Compliance Audit Guide - registration.iccrc-crcic.caregistration.iccrc-crcic.ca/...//Compliance_Audit_Guide.pdf · The Compliance Audit Guide (or Guide) is designed to support you

©2018

www.iccrc-crcic.ca

Compliance Audit Guide

COMPLIANCE AUDIT GUIDE 2018-001

©2018 IMMIGRATION CONSULTANTS OF CANADA REGULATORY COUNCIL CONSEIL DE RÉGLEMENTATION DES CONSULTANTS EN IMMIGRATION DU CANADA

Page 2 of 74

Version: 2018-001 Last Modified: February 28, 2018



Page 3 of 74

Table of Contents

1. INTRODUCTION ...................................................................................................................................... 4

2. INFORMATION CONFIRMATION .......................................................................................................... 13

3. CREDENTIALS ....................................................................................................................................... 14

4. GOOD CONDUCT .................................................................................................................................. 16

5. COMPLIANCE AUDIT QUESTIONNAIRE (CAQ) ...................................................................................... 23

6. COMPLIANCE AUDIT FULL SUBMISSION ............................................................................................... 57



Page 4 of 74

1. INTRODUCTION If you are required to submit the compliance audit, you will receive a personalized “Notice of Compliance Audit” e-mail two (2) months prior to the deadline, which sets out the deadline and process of the compliance audit and provides a link to access your Compliance Audit Account. If this is your first time completing the online compliance audit, upon logging in to your Compliance Audit Account, you will be presented with a list of requirements (or tasks) that must be completed prior to submitting the compliance audit. If this is not your first time completing the online compliance audit, upon logging in to your Compliance Audit Account, you will see a list of your “Audit Submissions”. This list includes all of your previous compliance audit submissions, as well as your new submission for the current compliance audit cycle. Please note that the new submission is automatically given a temporary title (e.g., CA - 1010101010). Upon completing the “Information Confirmation” section, the title of your submission will update to reflect the compliance audit cycle you selected, as well as your full name. The Compliance Audit Account allows you to:

• Work on your compliance audit—which you can complete in one or more sessions • Complete required sections • Submit your compliance audit • View the status of your compliance audit • Submit additional and/or revised documents—as requested

The Compliance Audit Guide (or Guide) is designed to support you in completing the compliance audit. We encourage you to read through the Guide prior to beginning the compliance audit. Should you

require additional information on a question while completing the compliance audit, simply click the symbol next to the question and you will be directed to the relevant section of the Guide. How to Use your Compliance Audit Account To set up your Compliance Audit Account:

1) verify that your first and last name appear correctly (if they do not, e-mail [email protected] with a contact information change request),

2) create a password and type it in the space next to “Create a password” and “Confirm password”, and

mailto:[email protected]



Page 5 of 74

3) click “Submit”. To use your compliance audit account: a. Navigating your compliance audit account

Navigating your compliance audit account

Action

Go to the next page Click “Next” at the bottom of the page to go to the next page.

Go to the previous page Click “Back” at the bottom of the page to go to the previous page.

Save my work Click the “Save & Continue Editing” button at the bottom of the page to save your work.

Save my work and return to the home page of my Compliance Audit Account

Click the “Save and Exit” button at the bottom of the page to save your work and return to the home page of your Compliance Audit Account.

`Log out of my Compliance Audit Account

Save your work, click on your name in the top right corner of the page (or screen), and click "Sign out".

Return to the system and continue working on the compliance audit

Click on the Compliance Audit Account link (which is located in the “Notice of Compliance Audit” e-mail) and input your log-in details, to return to the system and continue working on your compliance audit. You may also access your Compliance Audit Account by going to the Members Section of the ICCRC website, clicking on “Compliance Audit”, and then clicking the “Compliance Audit Account” button.

View a previously edited/completed section of the compliance audit

Click “View”, which is located next to the name of the section, to view a previously edited/completed section of the compliance audit.

Continue working on a previously edited section of the compliance audit

Click “Edit”, which is located next to the name of the section, to continue working on a previously edited section of the compliance audit.

Delete all information from a previously edited/completed section of the compliance audit

Click “Delete”, which is located next to the name of the section, to delete all information from a previously edited/completed section of the compliance audit.



Page 6 of 74

b. Confirming completion of a section

c. Changing a saved response under the “Compliance Audit Questionnaire” task

When completing the “Compliance Audit Questionnaire” (CAQ) task, if you need to change a response that you have already saved (i.e., you already clicked “Save & Continue Editing” and/or “Next” and/or “Save & Exit” at the bottom of the page that contains the incorrect response), you must follow the steps below in order to correctly make the change:

When you have completed and saved a section, the “Status” of the section will turn from “Incomplete” (blue) to “Complete” (green). If you wish to make changes to a completed section, click “Edit”, under “Actions”.



Page 7 of 74

1. return to the homepage of the submission you are currently work on; 2. delete the incorrectly completed form by clicking “Delete” to the far right of the form (see

screen shot below). NOTE: To print a copy of the form prior to deleting it, click “View” to the far right of the form and then click “Print” in the top right corner of the form;

3. complete all sections of the CAQ; 4. click the “Save & Exit” button at the end of the form (see screen shot below) to save your

responses, to complete the CAQ and to return to the homepage.



Page 8 of 74

d. Changing a saved response under the “Full Submission” task

When completing the “Full Submission” task, if you need to change a response that you have already saved (i.e., you already clicked “Save & Continue Editing” and/or “Next” and/or “Save & Exit” at the bottom of the page that contains the incorrect response), you must follow the steps below in order to correctly make the change:

1. Click the “Clear” button for all multiple choice questions and/or delete text for all text box questions and/or select the blank option (i.e., the first option that has “---“) for all dropdown questions in reverse order (i.e., beginning with the last question and working backwards to the question you have changed or intend to change) located below the response you have changed or intend to change;

For example, if you need to change your saved response to question K1, clear the responses after K1, beginning with the final response on the page (K1.g, then K1.f, then K1.d, and finally K1).

The screen shot to the left shows the page prior to clearing (in reverse order) the responses that follow the incorrect response.



Page 9 of 74

2. refresh your browser by clicking the refresh button that is particular to your browser or by typing Ctl+R;

3. select the correct response(s);

The screen shot to the left shows the same page after clearing the responses that follow the incorrect response, beginning with the final response on the page.

For example, if “Yes” was incorrectly selected in response to question K1, then select “No”.



Page 10 of 74

4. click “Next” at the bottom of the page; and

5. submit the “Full Submission” section by completing the remaining pages and clicking “Save & Exit” at the end of Section O.

Please note that failure to follow the steps above may result in incorrect responses appearing on your Compliance Audit submission and/or incorrect file attachment boxes appearing in your Compliance Audit Account.



Page 11 of 74

e. Submitting the compliance audit

Upon submitting the compliance audit, you will receive a confirmation e-mail. f. Saving/printing a copy of the compliance audit

g. Taking further action, upon request of ICCRC

In the event supporting documentation is requested following submission of the compliance audit, you will receive an e-mail detailing the required action and directing you to complete the action through your Compliance Audit Account. Upon logging in to your Compliance Audit Account, you will see the required action(s) listed under “Task”.

When all sections have been completed, the “Submit Audit” button will appear.

When you are ready to submit the compliance audit, click the “Submit Audit” button. After clicking “Submit Audit”, you will not be able to make changes to the compliance audit.



Page 12 of 74

h. Viewing the status of the compliance audit

i. Receiving approval of the compliance audit Upon approval of your compliance audit, you will receive an e-mail from ICCRC notifying you of the approval and asking you to complete the Compliance Audit Survey. In the event you have a question that is not addressed in the Guide, please e-mail [email protected].

You may also log in to your Compliance Audit Account at any time to view the status of your compliance audit. Upon logging in, if there is a new section listed under “Task”, please complete that section. If, however, you see the message: “No further action is required at this time”, that means your compliance audit is under review and you will be notified by e-mail if you are required to do anything more.




Page 13 of 74

2. INFORMATION CONFIRMATION The Information Confirmation section is completed by all members for both the July 1 and January 1 deadlines. This section asks members to provide their contact information (including but not limited to home and business address, telephone, and e-mail address). However, please note that you are required to immediately notify the ICCRC and clients of any changes in contact information, including business address, telephone, fax (if available) and e-mail address. Changes to your contact information are to be made by e-mailing [email protected] (Article 14.1 of the Code of Professional Ethics, Article 5 of the By-law). When completing the compliance audit through your Compliance Audit Account, you are asked to review your first and last name and your e-mail address. This information appears at the beginning of the “Information Confirmation” section. If either your first or last name or e-mail address are incorrect, please e-mail [email protected] with a contact information change request. After reviewing your name and e-mail address, provide your up-to-date information, including:

• Preferred mailing address to be used by ICCRC (select either “Business” or “Home” from the drop-down menu)

• Preferred Language (select either “English” or “French” from the drop-down menu) • Primary Phone Number • Secondary Phone Number (as applicable) • Method of Business Operations (select either “Sole proprietor”, “Incorporation”, “Partnership”

or “Employed by other” from the drop-down menu) • Business Name

o Provide your primary (or main) business name, which is listed on the ICCRC website through the RCIC search tool.

• Business: Country, Street Address, City, Province/Territory/State, Postal Code/Zip Code, Phone Number, Fax Number o Provide your primary (or main) business address, which is listed on the ICCRC website

through the RCIC search tool. • Other Business (add up to one more business profile, which is listed on the ICCRC website

through the RCIC search tool, as applicable) • Home: Country, Street Address, City, Province/Territory/State, Postal Code/Zip Code, Phone,

Number, Cell Number (if different from Business or Home Phone Number), Personal E-mail Address

• Number of agents (as applicable)

You will then be asked to verify that the information provided is accurate and that you have notified ICCRC of any inaccuracies to your name and e-mail address, as needed, by clicking “I agree”. If you cannot verify that the information provided is accurate, correct the information before clicking “I agree”. Please note that you are required to immediately notify the ICCRC and clients of any changes in


http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Code_of_Professional_Ethics__Sept_2011.pdf




Page 14 of 74

contact information, including business address, telephone, fax (if available) and e-mail address. Changes to your contact information are to be made by e-mailing [email protected] (Article 14.1 of the Code of Professional Ethics, Article 5 of the By-law).

3. CREDENTIALS

The Credentials section must be completed by members, upon request from ICCRC. This section contains two (2) questions about the registration certificate, which is issued upon registering with ICCRC, and one (1) question about the ICCRC photo ID card.

B CREDENTIALS To be completed by members, upon request from ICCRC.

Question Additional Information

B1. Do you have an ICCRC full-size registration certificate (licence)?

All members are issued a full-size registration certificate typically within one (1) month of being accepted as a member. It is sent separately by Canada Post. If you received your ICCRC full-size registration certificate (licence), check “Yes”. If you did not receive your ICCRC full-size registration certificate (licence), check “No”. You will then be asked to provide an explanation as to the specifics of your situation.

B1.a You answered “No” to question B1. Provide an explanation below.

With as much detail as possible, provide an explanation as to the specifics of your situation. Include in your explanation when you became a member and what follow-up you have already had with ICCRC with regard to the full-size registration certificate. We will then determine whether it was lost in the mail and issue you another one, as needed. (See Additional Information under B1 for more detail.)

