Rovelyn Fuentes is an immigration consultant in Prince George, British Columbia. She specializes in family class sponsorship applications and sponsorship appeals to the Immigration Appeal Division of the IRB. Rovelyn is a sole practitioner and does not employ any assistants.

Six months ago, Rovelyn filed an in-Canada sponsorship application for Daewon Yun, the sponsor, to sponsor his wife, Sunghye Kim. There was no doubt in Rovelyn's mind that their marriage was genuine. The young Korean couple had started dating 3 years ago when Sunghye first arrived in Canada to work at Daewon's company. After a few months, they moved in together and have co-habited ever since. They travelled to Korea for their wedding last year.

Rovelyn submitted all the necessary forms, documents and supporting evidence required on the lengthy Document Checklist for in-Canada spousal sponsorships. Then they waited; these cases are usually processed by Immigration, Refugees and Citizenship Canada (IRCC) in six months to a year.

On March 1, Rovelyn received correspondence from IRCC on the couple's file. Rovelyn had submitted all the required forms and documents, but IRCC was requesting further information, as they are permitted to do. IRCC requested current credit reports, a complete copy of their Canada Revenue (CRA) income tax returns and Notices of Assessment for the last three years, and the four most recent bank statements for any accounts held by the spouses jointly or by either spouse. There was also a series of questions for each spouse to answer regarding their relationship, plus a request for Sunghye to update her Schedule A - Background Declaration form.

They were given until March 15 to provide the information. Rovelyn knew this was not a challenging task and mentally ran through the steps: explain the various pieces required to the clients, have them obtain the necessary items, come in to review everything, complete the package, and upload it in the portal.

However, Rovelyn was extremely busy. She had a sponsorship appeal hearing the next day (March 2) and three more appeals scheduled the following week. These cases needed her full attention this weekend and all next week.

She could give this matter her full attention from March 10-15. That should still be plenty of time, as the task was not challenging. She was confident the clients would have the documents needed from third parties or could access them online quickly, and the rest of it they could prepare and sign in her office. She would book an appointment with the couple for March 12or 13 to finalize and upload the package. Once she made this plan in her own mind, Rovelyn felt there was no point in sending IRCC's letter to the clients just yet - they would likely have several questions, and she did not have time to address them right now. She decided to wait until she had time to explain it properly and ensure they knew exactly what to do.

By late Friday March 9, her last appeal was finished. Rovelyn was ready to give this matter her full attention. On March 10, she left a voicemail for Daewon to call her, as an urgent matter had arisen on their file she needed to discuss with them. When there was no response by the next day, she left a voicemail for Sunghye with the same message. Hearing nothing by March 11, she emailed them both. In her email, she informed them they received a letter from IRCC asking for further information and it was urgent to call her. In her own mind, she started contemplating whether she might have to request an extension of time from IRCC. On the morning of March12 she received an email from Daewon. The were in Korea and had changed their SIM card, so did not get her calls, but just received her email. They had left unexpectedly March 6 due to the death of Sunghye's brother and would be back in Prince George late the next day, March13. They were just heading to the airport.

Rovelyn immediately sent another email asking if they could both to come into her office at 9am on March 14 to work on it. When the couple arrived at her office March 14, Rovelyn showed them the letter from IRCC with the whole list of items needed. Daewon asked for a copy, and she promised to photocopy it for them before they left.

First, they obtained the credit checks online for each spouse. When it came to ordering their CRA documents, Rovelyn learned that neither spouse had a CRA account. The tax companyH&R Blockhad prepared them and they did not have a copy but could likely get it from the company. Rovelyn decided it would be quicker to set up a CRA account for each of them to access them. However, that seemed to take forever, and after a frustrating two hours, the CRA system crashed. She decided to concentrate on the rest of the package. They completed the relationship questions, accessed all the banking information online, and updated Sunghye's Schedule A form. Everything else was ready, but the CRA system was still down at the end of the day.

Rovelyn asked them to contactH&R Blockin the morning and get a physical or electronic copy of their tax information. Since it was the last day, March 15, it was critical to get these to her as early as possible. If they were having any difficulty in the morning to let her know, and she would request an extension from IRCC.

While driving home that evening of March 14, Rovelyn hit a patch of black ice and her vehicle skidded off the road. She ended up in hospital, badly bruised and with a couple of cracked ribs. She was in excruciating pain, on pain killers making her very groggy for three days until she was discharged from hospital. When she was finally able to attend to her work matters on March 19, there were many frantic messages from Sunghye and Daewon. In one message, Daewon called fromH&R Block' s office requesting a copy of the letter from IRCC to confirm the precise documents being requested. Another message to Rovelyn enclosed their entire CRA files. But the deadline had passed, and Rovelyn contemplated her next steps.

