICCRCitself. ARTICLE5. DUTYOFCOMPETENCE

5.1 DutyofContinuingCompetence5.1.1 AMembershallatalltimescontinuetobecompetenttoperformanyservicestheMember

undertakesforaClientintheMember’spractice,andshallnotundertakeanytaskorservicethattheMemberisnotfullycompetentbyknowledgeandexperiencetohandle.AMembershallperformallservicesonbehalfaClientcompetently.

5.2 NatureofCompetence5.2.1 Tobecompetentincludes:

(i) understanding,andbeingabletointerpretandapply,thestatutes,regulations,relevantjudicialdecisionsandinterpretationsofthefederalandprovinciallaws,policiesandadministrativepracticesapplicableatthetimetothematterundertakenonbehalfofaClient;

(ii) topresentoralandwrittenargumentsonbehalfoftheclient;and(iii) tobefamiliarwiththeregulatoryrequirementsoftheICCRC.

5.3 ObligationifNotCompetent

5.3.1 AMemberwholackstheknowledgeandexperiencetocompleteataskorserviceincompliancewithArticles5.1and5.2shalleitherdeclinetoactorobtaintheClient’sconsenttoretain,consultorworkwithanotherpersonwhoiscompetentandlicensedtoperformthattaskorservice.



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ARTICLE6. QUALITYOFSERVICE

6.1 MaintenanceofQualityService6.1.1 AMembermust,atalltimes,usebesteffortsto:

(i) meetallapplicabledeadlines; (ii) conductClientaffairsinanefficient,cost-effectivemanner;(iii) communicatewiththeClientatallnecessarystagesofamatterinatimelyandeffective

way;(iv) engageaninterpreterorotherhelpwhennecessaryforcompetentservice;and(v) pursuetheappropriateprofessionaldevelopmenttrainingtomaintainandenhance

knowledgeandskills.6.2 DeliveryofClientDocuments6.2.1 IfaMemberneedstodeliverClientdocumentstoIRCCoranyothergovernmentorgovernment

agent,theMembershallmakebesteffortstoensurethat:

(i) thedocumentstobedeliveredarecompletedproperlyandsigned,ifrequired;(ii) thepackageofdocumentsiscomplete;and(iii) thedocumentsaredeliveredtotherightaddressee,intherightplace,andbefore

anyapplicabledeadline.6.3 ResponsibilityforAgentsandStaff6.3.1 AMemberisresponsiblefortheactsoromissionsoftheMember’sAgentsandEmployees

carriedoutinthecourseoftheirduties,andshallensurethatallAgentsandEmployeesconductthemselvesinaccordancewiththisCodeandallrelevantRegulationsoftheICCRC.

ARTICLE7. ADVISINGCLIENTS

7.1 HonestyandCandourRequired7.1.1 AMembermustbehonestandcandidwhenadvisingClients.

7.2 ResponsetoIllegality7.2.1 WhenaMemberisemployedorretainedandaskedtodoanythingtheMemberknowsorought

toknowisdishonest,fraudulentorotherwiseillegal,theMembershall:

(i) advisethepersonfromwhomtheMembertakesinstructionsthattheproposedconductwouldbedishonest,fraudulentorillegal,andshouldbestopped;and

(ii) if,despitetheadvice,thepersonstillintendstopursuetheproposedcourseofconduct,withdrawfromactinginthematter,inaccordancewithArticle11.



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ARTICLE8. DUTYTOMAINTAINCONFIDENTIALITY

8.1 MaintenanceofConfidentiality8.1.1 AMembershallholdinstrictconfidence,atalltimes,allinformationconcerningthepersonal

andbusinessaffairsofaClient,andshallnotdisclosesuchinformationunless:

(A) thedisclosureis:

(i) expresslyorimpliedlyauthorizedbytheClient;(ii) requiredbyaCanadiancourt;or(iii) requiredbyastatuteorregulationofCanada;or

(B) theMemberhasabonafidebeliefthatthedisclosureisrequiredbyaprovinciallaw.

8.2 ConfidentialitySurvivesRetainer8.2.1 AMembershallpreservetheconfidentialityoftheClient’sinformationindefinitely,evenafter

theMemberhasfinishedactingfortheClient.8.3 ProtectionofConfidentialInformation8.3.1 AMembershalltakeallreasonablestepstoensuretheprivacyandsafekeepingofaClient’s

confidentialinformation.TheMembershallkeeptheClient’spapersandotherpropertyoutofsight,aswellasoutofreach,ofthosenotentitledtoseethem.