B2. Have you ever reproduced the image of your registration certificate – photocopy, scan or by any other method – and then posted that image on a website or other social media or displayed that duplicated image in a public place?

According to Section 12.5 of the By-law, “A Certificate of Registration shall not be reproduced in whole or in part in any manner whatsoever without the written consent of the Registrar.” If you have ever posted an image of your registration certificate or ICCRC photo ID card on social media or a website,check “Yes”. Similarly, if you have made a copy of the entire registration certificate, or a copy of part of



Page 15 of 74

the registration certificate, and hung the copy in a public place [including any of your offices and the office(s) of your agent(s)], check “Yes”. The Registrar’s Office will then follow-up directly with you. If you have never posted an image of your registration certificate or ICCRC photo ID card on social media or a website, check “No”. Similarly, if you have never made a copy of the entire registration certificate, or a copy of part of the registration certificate, and hung the copy in a public place [including any of your offices and the office(s) of your agent(s)], check “No”.

B2.a You answered “Yes” to question B2. Provide a detailed explanation below.

With as much detail as possible, provide an explanation as to the specifics of your situation. Include in your explanation a description of the format in which the image was reproduced (e.g., photocopy, scan, etc.) and where you posted the reproduced image (e.g., website, Facebook, Twitter, etc.). (See Additional Information under B2 for more detail.)

B3. Do you have an ICCRC photo ID card?

If you have an ICCRC photo ID card, check "Yes." If you do not have an ICCRC photo ID card, check "No."



Page 16 of 74

4. GOOD CONDUCT All members are required to complete the Ongoing Obligation to be of Good Character and Good Conduct section on an annual basis.

D ONGOING OBLIGATION TO BE OF GOOD CHARACTER AND GOOD CONDUCT

Question Additional Information D. I acknowledge that it is professional misconduct to make a false or misleading report to Immigration Consultants of Canada Regulatory Council (ICCRC).

If you agree with the declaration, check “I agree”.

D.a. I understand that information obtained during the compliance audit is kept confidential within ICCRC and is securely stored at all times.


D1. Are you currently the subject of any criminal proceeding or currently have criminal charges filed against you for which the final disposition or judgment has not yet occurred?

If you currently have an outstanding criminal matter before a court anywhere in the world, for which you have not plead or been found guilty, neither have you been acquitted, check “Yes”. You will then be asked to provide a detailed explanation on the criminal matter. If you do not currently have an outstanding criminal matter before a court anywhere in the world, for which you have not plead or been found guilty, neither have you been acquitted, check “No”.

D1.a You answered “Yes” to question D1. Provide a detailed explanation below.

With as much detail as possible, provide an explanation on the outstanding criminal matter for which you have not plead or been found guilty or been acquitted. Include in your explanation, a description of the nature of the offence/charges, the date of the alleged occurrence, the name of the court and the country in which the matter is being decided. (See Additional Information under D1 for more detail.)

D2. Are you currently subject to any outstanding arrest warrant in any province/territory or internationally?

If you are currently subject to any outstanding arrest warrant in any province/territory or internationally, or know or reasonably believe that an arrest warrant has been issued against you (for any reason, even if the police have not yet taken you into custody or charged you), anywhere in the world, check “Yes”. You will then



Page 17 of 74

be asked to provide a detailed explanation on the matter. If you are not currently subject to any outstanding arrest warrant in any province/territory or internationally, or know or reasonably believe that an arrest warrant has not been issued against you (for any reason, even if the police have not yet taken you into custody or charged you), anywhere in the world, check “No”.


With as much detail as possible, provide an explanation on the outstanding arrest warrant(s) and/or on the assumed arrest warrant(s). Include in your explanation a description of the nature of the alleged offence/charges, the date of the alleged occurrence, the jurisdiction and who has issued the warrant. (See Additional Information under D2 for more detail.)

D3. Have you been notified by any professional organization that you are the subject of a complaint that remains open?

This question refers to any type of professional organization of which you are a member (or former member), regardless if their purpose is immigration-related or not. If you have been notified by any professional organization that you are the subject of a complaint that remains open, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If you have not been notified by any professional organization that you are the subject of a complaint that remains open, check “No”.


With as much detail as possible, provide an explanation as to the open compliant(s) against you. Include in your explanation a description of the nature of the open compliant(s) against you. (See Additional Information under D3 for more detail.)

D4. Since July 1 of last year, have you plead guilty to, or been found guilty or convicted of, any criminal or other statutory offence in any jurisdiction for which a Pardon has not been granted?

If, since July 1 of last year, you have no offences (i.e., you have not plead guilty to, or been found guilty or convicted of, any criminal or other statutory offence in any jurisdiction for which a Pardon has not been granted), or your only offences relate to parking tickets or speeding less than 20 kms above the posted maximum speed limit, you may check “No”.



Page 18 of 74

If, since July 1 of last year, you have offences, check “Yes”. You will then be asked to provide a detailed explanation on the matter.


With as much detail as possible, provide an explanation on the criminal offences, or other statutory offence(s), in any jurisdiction for which you have plead guilty to, or been found guilty or convicted of, and have not been granted a Pardon. Include in your explanation a description of the offence(s) with the approximate dates of conviction and the penalty imposed. (See Additional Information under D4 for more detail.)

D5. Since July 1 of last year, have you been found guilty in a civil proceeding involving fraud, dishonesty or theft?

If, since July 1 of last year, you have been found guilty in a civil trial anywhere in the world specifically for fraud, dishonesty or theft, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If, since July 1 of last year, you have not been found guilty in a civil trial anywhere in the world specifically for fraud, dishonesty or theft, check “No”.


With as much detail as possible, provide an explanation on the civil proceeding at which you were found guilty of either: fraud, dishonesty or theft. Include in your explanation a description of the charge for which you have been found guilty of committing, the date of the convicted act, the jurisdiction of court where the trial took place, and the punishment imposed by the court. (See Additional Information under D5 for more detail.)

D6. Since July 1 of last year, have you disobeyed an order of any court in any jurisdiction?

If, since July 1 of last year, you have disobeyed an order of any court in any jurisdiction, whether it was immigration-related or not, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If, since July 1 of last year, you have not disobeyed an order of any court in any jurisdiction, whether it was immigration-related or not, check “No”.


With as much detail as possible, provide an explanation as to how and why you disobeyed an order of the court from any jurisdiction, whether it was immigration-related or not. (See Additional Information under D6 for more detail.)



Page 19 of 74

D7. Since July 1 of last year, have you been the subject of a human rights finding, or been suspended, disqualified, censured, expelled or otherwise disciplined (other than for non-payment of dues and fees, or for failing to maintain continuing professional development requirements) by any court, tribunal, licensing or regulatory body, or professional organization, in Canada or internationally, for any offence that constituted misconduct or professional misconduct (regardless of how defined), or for any offence that affected members of the public, or for any offence that was deemed to bring that profession into public disrepute?

If, since July 1 of last year, you have been: • Named in a legal matter before a Human Rights

Tribunal; and/or • Suspended or disciplined/punished in some way

by any type of court, tribunal, licensing or regulatory body or professional association, anywhere in the world, for something other than non-payment of dues and fees, or for failing to maintain continuing professional development requirements; and/or

• Found guilty by another organization for something they believe affected the public and/or for lowering the opinion of the organization or the profession represented by the organization if what you did became known to the public,

then check “Yes”. You will then be asked to provide a detailed explanation on the matter. If, since July 1 of last year, you have not:

• Been named in a legal matter before a Human Rights Tribunal; and/or

• Been suspended or disciplined/punished in some way by any type of court, tribunal, licensing or regulatory body or professional association, anywhere in the world, for something other than non-payment of dues and fees, or for failing to maintain continuing professional development requirements; and/or

• Been found guilty by another organization for something they believe affected the public and/or for lowering the opinion of the organization or the profession represented if what you did became known to the public,

then check “No”.


With as much detail as possible, provide an explanation on each issue that applies to you in question D7. Include in your explanation a description of the name of the professional organization, the nature of the charge, the date the event occurred, the date the verdict was given, and the punishment given. (See Additional Information under D7 for more detail.)



Page 20 of 74

D8. Since July 1 of last year, have you been banned from practice by a provincial immigration authority or Provincial Nominee Program?

If, since July 1 of last year, you have been banned from practice by a provincial immigration authority or Provincial Nominee Program (PNP), check “Yes”. You will then be asked to provide a detailed explanation on the matter. If, since July 1 of last year, you have not been banned from practice by a provincial immigration authority or PNP, check “No”.


With as much detail as possible, provide an explanation as to why you were banned from practice by a provincial immigration authority or Provincial Nominee Program (PNP). Include in your explanation the name of the PNP, the date you were notified of being banned, and what you have been accused of committing.

D9. Since July 1 of last year, have you been refused admission to, or had a membership in a licensing or other professional organization revoked, for reasons relating to a lack of good character?

If, since July 1 of last year, you applied to join any other organization, anywhere in the world, and were turned down (i.e., refused), or if your membership was already cancelled (i.e., revoked), because the organization ruled that you are not of good character, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If, since July 1 of last year, you have not had an application turned down, or your membership cancelled, in any organization for reasons of good character, check “No”.


With as much detail as possible, provide an explanation as to why your application was turned down (i.e., refused), or why your membership was cancelled (i.e., revoked) from any organization, for reason of lack of good character. Include in your explanation the name of each professional organization from which you were refused or revoked, the date your application was refused or your membership was revoked, and the reason cited for the refusal/revocation.

D10. Since July 1 of last year, have you been penalized or sanctioned in any way (other than minor reduction in a non-final grade) for misconduct or plagiarism while enrolled in any educational institution?

If, since July 1 of last year, you are or had been enrolled in an educational institution, anywhere in the world, as a part-time or full-time student, and were penalized or punished for misconduct or plagiarism where the punishment was more severe than just having your grades reduced, check “Yes”. You will then be asked to provide a detailed explanation on the matter.



Page 21 of 74

If, since July 1 of last year, you are not or had not been enrolled in an educational institution, anywhere in the world, as a part-time or full-time student, and were not penalized or punished for misconduct or plagiarism where the punishment was more severe than just having your grades reduced, check “No”.


With as much detail as possible, provide an explanation on each instance in which you were penalized or punished for misconduct or plagiarism. Include in your explanation a description of the name of the institution, the date of the offence, and the punishment imposed. (See Additional Information under D10 for more detail.)

D11. Since July 1 of last year, are you currently insolvent, or subject to a petition or assignment in bankruptcy, or have made a proposal to creditors under the Bankruptcy and Insolvency Act (Canada), or equivalent legislation of any other jurisdiction, or subject to a wage or income garnishment?

If, since July 1 of last year, you are currently insolvent, or subject to a petition or assignment in bankruptcy, or have made a proposal to creditors under the Bankruptcy Act (Canada) or equivalent legislation of any other jurisdiction, or subject to a wage or income garnishment, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If you were never insolvent, or subject to a petition or assignment in bankruptcy, or have never made a proposal to creditors under the Bankruptcy and Insolvency Act (Canada) or equivalent legislation of any other jurisdiction, or subject to a wage or income garnishment, check “No”. If you were bankrupt in the past (prior to July of last year), or entered into a formal creditor proposal, but those matters are now finished and you have been issued a discharge certificate, you may also check “No”.