Task

PART 1

Identify at least five specific obligations arising under theCodewhich Rovelyn clearly breached based on the facts in this scenario. For each obligation you identify, please specify the precise provision of theCodewhich sets out the obligation. For each obligation you identify that Rovelyn breached, please describe the precise actions or omissions of Rovelyn which made up the breach, including when (identifying dates where applicable) the breach occurred.

PART 2

Assume you were the RCIC who received the email from IRCC on March 1, facing the same schedule as Rovelyn. What specific steps would you take (afterreceiving this letter) to ensure that you did not breach any provisions of theCode?Your answer should provide concrete steps to illustrate your thinking in sufficient detail to allow your instructor to see how prepared you are to meet yourCodeobligations when receiving unexpected requests from the Immigration authorities at a busy time.

550 to 650 words.

Code of Professional Conduct for College of Immigration and Citizenship Consultants Licensees

Interpretation

Definitions

1 (1)The following definitions apply in this Code.

Act

means theCollege of Immigration and Citizenship Consultants Act. (Loi)

client

means a person or entity that

• (a)has entered into a consultation agreement or service agreement with a licensee;
• (b)consults with a licensee who provides or agrees to provide immigration or citizenship consulting services to them; or
• (c)having consulted with a licensee, reasonably concludes that the licensee has agreed to provide immigration or citizenship consulting services to them. (client)

Conflict of interest

(2)For the purposes of this Code, a conflict of interest exists if there is a substantial risk that a licensee

• (a)may improperly further their private interests or another person's interests, resulting in a material compromise to the licensee's ability to fulfill their professional obligations to a client; or
• (b)cannot fulfill their professional obligations to a client without materially compromising the licensee's ability to fulfill their professional obligations to another client or a former client.

Purpose and Application

Purpose

2This Code sets out the standards of professional conduct and competence that must be met by licensees of the College.

Application

3This Code applies to licensees, including in respect of anypro bonoimmigration or citizenship consulting services offered or provided by them.

General Standards

Professional Conduct

Standards of profession

4 (1)A licensee must uphold the standards of the profession and perform their professional obligations honourably and with integrity.

Conduct unbecoming

(2)A licensee must not engage in conduct that is likely to discredit the profession or jeopardize the public's confidence and trust in the profession.

Duty of loyalty

5A licensee must be loyal to their clients, including by avoiding conflicts of interest and by being committed to their clients' cause.

Duty of honesty and candour

6A licensee must be honest and candid when advising their clients.

Duty of civility

7A licensee must be courteous and civil in all of their professional dealings.

Relationship of trust

8A licensee must foster a relationship of trust with their clients, including by not taking advantage of their clients' vulnerabilities.

Compliance with applicable legislation

9A licensee must demonstrate law-abidance through compliance with all applicable legislation, including the Act and any regulations and by-laws made under the Act.

Discrimination

10A licensee must not, in any of their professional dealings, engage in a discriminatory practice within the meaning of theCanadian Human Rights Act.

Intimidation and coercion

11A licensee must not, in any of their professional dealings, intimidate or coerce any person, including by

• (a)applying undue pressure, directly or indirectly;
• (b)making physical or verbal threats;
• (c)engaging in any form of harassment, including sexual harassment;
• (d)using their knowledge about social and cultural norms to exploit a situation;
• (e)untruthfully asserting possible sanctions or administrative consequences; or
• (f)threatening, without reasonable grounds, to file a complaint with law enforcement authorities alleging a contravention of a federal or provincial law, initiate a criminal proceeding or make a complaint to an administrative or regulatory body.

Dishonesty, fraud or illegal conduct

12A licensee must not, in any of their professional dealings, knowingly assist in or encourage dishonesty, fraud or illegal conduct.

Inducement

13 (1)A licensee must not

• (a)offer an inducement to any organization or person for recommending the licensee to a client or referring a client to the licensee; or
• (b)solicit or accept an inducement from any organization or person for recommending the organization or person to a client or referring a client to the organization or person.

Non-application

(2)Paragraph (1)(a) does not apply in respect of an inducement offered to an agent who solicits clients for a licensee if the licensee registers the agent's name with the College in advance.

Fee

(3)A fee referred to in paragraph17(3)(d) or 18(3)(d) is not an inducement for the purposes of paragraph (1)(b).