8.4 DisclosureProhibited8.4.1 AMembershallnotdisclosethefactofhavingbeenconsultedorretainedbyapersonunless

thenatureofthematterrequiressuchdisclosureorisauthorizedbytheClient.8.5 ExceptionforDefenceofAllegations8.5.1 TheMembermaydiscloseconfidentialinformation,totheextentnecessary,todefend

allegationsmadeagainstaMemberinacourtoradministrativetribunal(includinganydisciplinaryproceedingoftheICCRC),ifitisallegedthattheMemberortheMember’sAgentsorEmployeeshave:

(i) committedanoffenceinvolvingaClient’saffairs;(ii) incurredcivilliabilityinamatterinvolvingaClient’saffairs;or(iii) engagedinconductthatiscontrarytotheCode.

8.6 ExceptionforCollections

8.6.1 AMembermaydiscloseconfidentialinformationinacourtoflawtoestablishorcollectprofessionalfeesordisbursements.



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ARTICLE9. CONFLICTSOFINTEREST

9.1 ProhibitionWhereConflict9.1.1 AMembershallnotadviseorrepresentpartieswithpotentiallyoractuallyconflictinginterests

inanimmigrationmatterunless,afteradequatedisclosuretoeachparty,allpartiesconsentinwriting.

ARTICLE10. THEMEMBERASADVOCATE

10.1 AdvocacyDuties10.1.1 WhenactingastheClient’sadvocatebeforegovernmentofficialsortheIRB,theMembershould

presenttheClient’scasefirmlyandpersuasivelyandwithinthelimitsofthelaw,whiletreatingtheIRBmembers,theMinister,Officersandotherpartieswithcourtesyandrespect.

ARTICLE11. WITHDRAWALFROMREPRESENTATION

11.1 WhenWithdrawalRequired11.1.1 AMembershallwithdrawastheClient’srepresentative,if:

(i) dischargedbytheClient;(ii) instructedbytheClienttodosomethingillegalorincontraventionofthisCode;(iii) theMember’scontinuedinvolvementwillplacetheMemberinaconflictofinterest;

or(iv) theMemberisnotcompetenttohandlethematter.

11.2 WhenWithdrawalOptional11.2.1 AMembermay,butisnotrequiredto,withdrawastheClient’srepresentativeiftherehasbeen

aseriouslossofconfidencebetweentheMemberandClient,includingif:

(i) theClienthasdeceivedtheMember;(ii) theClienthasfailedtogiveadequateinstructionstotheMember;or(iii) theClienthasfailedtoacceptandactupontheMember’sadviceonasignificant

point.

11.3 WithdrawalonOtherBasis11.3.1 InsituationsnotcoveredbyArticles11.1and11.2,aMembermaywithdrawastheClient’s

representativeonlyifthewithdrawal:

(i) willnotprejudicetheClient’sinterests;and(ii) isnotdoneforanimproperpurpose.



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11.4 WithdrawalonFailuretoPay11.4.1 Where,afterreasonablenotice,theClientfailstopaytheMember’sfeesordisbursementsas

agreed,aMembermaywithdrawastheClient’srepresentativeunlessseriousprejudicetotheClientwouldresult.

11.5 MemberActionRequiredonWithdrawal11.5.1 Upondischargeorwithdrawal,aMembershall:

(i) delivertotheClientalldocuments,filesandpropertythatbelongtotheClient;(ii) givetheClientalltheinformationthatmayberequiredinconnectionwiththe

matter;(iii) accountforallfundsoftheClientheldorpreviouslydealtwith,andrefundanyfunds

notearnedduringtheretainer;(iv) promptlyrenderanaccountforanyoutstandingfeesanddisbursements;(v) co-operatewiththesuccessorsoastominimizeexpenseandavoidprejudicetothe

Client;and(vi) makebesteffortstonotifyinwriting,within10days,anygovernmentagencywhere

theMember’snameappearsasrepresentativefortheClient.