With as much detail as possible, provide an explanation as to your current state of insolvency and/or how and why you are subject to a petition or assignment in bankruptcy and/or how and why you made a proposal to creditors under the Bankruptcy and Insolvency Act (Canada) or equivalent legislation of any other jurisdiction. (See Additional Information under D11 for more detail.)

D12. Have you ever violated the Immigration and Refugee Protection Act (Canada), or the Citizenship Act (Canada), or the Regulations thereunder, by representing

If you have ever violated the Immigration and Refugee Protection Act (Canada), or the Citizenship Act (Canada), or the Regulations thereunder, regardless of when it may have happened, by knowingly representing immigration clients for compensation while under suspension from,



Page 22 of 74

immigration clients for a fee before the Minister without authorization under that Act or its Regulations?

or not having a required membership in, a body designated by the Minister to register and regulate consultants, lawyers or notaries, check “Yes”. You will then be asked to provide a detailed explanation on the matter. If you have never violated the Immigration and Refugee Protection Act (Canada), or the Citizenship Act (Canada), or the Regulations thereunder, check “No”.


With as much detail as possible, provide an explanation on each instance in which you violated the Immigration and Refugee Protection Act (Canada) or the Citizenship Act (Canada) or the Regulations thereunder. Include in your explanation the date the violation occurred and a description of the violation. (See Additional Information under D12 for more detail.)

D13. Have you ever had a claim paid out under an errors and omissions insurance program for work in which you were involved?

If you have ever made an errors and omissions insurance claim (regardless of when it may have happened), relating to work where the insurance company actually paid compensation to one of your client(s), check “Yes”. You will then be asked to provide a detailed explanation on the matter. If you have never made an errors and omissions insurance claim, or if you have made an errors and omissions insurance claim that was dismissed with no pay-out being made, check “No”.


With as much detail as possible, provide an explanation on each errors and omissions insurance claim for which the insurance company paid compensation to one of your client(s). Include in your explanation a description of the date of each claim, the amount paid out, and what happened that resulted in the claim. (See Additional Information under D13 for more detail.)

D14. I solemnly declare that the information provided in this on-line Ongoing Obligation to be of Good Character and Good Conduct form, together with any and all documents submitted to support my audit, is a true and accurate reflection of my practices as a Regulated Canadian Immigration Consultant (RCIC).




Page 23 of 74

5. COMPLIANCE AUDIT QUESTIONNAIRE (CAQ) All members complete the CAQ annually for the July 1 deadline. The questions of the CAQ are presented below along with corresponding additional information to guide you in your responses.

F CLIENT ACCOUNT To be completed by all members who have taken the Client Account course.

Question Additional Information F1. Did you complete the Client Account course?

If you completed the Client Account course, check “Yes”. You will then be asked a series of questions about your practice and subsequent compliance with the Client Account Regulation. If you have not completed the Client Account course, check “No”.

F1.a. You answered “No” to question F1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement." once you are ready to proceed. You will then be directed to the “Retainer Agreement” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

F2.b Have you ever received money to be held on behalf of the client for:

a. future unbilled services; b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements?

If you have held money on behalf of a client at any time, check “Yes”. If you have never held money on behalf of a client, check “No”.

F2.c Do you currently have permission from ICCRC to be exempted from opening and/or maintaining a client account?

If you have submitted the annual declaration, in the prescribed form, and been granted an exemption in writing from ICCRC, under Section 3.3 of the Client Account Regulation, not to open and/or maintain a client account, check “Yes”.

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Client_Account_Regulations_FINAL_24Feb2012.pdf


https://iccrccrcic365.sharepoint.com/ICCRC-WEBSITE/Shared%20Documents/Public/English/Practice%20Management%20Education%20Regulation.pdf?slrid=9c46589e-d061-5000-61f6-766717d1713e






Page 24 of 74

If you have not submitted the annual declaration, in the prescribed form, and been granted an exemption in writing from ICCRC, under Section 3.3 of the Client Account Regulation, not to open and/or maintain a client account, check “No”.

F2.c.i. Please note the expiration date of your client account exemption and ensure that you renew your exemption annually, before April 30th.

Read the information carefully, and check "I understand the requirement” once you are ready to proceed. To request a renewal of your client account exemption, complete and submit a new Statutory Declaration form and mail it to: ICCRC-CRCIC Office of the Registrar 5500 North Service Rd., Suite 1002 Burlington ON L7L 6W6 The Registrar’s Department will then confirm with you whether or not your client account exemption has been renewed. Note: Regardless of whether an exemption has been granted, if a Member chooses to hold money on behalf of a client he/she must have a client account before receiving the money (see Section 3.4 of the Client Account Regulation).

F2.d For the period that I have permission not to open and/or maintain a client account, I will not receive from a client any money to be held on behalf of a client for: a. future unbilled services; b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements. unless I have a client account prior to receiving said money.

If you agree, for the period that you have permission not to open and/or maintain a client account (as per the annual declaration form), not to receive from a client any money to be held on behalf of a client for:

a. future unbilled services; b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements (as per Section

3.2 of the Client Account Regulation) unless you have a client account pursuant to Section 3.1 of the same Regulation (as per Section 3.4 of the same Regulation), check “I agree”. If you do not agree, for the period that you have permission not to open and/or maintain a client account (as per the annual declaration form), not to receive from a client any money to be held on behalf of a client for:

a. future unbilled services;






Page 25 of 74

b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements (as per Section

3.2 of the Client Account Regulation unless you have a client account pursuant to Section 3.1 of the same Regulation (as per Section 3.4 of the same Regulation), please review section 1.c of this Guide to change your previous response(s).

F5. Do you have a client account?

According to Section 2.2.c of the Client Account Regulation, a client account is “a savings or chequing account opened by a Member at a Financial Institution in which account the Member holds funds received from or on behalf of one or more Clients and which is designated in the Member’s records as a Client Account.” A trust account also fulfills the requirement of a client account. Furthermore, a financial institution is defined in the same Regulation as a “ Canadian chartered bank; Canadian loan or trust company; Canadian provincial savings office; Canadian credit union or league regulated under Canadian or provincial/territorial statute; ; Canadian registered trust corporation; or government-regulated and registered Financial Institution, as approved by the Registrar, in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to the Member’s practice.” (Section 2.2.f of the same Regulation) If you have a client account (or trust account) that meets the definition under Section 2.2.c of the same Regulation, check “Yes”. If you do not have a client account (or trust account) that meets the definition, check “No”. You will then be asked to provide a detailed explanation as to why you do not have a client account.

F5.a You answered “No” to question F5. Provide a detailed explanation below as to why you have not fulfilled this requirement.

According to Section 3.1 of the Client Account Regulation, you are required to have a client account. With as much detail as possible, provide an explanation as to why you do not have a client account. (See Additional Information under F5 for more detail.)








Page 26 of 74

F5.b For each of your open client accounts, list the following information in the space provided below:

• The name and address of the financial institution at which the client account was opened; and

• The account number of the client account.

Section 4.5 of the Client Account Regulation requires members to: “…provide written notice to the Council by e-mailing [email protected] of each Client Account maintained by the Member promptly and in no event later than fifteen (15) calendar days of opening or closing a Client Account, which notice shall set out the date that the Client Account was opened or closed, the name and address of the Financial Institution at which the Client Account is opened and the account number of the Client Account.” Type the following information in the space provided for each of your open client accounts:



F6. If you are in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice, did you receive an approval from the Registrar for the government-regulated and registered Financial Institution at which your client account is opened?

According to Section 2.2.f of the Client Account Regulation, if you are in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice, you may request to have a government-regulated and registered Financial Institution approved by the Registrar. If you are not in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice, check “Not Applicable”. If you are in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice and you have received an approval from the Registrar to use a government-regulated and registered Financial Institution, check “Yes”. If you are in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice and you have not received an approval from the Registrar, check “No”. You will then be asked to provide a detailed explanation as to why you did not receive an approval from the Registrar.


According to Section 2.2.f of the Client Account Regulation, if you are in a foreign country for which there is no Canadian banking presence at a reasonable distance or access to your practice, you may ask for an approval from the Registrar for a government-regulated









Page 27 of 74

and registered Financial Institution. This, however, does not mean that you will be granted the approval. With as much detail as possible, provide an explanation as to why you have not received an approval from the Registrar. (See Additional Information under F6 for more detail.)

F7. In whose name is the client account? (Choose one of the following.) • My name • The name of the entity under which I

conduct business • The name of the firm under which I

conduct business • The name of the firm in which I am a

partner • The name of the partners of the firm

in which I am a partner • Other

According to Section 3.1 of the Client Account Regulation, the client account is to be “in the name of the Member, or in the name of the Entity under which the Member conducts business, or in the name of the Firm under which the Member conducts business, or in the name of the Firm of which the Member is a partner, or in the name of the partners of the Firm in which the Member is a partner…”. If the client account is in your name, check “My name”. If the client account is in the name of your company, check “The name of the entity under which I conduct business”. If the client account is in the name of your legal firm, check “The name of the firm under which I conduct business”. If the client account is in the name of the firm of which you are a partner, check “The name of the firm of which I am a partner”. If the client account is in the name of the partners of the firm and you are a partner in that firm, check “The name of the partners of the firm in which I am a partner”. If the account holder of the client account is not described above, check “Other” and type a description of the account holder in the space provided. You will then be asked to provide a detailed explanation as to who owns/operates the client account.

F7.a You answered “Other” to question F7. Provide a detailed explanation below as to why you have not fulfilled this requirement.

According to Section 3.1 of the Client Account Regulation, the client account is to be “in the name of the Member, or in the name of the Entity under which the Member conducts business, or in the name of the firm under which the Member conducts business, or in the name of the firm of which the Member is a partner,







Page 28 of 74

or in the name of the partners of the firm in which the Member is a partner…”. With as much detail as possible, provide an explanation as to why the client account is in the name of someone other than those account holders described in Section 3.1 of the Regulation. Include in your explanation a description of who owns/operates the client account. (See Additional Information under F7 for more detail.)

F8. Since the beginning of the audit cycle for which you are reporting, which model of depositing funds did you use?

According to Section 4.2.b of the Client Account Regulation, ICCRC recognizes two distinct approaches to depositing money into the client account: Model 1 and Model 2. Model 1 means that all Monies received from clients shall be deposited into the Client Account, regardless of whether or not they are earned at the time of receipt. And Model 2 means that a Member shall deposit all unearned and unbilled Monies into the Client Account; however, all earned client funds may be directly deposited into the general/business account. Furthermore, Section 4.2.c of the same Regulation states that “A Member shall choose either Model 1 or 2 and apply it consistently for the entire audit year.” To further clarify, the audit year is from July 1-June 30. If you have never had a client or have not had a client since taking the Client Account course, you are still required to choose either Model 1 or 2 as your intended approach to deposit money into the client account (see Section 4.2.c of the same Regulation). If you used Model 1 since the beginning of the audit cycle for which you are reporting or since taking the Client Account course, check “a. Model 1—All funds deposited into client account”. If you used Model 2 since the beginning of the audit cycle for which you are reporting, check “b. Model 2—Unearned funds deposited in client account”. If you did not use either model since the beginning of the audit cycle for which you are reporting, check “I did not use either model”. You will then be asked to provide a detailed explanation as to why you did not use either Model 1 or Model 2 properly and consistently for the entire audit year.





