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MID-TERM EXAM Ethics and Professional Conduct IMA 104 Please fill out the information below and do not leave it blank. Student First Name:_____________________________________________ Student Last Name:_____________________________________________ Student ID Number:_____________________________________________ Instructor Name:________________________________________________ Date:_________________________________________________________ Instructions: 1. Read instructions carefully. 2. Attempt all questions. 3. No use of pencils allowed. 4. Total time allowed is 3 hours. RESULTS: All Sections ....................................... TOTAL _____/40 1 SECTION 1: Multiple Choice - 16 marks 1. Allen (the "member") has been retained to represent Alana (the Client) in her refugee claim before the Immigration and Refugee Board. Allen has been quite busy with his cases and he forgets to file Alana's claim documents with the Board. As a result Alana's case is considered abandoned. In this case: a) Allen's quality of service is questionable since he is not able to meet applicable deadlines and this constitutes a breach of the Code of Ethics b) Allen's quality of service is not the best but this does not mean that he is in breach of the Code of Ethics c) Allen's quality of service is questionable since he is not able to meet applicable deadlines but he is not in breach of the Code of Ethics d) The Code of Ethics does not require members to meet deadlines 2. In the case above assume that Allen gave her secretary Alana's document s to be filed at the Board but she forgot to do it: a. Allen is responsible for the acts or omissions of his secretary b. Since it was Allen's secretary who made the mistake Allen is not responsible c. Neither Allen nor his secretary are responsible since it is Alana's responsibility to file her documents on time d. None of the above 3. In the case above, Q1, assume that Allen's secretary drafted all the documents for Alana's case under Allen's supervision but the final draft was not revised by Allen. Allen's secretary filed the documents at the Board. A week later while Allen was reading Alana's application documents he realizes that there are several mistakes. In this case: a. Allen must assume complete professional responsibility since he did not adequately supervise his secretary as it is required by the code of ethics b. Allen won't be professionally responsible since he supervised his secretary while she was doing the work as it is required by the code of ethics c. Allen must assume complete professional responsibility since according to the code of ethics he has to the work and filing himself d. None of the above 2 4. Patricia has been an immigration consultant for 5 years. She only provides services related to refugee claims. A past client, Helen, who is a newlywed, wants to retain Helen to file her husband's sponsorship application. Patricia has never done a sponsorship application but she is up to the challenge. The retainer is drafted and she starts working on the case. A few days after checking all of Helen's documents and application forms Patricia discovers that a sponsorship application is more complicated than she thought and she is very confused with all the paperwork. In this case: a. It does not matter if she does not have experience with this type of cases. Immigration consultants can deal with any immigration case b. Patricia should not have taken the case since she owes a duty to be competent to perform any services undertaken for a Client in connection with her practice c. Patricia owes a duty to be competent to perform any services but at the same time she can take any case she wants even though she is not familiar with the proper procedure d. Answers a and c 5. In the case above: a. Patricia should have done some research before taking the case b. Patricia should have contracted with another immigration consultant before taking the case and drafting the retainer c. Patricia should have either declined to act or obtained the Client's consent to retain, consult or collaborate with another person who is competent and licensed to perform that task d. None of the above 6. Katherine has been an immigration consultant since 2001she stopped providing her services between 2010 and 2013. In June 2014 she is back in practice and starts taking clients that wish to claim refugee status. Katherine fills in the forms and delivers them to the Immigration and Refugee Board only to find out that she completed the wrong forms and in some cases the filling is out of time. Katherine was not aware about the changes implemented to the refugee protection division. In this case: a. CICC members are not required to know every single change in law and procedures b. Katherine had a responsibility to adapt to changing laws and policies affecting professional practice c. Katherine should have been informed by the refugee division about the changes when they were implemented d. Katherine has no responsibility to adapt to changing laws and policies affecting professional practice since this is the job of CICC 3 7. Lillian (the Client) meets with you at your office to discuss a sponsorship application. While you are reviewing her documentation, Lillian reads the labels on some of the client files stacked on your desk. In this situation: a. You are required to keep client papers and other property out of sight, as well as out of reach, of those not entitled to see them b. You are not required to keep client papers and other property out of sight or out of reach, of those not entitled to see them c. You are not required to keep client papers and other property out of sight, as long as they are out of reach, of those not entitled to see them d. There are no requirements as per client's files 8. A client consults you about commencing an application under the Humanitarian and Compassionate Class. Based on what he is telling you and the documents he has produced, you do not think that he has a good case. On the other hand, you really need the money and, and he is very adamant about submitting the application. a. In this situation, you must honestly and candidly advise the client that you think his application won't be accepted. It is your obligation as an immigration consultant to decline the retainer and refer his case to someone else b. In this situation, you must honestly and candidly advise the client that since you consider that his application won't be accepted he must pay upfront c. In this situation, you must honestly and candidly advise the client that even though you think his application won't be accepted it is your obligation as an immigration consultant to take the case d. In this situation, you must advise the client honestly and candidly that, based on what he has told you and the documents produced to you, you do not think he has a good case 9. Michael is starting his