Original documents

14 (1)A licensee must not take possession of any of a client's original documents unless the possession is for one of the following purposes and the documents are returned to the client as soon as that purpose has been achieved:

• (a)making copies;
• (b)complying with a legal requirement or a requirement of a government authority; or
• (c)a purpose to which the client has consented in writing.

Client documents

(2)A licensee must, at the request of the client, deliver to the client any documents or information in the licensee's possession that pertain to the client's application or expression of interest or to a proceeding in which the client is a party.

Conflicts of interest

15 (1)Subject to sections16 to 18, a licensee must not provide immigration or citizenship consulting services to a client if doing so would or could result in a conflict of interest unless the licensee has disclosed the nature and extent of the conflict to the client in writing and the client provides free and informed consent in writing.

Duty to avoid conflict

(2)Despite subsection (1), a licensee must not provide immigration or citizenship consulting services to a client, even with their consent, if doing so would result in a conflict of interest, unless the licensee has reasonable grounds to believe that they are able to advise and represent that client without compromising

• (a)their objectivity or the relationship of trust with any of their clients; or
• (b)their duty of confidentiality towards any of their clients or former clients.

Unauthorized behaviours

16 (1)The following behaviours constitute a conflict of interest to which a client cannot consent:

• (a)a licensee directly or indirectly lending money to, or borrowing money from, a client;
• (b)a licensee directly or indirectly undertaking any transactions with a client that are not in relation to the provision of immigration or citizenship consulting services; or
• (c)a licensee having an intimate personal relationship with a client or a former client within one year after the day on which the service agreement is completed or terminated before its completion, unless the client is the licensee's spouse at the time that the immigration or citizenship consulting services are provided or has cohabited with the licensee in a conjugal relationship for a period of at least one year before the services are provided.

Interpretationparagraph (1)(b)

(2)A client may consent to the behaviour referred to in paragraph (1)(b) if the transaction is fair and reasonable and the client has confirmed to the licensee in writing that they have received independent advice in respect of the transaction.

Definition ofemployment recruitment services

17 (1)For the purposes of this section,employment recruitment servicesmeans any of the following services:

• (a)seeking or obtaining employment for a client;
• (b)assisting or advising any person with respect to seeking or obtaining employment for a client;
• (c)assisting or advising an employer or another person with respect to hiring a client; or
• (d)referring a client to another person who offers the services referred to in any of paragraphs (a), (b) or (c).

Conflict of interestemployment recruitment services

(2)A licensee is in a conflict of interest if they provide both immigration or citizenship consulting services and employment recruitment services to a client who is aforeign national, as defined in subsection2(1) of theImmigration and Refugee Protection Act.

Conditions

(3)However, a licensee may provide both immigration or citizenship consulting services and employment recruitment services to a client who is a foreign national if the licensee

• (a)before providing those services, advises the client that they are not obligated to receive both services from the same individual and obtains the client's free and informed consent in writing to proceed;
• (b)ensures that the service agreement clearly differentiates between the immigration or citizenship consulting services and the employment recruitment services that will be provided to the client;
• (c)does not directly or indirectly charge a fee or disbursement to the client for any employment recruitment services;
• (d)discloses to the client the fees that the licensee is receiving from an employer for recruiting the client to work for the employer;
• (e)complies with all applicable legislation governing the provision of employment recruitment services; and
• (f)demonstrates honesty and candour towards the client and commitment to the client's cause, including by providing the client, before they begin working in Canada, with a copy of their employment contract and accurate information regarding the work that they will be doing and their wages, benefits and working conditions.

Definition ofstudent recruitment services

18 (1)For the purposes of this section,student recruitment servicesmeans any of the following services:

• (a)seeking or obtaining enrollment for a client at an institution that provides education or training to international students;
• (b)assisting or advising any person with respect to seeking or obtaining enrollment for a client at an institution that provides education or training to international students;
• (c)assisting or advising a representative of an institution that provides education or training to international students or any person with respect to admitting a client to such an institution; or
• (d)referring a client to another person who offers the services referred to in any of paragraphs (a), (b) or (c).

Conflict of intereststudent recruitment services

(2)A licensee is in a conflict of interest if they provide both immigration or citizenship consulting services and student recruitment services to a client who is aforeign national, as defined in subsection2(1) of theImmigration and Refugee Protection Act, unless the licensee is providing those services in their capacity as a salaried employee of an institution that provides education or training to international students.