Page 29 of 74

F8.a You answered “I did not use either model” to question F8. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why you did not use either Model 1 or Model 2 for the entire audit year. (See Additional Information under F8 for more detail.)

F9. Since the beginning of the audit cycle for which you are reporting, did you receive or maintain any unearned client funds?

Did you collect (i.e., receive) any unearned/unbilled client funds since the beginning of the audit cycle for which you are reporting? And/or did you have (i.e., maintain) any unearned/unbilled client funds in your client account since the beginning of the audit cycle for which you are reporting? If you answer “Yes” to one or both of these questions, check “Yes”. You will then be asked two follow-up questions relating to how you handled the unearned client funds. If you answer “No” to both of these questions, check “No”.

F10. How did you handle the unearned client funds? a. Deposited the funds according to

Section 4 of the Client Account Regulation.

b. Withdrew funds according to Section 6 of the Client Account Regulation.

F10.a. As per Section 4 of the Client Account Regulation a member shall: • Deposit all unearned/unbilled client funds into

his/her client account (Section 4.2.a). • Choose either Model 1 or 2 and apply it consistently

for the entire audit year (Section 4.2.c). • If working as an Employee for an Immigration

Agency, deposit Client funds into his/her Client Account (Section 4.3).

• Notify ICCRC of each of the member’s client accounts promptly and in no event later than fifteen (15) calendar days of opening or closing a client account (Section 4.5).

If you took care of client funds in such a way as to comply with all of these requirements, check “Yes”. If you did not take care of client funds in such a way as to comply with all of these requirements, check “No”. You will then be asked to provide a detailed explanation for each area in which you did not comply with the requirements.







Page 30 of 74

F10.b. As per Section 6 of the Client Account Regulation a member: • May withdraw money from the client account for the

following reasons: o Payment of client-authorized disbursements

(Section 6.1.a.i); o Reimbursement of invoiced disbursements

(Section 6.1.a.ii); o Payment of invoiced professional service fees

(Section 6.1.a.iii); o Transferring client funds, upon written direction

of the client, to the client account of another member or to the trust account of a Lawyer or Quebec Notary (Section 6.1.a.iv);

o Correcting a deposit that should never have been made to the client account (Section 6.1.a.v); or

o Refunding the client (Section 6.1.a.vi). • Shall not at any time withdraw from a Client

Account in connection with a Client more Money than is held on behalf of such Client in that Client Account at that time. (Section 6.3.a).

• Shall withdraw Money from a Client Account only: o by cheque; or (Section 6.4.a.i.); o for purposes of section 6.1 (a)(ii), (iii), (v) of that

Regulation, by an electronic transfer to government or to a bank account that is kept in the name of the Member; or (Section 6.4.a.ii); or

o for purposes of section 6.1 (a)(iv) or 6.2 of this Regulation, by an electronic transfer to a bank account that is kept in the name of another Member, a Lawyer or a Québec Notary, or the Client. (Section 6.4.a.iii).

• shall not draw a cheque on a client account: o Made payable either to cash or bearer (Section

6.5.a.i); or o signed by a person who is not a Member except

in exceptional circumstances, as authorized in writing by the Registrar of the Council in accordance with policies implemented by the Council from time to time. (Section 6.5.a.ii).

If you took care of client funds in such a way as to comply with all of these requirements, check “Yes”. If you did not take care of client funds in such a way as to comply with all of these requirements, check “No”. You




Page 31 of 74

will then be asked to provide a detailed explanation for each area in which you did not comply with the requirements.

F10.c You answered “No” to question F10.a and/or b. Provide a detailed explanation below as to why you have not fulfilled this requirement.

F10.a. With as much detail as possible, provide an explanation(s) as to why you did not take care of client funds in such a way as to comply with each of the requirements under Section 4 of the Client Account Regulation. (See Additional Information under F10.a for more detail.) F10.b. With as much detail as possible, provide an explanation(s) as to why you did not take care of client funds in such a way as to comply with each of the requirements under Section 6 of the Client Account Regulation. (See Additional Information under F10.b for more detail.) In the event you received authorization by the Registrar to withdraw from the client account client funds under Section 6.2 of the same Regulation (other than the client funds referred to in Section 6.1 of the same Regulation), ensure that your detailed explanation provides the details surrounding this authorization.

F11. Do you have money in the client account that belongs to you, other than a reasonable amount to cover administrative fees?

According to Section 5.1 of the Client Account Regulation, money belonging to the member or to a group of members shall not be deposited into the client account, with the exception of “…a reasonable amount to cover administrative fees (e.g., bank fees, credit card fees etc.).” If you have personal money in the client account, other than a reasonable amount to cover administrative fees, check “Yes”. You will then be asked to provide a detailed explanation as to why there is personal money in the client account. If you do not have personal money in the client account, other than a reasonable amount to cover administrative fees, check “No”.









Page 32 of 74

F11.a You answered “Yes” to question F11. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why there is personal money in the client account, other than a reasonable amount to cover administrative fees. Include in your explanation the amount of personal money that is in the client account. (See Additional Information under F11 for more detail.)

F11.b Do you have a lien on or security interest in your client account?

According to Section 5.2 of the Client Account Regulation, a member shall not “…grant a lien on or security interest in any Client Account under any circumstances, other than those arising by operation of law.” In other words, you are not permitted to use the client account as surety against your personal debt. If you have a lien on or security interest in your client account, check “Yes”. You will then be asked to provide a detailed explanation as to why you granted a lien on or security interest in the client account. If you do not have a lien on or security interest in your client account, check “No”.

F11.c You answered “Yes” to question F11.b. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why you granted a lien on or security interest in the client account. Include in your explanation a description of the lien and/or security interest arrangement. (See Additional Information under F11.b for more detail.)

F12. Since the beginning of the audit cycle for which you are reporting, did your client account earn any interest?

If the client account earned any amount of interest since the beginning of the audit cycle for which you are reporting, check “Yes”. You will then be asked two follow-up questions relating to how you handled the earned interest. If the client account did not earn any amount of interest since the beginning of the audit cycle for which you are reporting, check “No”.

F12.a What did you do with the interest?

i. Interest earned on the general client account was transferred to the general/business account.

ii. Interest earned on any client-specific client accounts was given to the client.

F12.a.i According to Section 7.1 of the Client Account Regulation, interest earned on a general client account (i.e., a client account in which client funds from more than one client are held) belongs to the member and shall be credited to the member’s general/business account in order to keep client and member property separate (Article 2.2.9.iv of the Code of Professional








Page 33 of 74

Ethics and Section 8.1 of the Client File Management Regulation). If you transferred all interest earned on the general client account since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, to the general/business account, check “Yes”. If you did not transfer all interest earned on the general client account since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, to the general/business account, check “No”. You will then be asked to provide a detailed explanation as to why you did not transfer the earned interest to your general/business account. F12.a.ii According to Section 7.2 of the Client Account Regulation, in the event of a client-specific client account (i.e., a client account which was opened at the request of the client in order to exclusively hold client funds for that client), then the interest belongs to the client and shall be credited to the client. If you credited all interest earned on the client-specific client account to the client since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “Yes”. If you did not credit all interest earned on the client-specific client account to the client since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “No”. You will then be asked to provide a detailed explanation as to why you did not credit the earned interest to the client.

F12.b You answered “No” to question F12.a.i and/or ii. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation(s) as to why you did not comply with Section 7.1 and/or 7.2 of the Client Account Regulation. (See Additional Information under F12.a.i and/or ii for more detail.)

F13. Since the beginning of the audit cycle for which you are reporting, did you have

According to Section 8.1 of the Client Account Regulation, every member is required to “…maintain sufficient balances on deposit in his or her Client


http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Client_File_Management_Regulation_FINAL.pdf









Page 34 of 74

enough money in the client account to meet all of your client obligations?

Accounts to meet all of his or her obligations with respect to Money held on behalf of his or her Clients.” In other words, members shall ensure that unearned/unbilled money received by the member on behalf of a client is deposited into the client account and is only withdrawn for authorized service fee and disbursement payments in connection with that client. If you had enough money in the client account to meet all of your client obligations since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “Yes”. If you did not have enough money in the client account to meet all of your client obligations since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “No”. You will then be asked to provide a detailed explanation as to why you didn’t have enough money in your client account to meet all client obligations.


With as much detail as possible, provide an explanation as to why you did not have enough money in the client account to meet all of your client obligations since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course. (See Additional Information under F13 for more detail.)

F14. In reconciling the client account, do you have the following documents: bank statement, detailed client account reconciliation statement and client list for every month since the beginning of the audit cycle for which you are reporting?

According to Section 9.1.b of the Client Account Regulation, members are required to store the reconciliation documents (including the client account bank statement, the detailed client account reconciliation statement and the client list) in the office of the member’s principal business address for no less than six (6) years. If you have the client account reconciliation documents (bank statement, detailed client account reconciliation statement and client list) for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “Yes”. If you do not have the client account reconciliation documents (bank statement, detailed client account reconciliation statement and client list) for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “No”. You will then be asked to provide a detailed





Page 35 of 74

explanation as to why you have not complied with the requirement.


With as much detail as possible, provide an explanation as to why you do not have the required client account reconciliation documents (e.g., bank statement, detailed client account reconciliation statement and client list) for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course. (See Additional Information under F14 for more detail.)

F15. In reconciling the client account, do you have the bank statement for each month since the beginning of the audit cycle for which you are reporting?

According to Section 9.1.b of the Client Account Regulation, members are required to store the reconciliation documents (including the bank statement) in the office of the member’s principal business address for no less than six (6) years. If you have the client account bank statement for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “Yes”. If you do not have the client account bank statement for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “No”. You will then be asked to provide a detailed explanation as to why you have not complied with the requirement.


With as much detail as possible, provide an explanation as to why you do not have the required client account bank statement for every month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course. (See Additional Information under F15 for more detail.)

F16. Since the beginning of the audit cycle for which you are reporting, has your client account reconciled each month?

According to Section 9.1.a of the Client Account Regulation, members are required to reconcile all client accounts opened in their name promptly and in no event later than ninety (90) calendar days after each month’s end. If your client account has reconciled each month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “Yes”.







Page 36 of 74

If your client account has not reconciled each month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course, check “No”. You will then be asked to provide a detailed explanation as to why your client account has not reconciled each month.


With as much detail as possible, provide an explanation as to why your client account has not reconciled each month since the beginning of the audit cycle for which you are reporting, or since taking the Client Account course. Include in your explanation a list of the specific months which did not reconcile, the reasons why they didn’t reconcile, and what actions you have taken to resolve the issue. (See Additional Information under F16 for more detail.)

G RETAINER AGREEMENT

To be completed by all members who have taken the Retainer Agreement course.

Question Additional Information G1. Did you complete the Retainer Agreement course?

If you completed the Retainer Agreement course, check “Yes”. You will then be asked a series of questions about your practice and compliance with the Retainer Agreement Regulation. If you have not completed the Retainer Agreement course, check “No”.

G1.a. You answered “No” to question G1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Client File Management” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Retainer_Agreement_Regulations_FINAL_14May2012.pdf






Page 37 of 74

G3. Since the beginning of the audit cycle for which you are reporting, did you complete an initial consultation agreement with each paying client?