practice as an immigration consultant and he decides to hire Martha as his assistant. Martha is a suspended immigration consultant that offers Michael her experience with immigration. She tells him that it is in his advantage for her to work for him and that he won't need to supervise her work. In this case: a. Michael's practice will be protected because Martha knows what she is doing b. Michael may employ or retain Martha in any capacity in his practice. The fact that she has been suspended by CICC is irrelevant c. Michael may not employ or retain Martha in any capacity in his practice since she has been suspended by CICC d. None of the above 4 10. A client, Linda, comes to your office for advice. Linda came to Canada under a student visa. She has been in Canada for 12 months and her visa is about to expire. She wishes to live here permanently. She asks you to file an application for refugee status on her behalf. According to the information and documents she has provided you think that she does not have a good case. Once you explain this to her she confesses that she made up the claim and that in reality she wants to prolong her stay in Canada. In this case: a. It is your obligation to represent Linda and keep her information confidential b. You must exercise due care and not assist in or encourage Linda in the provision of misleading information c. You must exercise due care in drafting and submitting Linda's claim in order to avoid the revealing of what Linda told you in confidence d. You are not allowed to decline representation. Once the client gives you his information you are obligated to represent her 11. In the case above. Assume that Linda insists in pursuing her claim: a. You must advise Linda that pursuing her claim would be consider dishonest and if despite the advice, she intends to pursue the proposed course of conduct, you must withdraw from acting in the matter b. You must advise Linda that pursuing her claim would be consider dishonest and if despite the advice, she intends to pursue the proposed course of conduct, you have no option but to continue with your representation c. You must advise Linda that pursuing her claim would be consider dishonest and if despite the advice, she intends to pursue the proposed course of conduct, you must contact the Board and inform them about Linda's intentions d. If the client wishes to continue with the case you must represent her all the way 12. The purpose of the Code of Ethics is: a. to protect CICC Members from unethical and high risk clients b. to set standards of conduct for Members, the fair and efficient enforcement of which should protect the public from unethical or incompetent practice by Members c. to protect the public from unprofessional, unethical, incompetent practice by lawyers and students at law d. None of the above 5 13. Louise represented Molly before the Immigration and Refugee Board for her refugee claim. Molly's claim was denied. Molly asks Louise to represent her in her appeal before the Federal Court. Louise explained to Molly that at this point the matter is not within her scope of practice but Molly insist saying that Louise only has to fill in the paper work and as long as Louise's name does not appear on the documents everything would be fine. In this case: a. Louise can draft the documents for Molly as long as she does not appear before the Federal Court b. Louise shall not undertake or provide advice with respect to this matter since it is outside her permissible scope of practice c. Louise shall not undertake or provide advice with respect to a matter that is outside the member's permissible scope of practice but in this case she is only drafting the documents. Therefore she is not violating the Code of Ethics d. None of the above 14. Alec (the "Member") is attending the Refugee Board on a refugee case matter. While waiting outside the hearing room for her matter to be called, Melanie, another immigration consultant, approaches him and yells at him claiming that he is taking her clients. In this case: a. Melanie is communicating with Alec in an abusive and offensive manner and her conduct constitutes a breach of the Code of Ethics b. Melanie is entitled to claim her clients back form Alec c. As an CICC member, Melanie, is not regulated as per communications with other ICCR members d. None of the above 15. In the case above. Assume that the situation between Alec and Melanie is just a misunderstanding. a. Even though Melanie is maligning the reputation of a colleague for personal motives she is not in breach of the Code of Ethics b. Melanie is not attacking Alec's reputation. She is looking after her business and her conduct does not constitute a breach of the Code of Ethics c. Melanie is maligning Alec's reputation for personal motives and her conduct constitutes a breach of the Code of Ethics d. None of the above 6 16. In the case above, Q14, assume that you are present when Melanie communicates with Alec and you see Melanie stealing files from Alec's bag when he leaves the hearing room. a. As an CICC member you are only required to report to the appropriate authority any illegal conduct by your colleagues but in this case Melanie's conduct cannot be considered illegal b. As an CICC member should report to the appropriate authority any unprofessional conduct but in this case Melanie's conduct cannot be considered unprofessional c. As an CICC member you are not required to report to the appropriate authority any unprofessional conduct by colleagues d. As an CICC member you should report to the appropriate authority any unprofessional, illegal or unethical conduct by your colleagues SECTION 2: Short Answer - 24 marks 17. Jena (the Client) has several invoices that have been outstanding for more than 120 days. You wish to put them in collection. What does the CICC code of ethics allow in such situations? - 5 marks _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 18. According to the Code of Ethics, define the following (include rule numbers from the CODE): 10 marks a. Conduct of unbecoming an CICC member _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 7 b. Practice _____________________________________________________________________________ _____________________________________________________________________________ c. Officer _____________________________________________________________________________ _____________________________________________________________________________ d. Professional Misconduct _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 8 19. With regard to quality of service, an CICC member must, at all times, use best efforts to: 5 marks _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ 20. Are Agents regulated by CICC? - 4 marks _____________________________________________________________________________ _____________________________________________________________________________ ~ End of Documents ~