ARTICLE12. ADVERTISINGANDPROMOTIONOFSERVICES12.1 MandatoryIdentification12.1.1 InanyadvertisingorotherpromotiononbehalfofaMember,orofaFirminwhichaMember

hasanyinterest,theMembershallensurethattheMember’snameasregisteredwithICCRCisprominentlydisplayedatornearthebeginningoftheadvertisingorpromotion.Thismandatoryidentificationappliesregardlessofwhetherthemediumusedisprint,radio,televisionortheinternet,andforgreatercertainty,includesbusinesscards,websitesandsocialmedia.

12.2 EndorsementsandTestimonials12.2.1 AMembermayuseendorsementsandtestimonialsintheMember’sadvertisingandpromotion

providedthatanysuchendorsementortestimonial:

(i) hasactuallybeengivenbyaClientorformerClient;(ii) istrueandaccurate;and(iii) hasbeenreviewedandapprovedinwritingforpublicusebytheClientorformer

Client.12.3 UseoftheICCRC’sDesignationandLogo12.3.1 AMembershallusetheICCRC’sdesignationandtheICCRC’slogoonlyasmaybepermittedby

anICCRCpolicyorRegulation,andonlyincompliancewithClause12.1.



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ARTICLE13. ERRORSANDOMISSIONS

13.1 ErrorsandOmissionsInsuranceRequired13.1.1 EveryMembershallmaintainerrorsandomissionsinsuranceofnolessthantheminimum

amountrequiredbytheICCRCfromtimetotime.

13.2 RequiredActionuponDiscoveryofSomethingthatMaybeDamagingtoaClient13.2.1 IfaMemberdiscoversthatheorshehasdonesomething,orfailedtodosomething,thatisor

maybedamagingtoaClientandthatcannotbecorrectedreadily,theMembershall:

(i) promptlyandfullyinformtheClientofwhatwasdoneornotdone,withoutadmittingorcharacterizingthisasanerrororomission;

(ii) promptlyrecommendthattheClientobtainalawyer’sadviceconcerninganyrightstheClientmayhavearisingfromtheMember’sactionorinaction;

(iii) promptlyandfullyinformhisorhererrorsandomissionsinsuranceprovider;(iv) promptlyandfullyinformtheICCRCthattheerrorsandomissionsinsuranceprovider

hasbeeninformed;and(v) decide,inaccordancewithArticle11,whethertheMembershouldcontinueto

representfortheClient.

ARTICLE14. RESPONSIBILITYTOICCRCANDOTHERS

14.1 MaintenanceofContactInformation14.1.1 AMembershallimmediatelynotifytheICCRCandClientsofanychangesincontactinformation,

includingbusinessaddress,telephone,fax(ifavailable)andemailaddress.

14.2 ObligationtoRespondtotheICCRC14.2.1 AMembershallreplypromptlytoanycommunicationfromtheICCRC.

14.3 RestrictiononCommunicatingwithComplainant14.3.1 AMembershallnotcommunicatedirectlyorindirectlywithapersonwhohasmadeacomplaint

totheICCRCaboutthatMember,orwiththesuperiorofsuchaperson,withoutthepriorwrittenconsentoftheICCRC,andthenonlyincompliancewiththetermsofsuchconsent.

ARTICLE15. ADDITIONALRESPONSIBILITYOFMEMBERSPRACTISINGINTHEPROVINCEOFQUÉBEC15.1 DealingswiththeGovernmentofQuébec15.1.1 AMemberpracticingintheProvinceofQuébechavinganydealingswiththeGovernmentof

Québeconimmigration-relatedmattersshalladheretoAnActRespectingImmigrationtoQuébec,includingFrenchlanguagerequirementsandknowledgeofrelevantQuébeclaws.



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15.2 Non-AdherencetoAnActRespectingImmigrationtoQuébec15.2.1 AMemberpracticingintheProvinceofQuébecwhodoesnotadheretotheActRespecting

ImmigrationtoQuébecshall,inanyfederalproceedingwhereaQuébecimmigrationmatterarises,directClientstoseekadviceand/orrepresentationaboutQuébeclegislationandprogramsfromanotherMemberormemberofaDesignatedLegalRegulatoryBody,whomeetstherequirementsoftheQuébecimmigrationlegislation.

15.3 ViolationofQuébecImmigrationLaws15.3.1 AMemberwhocommitsanyviolationoftheQuébecimmigrationlawsshallbedeemedtohave

engagedinProfessionalMisconduct.

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