The initial consultation agreement is a client assessment and/or advice service agreement between a member and his or her client which serves as a record of the purpose, fee, and date of said advice, and which is signed by both parties (see Section 3.2.i of the Retainer Agreement Regulation). Members are required, under Sections 3.2.i and 4.1 of the same Regulation, to enter into an initial consultation agreement whenever providing a consultation for a fee. If you completed an initial consultation agreement with each paying client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, check “Yes”. If you have not completed an initial consultation agreement with each paying client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, check “No”. You will then be asked to provide a detailed explanation as to why you did not complete an initial consultation agreement with each paying client. If you have never had a client, click “I have never had a client”. If you have not had a client since taking the Retainer Agreement course, click “I have not had a client since taking the Retainer Agreement course”.

G3.a You answered “No” to question G3. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why you did not complete an initial consultation agreement with each paying client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course. Include in your explanation a description of the number of paying clients you advised without entering into an initial consultation agreement, the events surrounding these consultations and the reasons why an initial consultation agreement was not completed with each client. (See Additional Information under G3 for more detail.)

G4. Since the beginning of the audit cycle for which you are reporting, did you

According to Sections 4.2-6 of the Retainer Agreement Regulation, a member shall enter into a retainer agreement, which details the scope of services between the client and the member, for all services a Member undertakes for a fee or other consideration or pro bono.







Page 38 of 74

complete a retainer agreement with each client?

The only exception to the requirement to enter into a retainer agreement is where another authorized representative has signed the retainer agreement with the client —see Section 4.3 of the same Regulation. In this situation, if there is “…more than one Member representing the Client, the Retainer Agreement shall identify the functions each Member will perform.” (Section 6.4 of the same Regulation). If you completed a retainer agreement with each client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, with the exception of clients who signed the retainer agreement with another authorized representative, check “Yes”. If you did not complete a retainer agreement with each client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, with the exception of clients who signed the retainer agreement with another authorized representative, check “No”. If you have never had a client, click “I have never had a client”. If you have not had a client since taking the Retainer Agreement course, click “I have not had a client since taking the Retainer Agreement course”.


With as much detail as possible, provide an explanation as to why you did not complete a retainer agreement with each client since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course. Include in your explanation a description of: the number of clients you had for which you did not complete a retainer agreement, the events surrounding these situations, and the reasons why a retainer agreement was not completed with each client. (See Additional Information under question G4 for more detail.)

G5. Does your retainer agreement contain all of the mandatory components?

The Retainer Agreement Regulation identifies twenty-two (22) mandatory retainer agreement components, two (2) of which are only mandatory to include in the retainer agreement if applicable/required, namely:




Page 39 of 74

functions of other members on file and administrative fee. These mandatory components are summarized on pages 22-23 of the Retainer Agreement Workbook. If you have never had a client, or have not had a client since taking the Retainer Agreement course, you are still required to have a retainer agreement that complies with the Retainer Agreement Regulation. If your retainer agreement contains all of the mandatory components, as detailed in the Regulation, check “Yes”. If your retainer agreement does not contain all of the mandatory components, as detailed in the Regulation, and is missing even one component, check “No”. If you do not have a retainer agreement, check “No”. You will then be asked to provide a detailed explanation as to why your retainer agreement does not contain all of the mandatory components.


With as much detail as possible, provide an explanation as to why your retainer agreement does not contain all of the mandatory components. Include in your explanation a list of the missing mandatory components. If you do not have a retainer agreement, include that explanation in the space provided. (See Additional Information under G5 for more detail.)

G6. Does your retainer agreement have contingency billing (i.e., payment or partial payment due only upon a successful decision by the government) as a billing method?

Contingency billing is where “…payment or partial payment is due only upon a successful decision by the government” (Section 3.2.d of the Retainer Agreement Regulation). According to Section 9.2 of the same Regulation, “contingency billing is not permitted as a billing method for the Client.” Further, Section 16.2 of the same Regulation states that members are not to refund fees “…in the event of an application refusal.” If your retainer agreement has contingency billing, as described under Sections 3.2.d, 9.2 and 16.2 of the Regulation, check “Yes”. If you do not have a retainer agreement, check “Yes”. You will then be asked to provide a detailed explanation as to why your retainer agreement contains contingency billing.

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Workbook_RA%20Course_FINAL_25May2012.pdf






Page 40 of 74

If your retainer agreement does not have contingency billing, as described under Sections 3.2.d, 9.2 and 16.2 of the Regulation, check “No”.

G6.a You answered “Yes” to question G6. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why your retainer agreement contains contingency billing. Include in your explanation all examples of contingency billing that are in your retainer agreement. If you do not have a retainer agreement, include that explanation in the space provided. (See Additional Information under G6 for more detail.)

G7. Have you notified your client(s) that fees are non-refundable for application refusals?

According to Section 16.2 of the Retainer Agreement Regulation, a member shall notify the client that fees are not refundable in the event of an application refusal. In other words, if the government refuses the application at any stage of the process, through no fault of the member, the member is not permitted to refund the fees to the client. If, since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, you notified your client(s) that fees are non-refundable in the event of application refusals, check “Yes”. If, since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, you did not notify your client(s) that fees are non-refundable in the event of application refusals, check “No”. You will then be asked to provide a detailed explanation as to why you did not notify your clients that fees are non-refundable for application refusals. If you have never had a client, click “I have never had a client”. If you have not had a client since taking the Retainer Agreement course, click “I have not had a client since taking the Retainer Agreement course”.





Page 41 of 74


With as much detail as possible, provide an explanation as to why you did not notify your client(s), since the beginning of the audit cycle for which you are reporting, or since taking the Retainer Agreement course, that fees are non-refundable for application refusals. (See Additional Information under G7 for more detail.)

G8. Have you made any changes to the retainer agreement since receiving your most recent approval?

If you made any changes affecting the content—not the formatting—of the retainer agreement, since receiving your most recent compliance audit approval, check “Yes”. You will then be asked to provide a detailed explanation as to what changes you made to the retainer agreement. If you have not made any changes affecting the content—not the formatting—of the retainer agreement, since receiving your most recent compliance audit approval, check “No”. If you have not yet received approval for the last compliance audit, check “Approval not yet received”. If you had not completed the Retainer Agreement course at the time of your most recent compliance audit approval, check “I completed the Retainer Agreement course after receiving approval”. If this is your first time participating in an ICCRC compliance audit, or if this is your first time participating in an ICCRC compliance audit since taking the Retainer Agreement course, or if you have never submitted your retainer agreement documentation previously as part of another compliance audit cycle, check “This is my first time participating in the compliance audit”.

G8.a You answered “Yes” to question G8. Detail below all changes made to the retainer agreement.

With as much detail as possible, provide an explanation as to what changes you made to the retainer agreement since receiving approval in the last compliance audit. Include in your explanation a list of all the changes and the exact wording now used in the retainer agreement. (See Additional Information under G8 for more detail.)



Page 42 of 74

H CLIENT FILE MANAGEMENT

To be completed by all members who have taken the Client File Management course.

Question Additional Information H1. Did you complete the Client File Management course?

If you completed the Client File Management course, check “Yes”. You will then be asked a series of questions about your practice and compliance with the Client File Management Regulation. If you have not completed the Client File Management course, check “No”.

H1.a. You answered “No” to question H1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Agent Agreement” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

H3. Since the beginning of the audit cycle for which you are reporting, have you used a clear and coherent system to:

a. Open and maintain active files? b. Label and identify client

property? c. Store and easily retrieve active

files and closed files? d. Place client property in

safekeeping? e. Close, retain, destroy and dispose

of closed files?

According to Section 4.4.a-e of the Client File Management Regulation, a member shall “…employ a clear and coherent system to: a. Open and maintain Active Files; b. Label and identify Client Property; c. Store and easily retrieve Active Files and Closed Files; d. Place Client Property in safekeeping; and e. Close, retain, destroy, and dispose of Closed Files.” The specific requirements for each component of the system are detailed below. a. Open and maintain active files

i. Steps taken when opening a client file? According to Section 5 of the same Regulation, a member shall: • Open a file at the time of signing the retainer

agreement with the client (Section 5.1).









Page 43 of 74

• Maintain a client file that contains: o A copy of the retainer agreement and all other

relevant agreements; o Copies of all supporting documents to the

immigration application; o Copies of correspondence between/about the

client (or his or her designate) and the member; o Copies of client property; o Copies of billing documents; o A copy of the client’s written authorization of

designate (where applicable); o Copies of draft documents; and o Copies of immigration/citizenship applications or

submissions on behalf of a client (Section 5.2). • Ensure each file has a record that includes:

o A brief description of all client property, other than money;

o The date the client property was received by the member and the date the client property was returned to the client (or his or her designate); and

o Acknowledgement of receipt of returned client property by the client (or his or her designate) (Section 5.3).

ii. Format used for the client file? According to Section 3.2.e of the same Regulation, the client file may be a physical paper folder and/or an electronic folder or directory.

iii. What record of active files do you keep? In order to open, maintain, store and easily retrieve your active files (Sections 4.4.a and c of the same Regulation), what type or record/register/log do you keep? If you have used a clear and coherent system to open and maintain active files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “Yes”. If you have never had a client, click “I have never had a client”.



Page 44 of 74

If you have not had a client since taking the Client File Management course, click “I have not had a client since taking the Client File Management course”.

If you have not used a clear and coherent system to open and maintain active files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “No”. You will then be asked to provide a detailed explanation as to why you have not used a clear and coherent system to open and maintain active files. b. Label and identify client property

i. File labelling system used?

• According to the Client File Management

Regulation, members shall ensure each file has a record that includes:




• Employ a clear and coherent system to: o Label and identify Client Property (Section

4.4.b); and o Keep client property distinguishable from the

member’s own property (Section 8.1).

If you used a clear and coherent system to label and identify client property since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “Yes”. If you have never had a client, click “I have never had a client”.





Page 45 of 74

If you have not had a client since taking the Client File Management course, click “I have not had a client since taking the Client File Management course”.

If you have not used a clear and coherent system to label and identify client property since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “No”. You will then be asked to provide a detailed explanation as to why you have not used a clear and coherent system to label and identify client property.

c. Store and easily retrieve active files and closed files

i. How are active files stored?

• According to Section 6.1 of the same Regulation,

“Client Records shall be stored in a physically secure manner to maintain Client confidentiality and to protect against damage or loss.”

• And according to Section 5.4 of the same Regulation, active files shall be stored separately from closed files.

ii. How are closed files stored?


“Client records shall be stored in a physically secure manner to maintain Client confidentiality and to protect against damage or loss.”

• And according to Section 5.4 of the same Regulation, closed files shall be stored separately from active files.

If you have used a clear and coherent system to store and easily retrieve active files and closed files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “Yes”. If you have never had a client, click “I have never had a client”. If you have not had a client since taking the Client File Management course, click “I have not had a client since taking the Client File Management course”.



Page 46 of 74

If you have not used a clear and coherent system to store and easily retrieve active files and closed files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “No”. You will then be asked to provide a detailed explanation as to why you have not used a clear and coherent system to store and easily retrieve active files and closed files. d. Place client property in safekeeping

i. Procedures for the handling of client property?


members shall ensure that each file has a record that includes: o A brief description of all client property, other

than money; o The date the client property was received by the

member and the date the client property was returned to the client (or his or her designate); and


ii. Steps taken to keep safe client property?