Conditions

(3)However, a licensee may provide both immigration or citizenship consulting services and student recruitment services to a client who is a foreign national if the licensee

• (a)before providing those services, advises the client that they are not obligated to receive both services from the same individual and obtains the client's free and informed consent in writing to proceed;
• (b)ensures that the service agreement clearly differentiates between the immigration or citizenship consulting services and the student recruitment services that will be provided to the client;
• (c)does not directly or indirectly charge a fee or disbursement to the client for any student recruitment services;
• (d)discloses to the client the fees that the licensee is receiving from an institution that provides education or training to international students for recruiting the client to study at that institution;
• (e)complies with all applicable legislation governing the provision of student recruitment services; and
• (f)demonstrates honesty and candour towards the client and commitment to the client's cause, including by providing the client with accurate information regarding
  • (i)the institution they will be enrolled in, which includes providing a copy of their enrollment agreement, if any,
  • (ii)their program of study,
  • (iii)the tuition fees and the institution's refund policy, and
  • (iv)the services, support and benefits that the institution will be providing.

Competence

Competence and diligence

19 (1)A licensee must fulfill their professional obligations competently and diligently and must refrain from providing any immigration or citizenship consulting services that they are not competent to provide or that are beyond the scope of their licence.

Nature of competence

(2)To fulfill their professional obligations competently, a licensee must

• (a)have the knowledge and experience necessary to provide the required immigration or citizenship consulting services and offer sound and comprehensive advice to a client, including in-depth knowledge of theImmigration and Refugee Protection Actand theCitizenship Actand any related programs and policies;
• (b)have the oral and written communication skills necessary to protect a client's interests and present a client's case firmly and persuasively and within the limits of the law, including the ability to
  • (i)make clear and cogent oral and written representations in legal proceedings,
  • (ii)identify the salient points in an argument and respond to them effectively in the course of a hearing, and
  • (iii)know when it is appropriate to apply for an adjournment of a hearing and argue effectively for it;
• (c)meet any applicable provincial competency requirements in relation to the provision of immigration or citizenship consulting services;
• (d)be able to provide the services to the client in at least one of the official languages of Canada;
• (e)be able to deliver the services to the client using technology that is appropriate and effective; and
• (f)maintain a good working knowledge of the regulations and by-laws made under the Act that relate to the professional conduct and competence of licensees and of any related policies, procedures and guidelines of the College.

Obligation if not competent

20 (1)A licensee who lacks the competence to provide the required immigration or citizenship consulting services must

• (a)decline to act; or
• (b)with the client's consent, obtain assistance from another individual who is authorized to provide representation or advice under section91 of theImmigration and Refugee Protection Actor section21.1 of theCitizenship Actand who is competent to provide those services.

Requirementsservices of another

(2)If a licensee obtains assistance from another individual to provide the required immigration or citizenship consulting services,

• (a)the terms of the arrangement, as well as the name of the other individual who will be providing the services and the scope of the services, must be disclosed to the client in writing; and
• (b)any fees or disbursements in relation to the services provided by the other individual are subject to subsection31(3).

Maintaining competence

21A licensee must maintain the level of knowledge and skills required for the class of licence that they hold.

Delivering quality services

22 (1)When providing immigration or citizenship consulting services to a client, a licensee must

• (a)comply with the applicable deadlines and timelines for an application, expression of interest or proceeding;
• (b)conduct the client's affairs in an efficient and cost-effective manner;
• (c)communicate with the client in a timely and effective manner;
• (d)demonstrate cultural sensitivity;
• (e)obtain assistance, when necessary, including by retaining the services of an interpreter or translator; and
• (f)if applicable, provide instructions and guidance on how the client may access online information regarding their application, expression of interest or proceeding, including any associated processing information.

Actions taken when representing client

(2)When representing a client in respect of an application, expression of interest or proceeding, the licensee must ensure that all the necessary documents and information are, as applicable, properly prepared, signed and submitted.

Keeping client informed

(3) The licensee must provide timely information to the client in writing concerning the status of their case, including by

• (a) notifying the client when a document or information has been submitted or received on the client's behalf; and
• (b) on request, providing a copy of the documents that were submitted or received.

Interpreter or translator

(4) A licensee who retains the services of an interpreter or a translator must

• (a) instruct the interpreter or translator to
  • (i) accurately translate what is said, with no additions or modifications, and
  • (ii) keep the information confidential; and
• (b) take reasonable measures to ensure that the interpreter or translator
  • (i) is certified by an organization that is legally authorized to certify interpreters or translators, as the case may be, for the languages in question, or
  • (ii) if no certification process is available, is fluent in reading, writing or speaking the client's language, depending on the client's needs.