• According to Section 11 of the same Regulation and

Articles 8.1 to 8.4 of the Code of Professional Ethics, a member shall ensure that: o Client confidentiality is maintained at all times

(Section 11.1); o Client’s personal information and documentation

is protected (Section 11.2); and o Client property is kept safe and distinguished

from member’s property (Section 2.1).

If you have used a clear and coherent system to place client property in safekeeping since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “Yes”. If you have never had a client, click “I have never had a client”.




Page 47 of 74

If you have not had a client since taking the Client File Management course, click “I have not had a client since taking the Client File Management course”. If you have not used a clear and coherent system to place client property in safekeeping since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “No”. You will then be asked to provide a detailed explanation as to why you have not used a clear and coherent system to place client property in safekeeping. e. Close, retain, destroy and dispose of closed files

i. Method used for destroying files?

• According to Section 7.2 of the same Regulation, a

closed file shall be “…retained in a secure and accessible location for a minimum of six (6) years after the File has been closed.”

• After this time, it may be destroyed provided it is done so in a confidential manner (Section 10.2 of the same Regulation).

ii. What record is kept of destroyed files? • According to Section 10.1.a-d of the same

Regulation, a member shall maintain a record of destroyed files. This record shall include, at a minimum: o The Client’s name and address; o A brief description of the service provided; o The file closing date; and o The actual file destruction date.

If you have used a clear and coherent system to close, retain, destroy and dispose of closed files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “Yes”. If you have never had a client, click “I have never had a client”.



Page 48 of 74

If you have not had a client since taking the Client File Management course, click “I have not had a client since taking the Client File Management course”. If you have not used a clear and coherent system to close, retain, destroy and dispose of closed files since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, check “No”. You will then be asked to provide a detailed explanation as to why you have not used a clear and coherent system to close, retain, destroy and dispose of closed files.

H3.f You answered “No” to one or more questions in H3. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide explanation(s) as to why, since the beginning of the audit cycle for which you are reporting, or since taking the Client File Management course, you do not have a clear and coherent system in place to address each component (a-e) for which you answered “No”. (See Additional Information under H3 for more detail.)

H4. Have you made any changes to your client file management system since receiving your most recent approval?

If you made any changes to your client file management system since receiving your most recent compliance audit approval, check “Yes”. You will then be asked to provide a detailed explanation as to what changes you made to your client file management system. If you have not made any changes to your client file management system since receiving your most recent compliance audit approval, check “No”. If you have not yet received approval for the last compliance audit, check “Approval not yet received”. If you had not completed the Client File Management course at the time of receiving your most recent compliance audit approval, check “I completed the Client File Management course after receiving approval”. If this is your first time participating in an ICCRC compliance audit, or if this is your first time participating in an ICCRC compliance audit since taking the Client File Management course, or if you have never submitted your client file management documentation previously as part of another compliance audit cycle, check “This is my first time participating in the compliance audit”.



Page 49 of 74

H4.a You answered “Yes” to question H4. Detail below all changes made to your client file management system.

With as much detail as possible, provide an explanation as to what changes you made to your client file management system since receiving your most recent compliance audit approval. Include in your explanation a summary of the changes. (See Additional Information under H4 for more detail.)

I AGENT AGREEMENT

To be completed by all members who have taken the Agents course AND who have one or more agents registered with ICCRC.

Question Additional Information I1. Did you complete the Agents course?

If you completed the Agents course, check “Yes”. You will then be asked a series of questions about your practice and compliance with the Agents Regulation. If you have not completed the Agents course, check “No”.

I1.a. You answered “No” to question I1. Please note that completion of this course is mandatory if you intend to register an agent with ICCRC. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement." once you are ready to proceed. You will then be directed to the “Planned or Unplanned Absence” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

I2. Do you have an agent?

If you have one or more agents, check “Yes”. If you do not have any agents, check “No”.

I4. Have you registered your agent(s) with ICCRC?

According to Section 4 of the Agents Regulation, members who have an agent shall: • Register the agent(s) with the Council within fifteen

(15) calendar days of appointing the agent (Section 4.1);

• E-mail [email protected] with the following information (Section 4.4):

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Agents_Regulation_FINAL.pdf







Page 50 of 74

o Agent’s first and last name; o Agent’s company name, if applicable; o Agent’s business civic address; o Agent’s business telephone number; and o Agent’s e-mail address; and o Date agent was appointed by the Member

(Section 4.1.a-f). If you have registered your agent(s) with ICCRC, as described in Section 4, check “Yes”. If you have not registered your agent(s) with ICCRC, as described in Section 4, check “No”. You will then be asked to provide a detailed explanation as to why you have not registered your agent(s) with ICCRC.

I4.a You answered “No” to question I4. Provide a detailed explanation below as to why you have not fulfilled this requirement.

With as much detail as possible, provide an explanation as to why you have not registered your agent(s) with ICCRC. (See Additional Information under I4 for more detail.)

I5. Does the agent agreement contain all of the mandatory components?

The Agents Regulation identifies twenty-three (23) mandatory agent agreement components. These mandatory components are summarized on pages 15-16 of the Agents Workbook. If the agent agreement contains all of the mandatory components, as detailed in the Regulation, check “Yes”. If the agent agreement does not contain all of the mandatory components, as detailed in the Regulation, and is missing even one component, check “No”. You will then be asked to provide a detailed explanation as to why the agent agreement does not contain all of the mandatory components.


With as much detail as possible, provide an explanation as to why the agent agreement does not contain all of the mandatory components. Include in your explanation a list of the missing components. (See Additional Information under I5 for more detail.)

I6. According to Section 7 of the Agents Regulation, a member “…shall inform the Agent of the relevant sections of the Council’s By-law, Code of Professional Ethics, and Regulations pertaining to the responsibilities


http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/AGENT_Worboo_FINAL.pdf






Page 51 of 74

Have you informed the agent about the By-law, Code of Professional Ethics and Regulations of ICCRC?

of an Agent and the Member’s responsibilities to the Council.” If you have informed the agent about the sections of ICCRC’s By-law, Code of Professional Ethics, and Regulations, which relate to the responsibilities of an agent and the member’s responsibilities to ICCRC, check “Yes”. If you have not informed the agent about the sections of ICCRC’s By-law, Code of Professional Ethics, and Regulations, which relate to the responsibilities of an agent and the member’s responsibilities to ICCRC, check “No”. You will then be asked to provide a detailed explanation as to why you have not informed the agent about the relevant sections of ICCRC’s By-law, Code of Professional Ethics, and Regulations.


With as much detail as possible, provide an explanation as to why you have not informed the agent about the relevant sections of ICCRC’s By-law, Code of Professional Ethics, and Regulations, which relate to the responsibilities of an agent and the member’s responsibilities to ICCRC. (See Additional Information under I6 for more detail.)

I7. Have you made any changes to the agent agreement since receiving your most recent approval in the?

If you made any changes affecting the content—not the formatting—of the agent agreement, since receiving your most recent compliance audit approval, check “Yes”. You will then be asked to provide a detailed explanation as to what changes you made to the agent agreement. If you have not made any changes affecting the content—not the formatting—of the agent agreement, since receiving your most recent compliance audit approval , check “No”. If you have not yet received approval for the last compliance audit, check “Approval not yet received”. If you didn’t have an agent at the time of receiving your most recent compliance audit approval, check “I did not have an agent at the time”. If you had not completed the Agents course at the time of receiving your most recent compliance audit approval,










Page 52 of 74

check “I completed the Agents course after receiving approval”. If this is your first time participating in an ICCRC compliance audit, or if this is your first time participating in an ICCRC compliance audit since taking the Agents course, or if you have never submitted your agents documentation previously as part of another compliance audit cycle, check “This is my first time participating in the compliance audit”.

I7.a You answered “Yes” to question I7. Detail below all changes made to the agent agreement.

With as much detail as possible, provide an explanation as to what changes you made to the agent agreement since receiving your most recent compliance audit approval. Include in your explanation a list of all the changes, the exact wording now used in the agent agreement and an indication as to whether or not the agent has signed the updated agent agreement. (See Additional Information under I7 for more detail.)

J PLANNED OR UNPLANNED ABSENCE

To be completed by all members who own an immigration/citizenship consulting practice (e.g., sole proprietorship, corporation, etc.) AND have taken the Planned or Unplanned Absence course.

Question Additional Information J1. Do you own an immigration/citizenship consulting practice (e.g., sole proprietorship, corporation, etc.)?

See Section 23 of By-Law "C. Firms and Sole Proprietorships" for information on types of consulting practices. If you are registered with ICCRC as an owner of an immigration/citizenship consulting practice, check "Yes." If you are not registered with ICCRC as an owner of an immigration/citizenship consulting practice (e.g., sole proprietorship, corporation, etc.), check “No”. You will then be directed to the “Confirmation & Submission” section.

J2. Did you complete the Planned or Unplanned Absence course?

If you completed the Planned or Unplanned Absence course, check “Yes”. You will then be asked a series of questions about your practice and compliance with the Planned or Unplanned Absence Regulation.



Page 53 of 74

If you have not completed the Planned or Unplanned Absence course, check “No”.

J2.a. You answered “No” to question J2. Please note that completion of this course is mandatory if you own an immigration/citizenship consulting practice. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Confirmation & Submission” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

J3. Do you have a contingency plan?

According to Section 3 of the Planned or Unplanned Absence Regulation, ‘"Contingency Plan” means a written set of instructions that details what steps will be taken either by the Member, and/or by the Member’s Authorized Representative(s), and/or by the Member’s Responsible Person, in the event of a Planned or Unplanned Absence, which would allow for the maintenance or winding down of the Member’s consulting practice’. And Section 4.4 of the same Regulation lists the required components of the contingency plan as follows:

a) a system to address emergencies that may arise on Client Files in the event of a Planned or Unplanned Absence from the consulting practice,

b) accurate and up-to-date information on office procedures (e.g. how Client Files are created/stored/closed/destroyed, what reminder systems are used, methods of communicating with Clients, billing processes, etc.),

c) accurate and up-to-date information on the consulting practice (e.g. location of and access to: active and closed Client Files, current list of active Clients, bookkeeping records such as current client liability account and client list, important contacts such as accountant and landlord, software and technology used, etc.),





Page 54 of 74

d) steps taken to facilitate the stepping in of the

Authorized Representative(s) and/or Responsible Person, as required (e.g. created a checklist for maintaining the operation of the consulting practice, confirmed the financial institution’s requirements for allowing an Authorized Representative to access the client account, ensured that sufficient funds are available to cover office expenses for a period of time, etc.),

e) a process to appropriately notify the Council in the event of the incapacitation or other medical condition(s) of the Member so an appropriate leave of absence from practice may be sought. Such process shall include notifying the Registrar of the contact information (including the name, primary and secondary address, telephone number and e-mail address) of the Authorized Representative and/or Responsible Person, and

f) a process to appropriately notify the Council in the event of the death of the Member or the declaration of the Member as a Missing Person. Such process shall include notifying the Registrar of the contact information (including the name, primary and secondary address, telephone number and e-mail address) of the Authorized Representative and/or Responsible Person.

If you have a contingency plan that meets the definition and requirements of the Planned or Unplanned Absence Regulation, check "Yes." If you do not have a contingency plan that meets the definition and requirements of the Planned or Unplanned Regulation, check "No."

J3.a. Members are required to have a contingency plan. Consult the Planned or Unplanned Absence Regulation.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed.



Page 55 of 74

J4. Have you designated one or more authorized representative(s) and/or responsible person, as required, to be the primary contact for your clients and the Council in the event of a planned or unplanned absence?

According to Section 4.5 of the Planned or Unplanned Absence Regulation, “A Member shall designate one or more Authorized Representative(s) and/or Responsible Person, as required, who will be the primary contact for the Client and the Council in the event of a Planned or Unplanned Absence.” If you have designated one or more authorized representative(s) and/or responsible person to be the primary contact for your clients and the Council in the event of a planned or unplanned absence, check "Yes." If you have not designated one or more authorized representative(s) and/or responsible person to be the primary contact for your clients and the Council in the event of a planned or unplanned absence, check "No."

J4.a. Members are required to designate one or more authorized representative(s) and/or responsible person, to be the primary contact for their clients and the Council in the event of a planned or unplanned absence. Consult the Planned or Unplanned Absence Regulation.


J5. Do you have a business continuity plan?

According to Section 3.2.c of the Planned or Unplanned Absence Regulation, a business continuity plan is “a written set of procedures that would enable a Member to respond to routine or dramatic events (e.g., natural disasters, extreme weather conditions, prolonged power or communication failure, robbery or criminal activity, civil unrest, terrorist acts, etc.) that would threaten to hinder or stop normal office processes.” And according to Section 4.10 of the same Regulation, “A Member shall develop a Business Continuity Plan to deal with events that would stop normal office processes as a result of either routine or dramatic events such as, natural disasters, extreme weather conditions, prolonged power or communication failure, robbery or criminal activity, civil unrest, terrorist acts, etc.” If you have a business continuity plan that meets the definition and requirements of the Planned or Unplanned Absence Regulation, check "Yes."



Page 56 of 74

If you do not have a business continuity plan that meets the definition and requirements of the Planned or Unplanned Absence Regulation, check "No."

J5.a. Members are required to have a business continuity plan. Consult the Planned or Unplanned Absence Regulation.


JB CONFIRMATION & SUBMISSION

To be completed by all members.

Question Additional Information JB.1. I solemnly declare that the information provided in this on-line Compliance Audit Questionnaire (CAQ), together with any and all documents submitted to support my audit, is a true and accurate reflection of my practices as a Regulated Canadian Immigration Consultant (RCIC).


JB.2. I acknowledge that it is professional misconduct to make a false or misleading report to Immigration Consultants of Canada Regulatory Council (ICCRC).


JB.3. I understand that information obtained during the compliance audit is kept confidential within ICCRC and is securely stored at all times.




Page 57 of 74

6. COMPLIANCE AUDIT FULL SUBMISSION All new members complete the Compliance Audit Full Submission for the January 1 deadline. In addition, 15% of members will be required to complete the Compliance Audit Full Submission for the July 1 deadline. You may be required to complete the Compliance Audit Full Submission for the July 1 deadline if you:

• Failed Level 2 of the previous year’s compliance audit, or • Were randomly selected.

The Compliance Audit Full Submission questions are presented below along with the corresponding additional information to guide you in your responses and actions.

K CLIENT ACCOUNT To be completed, upon request from ICCRC, by members who have taken the Client Account course.

Question Additional Information K1. Did you complete the Client Account course?

If you completed the Client Account course, check “Yes”. You will then be asked a series of questions about your practice, which will determine what documents you are required to submit in order to demonstrate compliance with the Client Account Regulation. If you have not completed the Client Account course, check “No”.

KF1.a. You answered “No” to question K1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Retainer Agreement” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).






Page 58 of 74

K1.d During the audit cycle for which you are reporting, did you receive money to be held on behalf of the client for: a. future unbilled services; b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements?

If you held money on behalf of a client during the audit cycle for which you are reporting, check “Yes”. If you did not hold money on behalf of a client during the audit cycle for which you are reporting, check “No”.

K1.f Do you currently have permission from ICCRC to be exempted from opening and/or maintaining a client account?

If you have submitted to ICCRC the annual declaration, in the prescribed form, and been granted an exemption in writing from ICCRC, under Section 3.3 of the Client Account Regulation, not to open and/or maintain a client account, check “Yes”. If you have not submitted the annual declaration, in the prescribed form, and been granted an exemption in writing from ICCRC, under Section 3.3 of the Client Account Regulation, not to open and/or maintain a client account, check “No”.

K1.f.i. Please note the expiration date of your client account exemption and ensure that you renew your exemption annually, before April 30th.

Read the information carefully, and check "I understand the requirement” once you are ready to proceed. To request a renewal of your client account exemption, complete and submit a new Statutory Declaration form and mail it to: ICCRC-CRCIC Office of the Registrar 5500 North Service Rd., Suite 1002 Burlington ON L7L 6W6 The Registrar’s Department will then confirm with you whether or not your client account exemption has been renewed. Note: Regardless of whether an exemption has been granted, if a Member chooses to hold money on behalf of a client he/she must have a client account before receiving the money (see Section 3.4 of the Client Account Regulation).

K1.g For the period that I have permission not to open and/or maintain a client account,

If you agree, for the period that you have permission not to open and/or maintain a client account (as per the annual declaration form), not to receive from a client any money to be held on behalf of a client for:







Page 59 of 74

I will not receive from a client any money to be held on behalf of a client for:

a. future unbilled services; b. overpayment of billed services; c. government processing fees; or d. any other type of disbursements.

unless I have a client account prior to receiving said money.


3.2 of the Client Account Regulation unless you have a client account pursuant to Section 3.1 of the same Regulation (as per Section 3.4 of the same Regulation), check “I agree”. If you do not agree, for the period that you have permission not to open and/or maintain a client account (as per the annual declaration form), not to receive from a client any money to be held on behalf of a client for:


3.2 of the Client Account Regulation unless you have a client account pursuant to Section 3.1 of the same Regulation (as per Section 3.4 of the same Regulation), please review section 1.c of this Guide to change your previous response(s).

K4.a For each of your open client accounts, list the following information in the space provided below:



Section 4.5 of the Client Account Regulation requires members to: “…provide written notice to the Council by e-mailing [email protected] of each Client Account maintained by the Member promptly and in no event later than fifteen (15) calendar days of opening or closing a Client Account, which notice shall set out the date that the Client Account was opened or closed, the name and address of the Financial Institution at which the Client Account is opened and the account number of the Client Account.” Type the following information in the space provided for each of your open client accounts:


• The account number of the client account. K5. Did you have unearned client funds in your client account for the months of either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1

If you had unearned/unbilled client funds in your client account for the months of either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline, check “Yes”. You will then be asked to attach the client account for the months of either: March, April or May if you are submitting for the July 1







Page 60 of 74

deadline?

deadline, or September, October or November if you are submitting for the January 1 deadline. If you did not have unearned/unbilled client funds in your client account for the months of either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline, check “No”. You will then be asked to attach the client account bank statement for the months of either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline. You will also be asked to provide a written explanation as to why there are no client funds in your client account.

K5.a Attach the three (3) documents listed below for the month during which you had unearned client funds in your client account. Please note that the three documents must be for the same month—either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline.

i. Client account bank statement (To view sample, click here and review page 10 of the Workbook)

ii. Detailed client account

reconciliation statement (To view/use ICCRC’s template, click here)

iii. Client list (Please use ICCRC’s

Client List template)

If you have more than one client account, you must submit the client account bank statement, detailed client account reconciliation statement and client list for each of your client accounts. Protect client confidentiality by ensuring that the documents do not disclose client

If you had unearned/unbilled client funds in your client account for the months of March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline, you are required to attach the following documents using the K5.a.i-iii file attachment boxes:


ii. Detailed client account reconciliation statement

(To view/use ICCRC’s template, click here)

iii. Client list (Please use ICCRC’s Client List template)

for the month (either March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline) in which you had client money in the client account. For more information on the three (3) required client account documents, click here. In the event you had client funds in the client account two of the three months or for all three months, attach the client account documentation for any one (1) of the months during which time you had client money in the client account. Before attaching the client account documents, ensure that: • All three (3) documents are for the same month.

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/PME__Client_Account_Worboo_Final.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Detailed_CA_Reconciliation_Statement_Template_FINAL_15Apr20142.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/PME%20Client%20List%20Template_Final.pdf


http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Detailed_CA_Reconciliation_Statement_Template_FINAL_15Apr20142.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/PME%20Client%20List%20Template_Final.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/CA_Information_Page_FINAL_22Oct2013.pdf



Page 61 of 74

names or client contact information. For more information on these required actions, click here. File attachment boxes K5.a.i-iii will be added to the homepage of your Compliance Audit Account for you to upload the required document(s), upon completing all of the Full Submission sections and clicking “Save and Exit”. If you have more than one client account, simply scan all client account bank statements you intend to submit as one file and attach them under file attachment box K5.a.i. You may then do the same for all detailed client account reconciliation statements and client lists you intend to submit and attach the single file under the relevant file attachment box (either K5.a.ii or K5.a.iii).

For example, if you had client funds in the client account for the month of April, attach the client account bank statement for the month of April (e.g., for the period of April 1-30), the detailed client account reconciliation statement for the month of April (e.g., As of April 30) and the client list for the month of April (e.g., As of April 30).

• Client confidentiality is protected by: o Blacking-out client names and/or contact

information on the client account bank statement, and

o Using the same client codes on the detailed client account reconciliation statement and the client list. An example of a client code is: SH_123 (client’s first and last initials and a number).

In the event you have more than one (1) client account, you are required to attach the three (3) client account documents (as described above) for each client account, using the K5.a.i-iii file attachment boxes. TIP: Scan all client account bank statements as one (1) PDF document. To attach the client account document(s), complete all of the Full Submission sections and then click the “Save and Exit” button at the bottom of the page. You will then be redirected to the homepage of your Compliance Audit Account. Scroll down the page to locate the “K5.a.i” file attachment box and follow the instructions to attach the client account bank statement(s). Then, locate the “K5.a.ii” file attachment box and follow the instructions to attach the client account detailed reconciliation statement(s). Lastly, locate the “K5.a.iii” file attachment box and follow the instructions to attach the client list(s).

K5.b Attach the following document for either: March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline:

i. Client account bank statement

(To view sample, click here and review page 10 of the Workbook)

If you have more than one client account, you must submit the client account bank

If you did not have unearned/unbilled client funds in your client account for the months of March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the January 1 deadline, you are required to attach the following document using the K5.b.i file attachment box:


for the month (either March, April or May if you are submitting for the July 1 deadline, or September, October or November if you are submitting for the






Page 62 of 74

statement and written explanation for each of your client accounts. Protect client confidentiality by ensuring that the documents do not disclose client names or client contact information. For more information on these required actions, click here. File attachment box K5.b.i will be added to the homepage of your Compliance Audit Account for you to upload the required document, upon completing all of the Full Submission sections and clicking “Save and Exit”. If you have more than one client account, simply scan all client account bank statements you intend to submit as one file and attach them under file attachment box K5.b.i. You may include more than one written explanation in the space provided. In the space provided, type an explanation as to why there are no unearned client funds in the client account.

January 1 deadline) in which you had client money in the client account. For more information on the client account bank statement requirement, click here. Before attaching the client account bank statement, ensure that client confidentiality is protected by blacking-out client names and/or contact information on the client account bank statement. In the event you have more than one (1) client account, you are required to attach the client account bank statement for each client account, using the K5.b.i file attachment box. TIP: Scan all client account bank statements as one (1) PDF document. To attach the client account bank statement(s), complete all of the Full Submission sections and then click the “Save and Exit” button at the bottom of the page. You will then be redirected to the homepage of your Compliance Audit Account. Scroll down the page to locate the “K5.b.i” file attachment box and follow the instructions to attach the client account bank statement(s). Then, in the space provided in the “Compliance Audit Full Submission” section, you will be asked to type an explanation as to why there are no unearned client funds in the client account. TIP: Be specific and detailed in your explanation.





Page 63 of 74

L RETAINER AGREEMENT

To be completed, upon request from ICCRC, by members who have taken the Retainer Agreement course.

Question Additional Information L1. Did you complete the Retainer Agreement course?

If you completed the Retainer Agreement course, check “Yes”. If you have not completed the Retainer Agreement course, check “No”.

L1.a. You answered “No” to question L1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Client File Management” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

L3. Have you had a client since taking the Retainer Agreement course?

If you had a client since taking the Retainer Agreement course, check “Yes”. You will then receive instruction as to what you are required to submit to demonstrate compliance with the Retainer Agreement Regulation. If you have not had a client since taking the Retainer Agreement course, check “No”. You will then receive instruction as to what you are required to submit to demonstrate compliance with the Retainer Agreement Regulation.

L3.a Attach a signed copy of a retainer agreement that complies with the Retainer Agreement Regulation. Protect client confidentiality by blacking-out the client’s name and contact information. For more information on this required action, click here.

The Retainer Agreement Regulation identifies twenty-two (22) mandatory retainer agreement components, two (2) of which are only mandatory to include in the retainer agreement if applicable/required, namely: functions of other members on file and administrative fee. These mandatory components are summarized on pages 22-23 of the Retainer Agreement Workbook. You indicated that you have had a client since taking the Retainer Agreement course. To demonstrate compliance with the Regulation, submit a signed copy of a retainer







http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/RA_Information_Page_FINAL_30Oct2013.pdf





Page 64 of 74

File attachment box L3.a will be added to the homepage of your Compliance Audit Account for you to upload the required retainer agreement, upon completing all of the Full Submission sections and clicking “Save and Exit”.

agreement that you completed with a client after taking the Retainer Agreement course. In the event you used ICCRC’s Retainer Agreement Template, ensure that you: • Completed it with the actual terms and conditions of

the business arrangement between you and the client; • Customized it to your practice (e.g., inserted your

contact details, inserted your dispute resolution process, etc.); and

• Removed the italics (which indicate suggested components to the member) and the member instructions.

Before attaching the retainer agreement, ensure that client confidentiality is protected by blacking-out client names and/or contact information on the retainer agreement. To attach the retainer agreement, complete all of the Full Submission sections and then click the “Save and Exit” button at the bottom of the page. You will then be redirected to the homepage of your Compliance Audit Account. Scroll down the page to locate the “L3.a” file attachment box and follow the instructions to attach the retainer agreement.

L3.b Attach a copy of a retainer agreement that complies with the Retainer Agreement Regulation and that you intend to use with future clients. For more information on this required action, click here. File attachment box L3.b will be added to the homepage of your Compliance Audit Account for you to upload the required retainer agreement, upon completing all of the Full Submission sections and clicking “Save and Exit”.

The Retainer Agreement Regulation identifies twenty-two (22) mandatory retainer agreement components, two (2) of which are only mandatory to include in the retainer agreement if applicable/required, namely: functions of other members on file and administrative fee. These mandatory components are summarized on pages 22-23 of the Retainer Agreement Workbook. You indicated that you have not had a client since taking the Retainer Agreement course. To demonstrate compliance with the Regulation, submit a copy of a retainer agreement that you intend to use with future clients. In the event you used ICCRC’s Retainer Agreement Template, ensure that you: • Customized it to your practice (e.g., inserted your

contact details, inserted your dispute resolution process, etc.); and

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/General%20Retainer%20Agreement%20Template_FINAL_25May2012.pdf




http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/RA_Information_Page_FINAL_30Oct2013.pdf







Page 65 of 74

• Removed the italics (which indicate suggested components to the member) and member instructions.

To attach the retainer agreement, complete all of the Full Submission sections and then click the “Save and Exit” button at the bottom of the page. You will then be redirected to the homepage of your Compliance Audit Account. Scroll down the page to locate the “L3.b” file attachment box and follow the instructions to attach the retainer agreement.

M CLIENT FILE MANAGEMENT

To be completed, upon request from ICCRC, by members who have taken the Client File Management course.

Question Additional Information M1. Did you complete the Client File Management course?

If you completed the Client File Management course, check “Yes”. You will then be asked a series of questions, which will demonstrate compliance with the Client File Management Regulation. If you have not completed the Client File Management course, check “No”.

M1.a. You answered “No” to question M1. Please note that completion of this course is mandatory. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Agent Agreement” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

M3.a Indicate how you are complying with – or intend to comply with (if you have never had a client or have not recently had a client) – the Client File Management Regulation by responding to questions M3.a-e below.

According to Section 4.4.a-e of the Client File Management Regulation, a member shall “…employ a clear and coherent system to: a. Open and maintain Active Files; b. Label and identify Client Property; c. Store and easily retrieve Active Files and Closed Files;











Page 66 of 74

Describe how the Client File Management system meets the requirement to:

a. Open and maintain Active Files

i. Steps taken when opening a client file?

ii. Format used for the client file?

iii. What record of active files (i.e., log or register for organizing

active files) do you keep? For more information on these required actions, click here.

d. Place Client Property in safekeeping; and e. Close, retain, destroy, and dispose of Closed Files.”

a. Open and maintain Active Files

i. Steps taken when opening a client file? According to Section 5 of the same Regulation, a member shall: • Open a file at the time of signing the retainer

agreement with the client (Section 5.1). • Maintain a client file that contains:

o A copy of the retainer agreement and all other relevant agreements;

o Copies of all supporting documents to the immigration application;

o Copies of correspondence between/about the client (or his or her designate) and the member;

o Copies of client property; o Copies of billing documents; o A copy of the client’s written authorization of

designate (where applicable); o Copies of draft documents; and o Copies of immigration/citizenship applications or

submissions on behalf of a client (Section 5.2). • Ensure each file has a record that includes:



o Acknowledgement of receipt of returned property by the client (or his or her designate) (Section 5.3).

To demonstrate compliance with Sections 4.4.a and 5 of the same Regulation, explain with as much detail as possible, what steps you take—or intend to take (if you have never had a client or have not recently had a client)—when opening and maintaining a client file, using the space provided. In other words, what processes do you have in

place and what do you physically do when you open and maintain a client file?

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/CFM_Information_Page_FINAL_30Oct2013.pdf



Page 67 of 74

ii. Format used for the client file? According to Section 3.2.e of the same Regulation, the client file may be a physical paper folder and/or an electronic folder or directory.

To demonstrate compliance with Section 3.2.e of the same Regulation, explain with as much detail as possible, what format you use—or intend to use (if you have never had a client or have not recently had a client)—for client files, using the space provided.

• For example, a physical paper-based system such as file folders and sub-folders and an electronic system such as a shared network drive and e-mail folders.

iii. What record of active files (i.e., log or register for organizing active files) do you keep?

In order to open, maintain, store and easily retrieve your active files (Sections 4.4.a and c of the same Regulation), what type or record/register/log do you keep? To demonstrate compliance with Section 4.4.a and c of the same Regulation, explain with as much detail as possible, what record/register/log of active files you keep—or intend to keep (if you have never had a client or have not recently had a client), using the space provided. For example, an Excel spreadsheet or a Word

document with a table that lists all active files, etc.

M3.b Describe how the Client File Management system meets the requirement to:

b. Label and identify Client

Property

i. File labelling system used? For more information on this required action, click here.

b. Label and identify Client Property

i. File labelling system used?

• According to the Client File Management Regulation, members shall ensure each file has a record that includes: o A brief description of all client property, other







Page 68 of 74


• Employ a clear and coherent system to:

o Label and identify Client Property (Section 4.4.b); and

o Keep client property distinguishable from the member’s own property (Section 8.1).

To demonstrate compliance with Sections 4.4.b, 5.3 and 8.1 of the same Regulation, explain with as much detail as possible, what file labelling system you use—or intend to use (if you have never had a client or have not recently had a client), using the space provided. For example, a combination of alpha-numeric

labelling system involving the client’s first and last initials, a code for the category of representation and the date (e.g., SJ_SW_01072014).

M3.c Describe how the Client File Management system meets the requirement to:

c. Store and easily retrieve Active and Closed Files



For more information on these required actions, click here.

c. Store and easily retrieve Active Files and Closed Files


• According to Section 6.1 of the Client File

Management Regulation, “Client Records shall be stored in a physically secure manner to maintain Client confidentiality and to protect against damage or loss.”

• And according to Section 5.4 of the same Regulation, “A Member shall store Active Files separately from Closed Files.”

To demonstrate compliance with Sections 6.1 and 5.4 of the same Regulation, explain with as much detail as possible, how you store—or intend to store (if you have never had a client or have not recently had a client)—active files, using the space provided. For example, hard copy (i.e., physical, paper-

based) active files are stored in a filing cabinet and soft copy (i.e., electronic) active files are stored on the hard drive of one central computer and backed up on an external hard drive. Further, hard copy active files are stored in an entirely different filing cabinet from that of closed files and soft copy active files are stored in






Page 69 of 74

files separate from that of closed files on the hard drive of one central computer and backed up on an external hard drive.


• According to Section 6.1 of the same Regulation, “Client Records shall be stored in a physically secure manner to maintain Client confidentiality and to protect against damage or loss.”

• And according to Section 5.4 of the same Regulation, active files shall be stored separately from closed files.

To demonstrate compliance with Sections 6.1 and 5.4 of the same Regulation, explain with as much detail as possible, how you store—or intend to store (if you have never had a client or have not recently had a client)—closed files, using the space provided. For example, hard copy (i.e., physical, paper-

based) closed files are stored in a filing cabinet and soft copy (i.e., electronic) closed files are stored on the hard drive of one central computer and backed up on an external hard drive. Further, hard copy closed files are stored in an entirely different filing cabinet from that of active files and soft copy closed files are stored in files separate from that of active files on the hard drive of one central computer and backed up on an external hard drive.

M3.d Describe how the Client File Management system meets the requirement to:

d. Place Client Property in safekeeping

i. Procedures for the handling of

client property?



d. Place Client Property in safekeeping

i. Procedures for the handling of client property?

• According to Section 5.3 of the Client File Management Regulation, members shall ensure that each file has a record that includes: o A brief description of all client property, other









Page 70 of 74

To demonstrate compliance with Section 5.3 of the same Regulation, explain with as much detail as possible, the procedures you use—or intend to use (if you have never had a client or have not recently had a client)—for the handling of client property, using the space provided. In other words, when you receive client property, what steps do you take to record, store and return client property? For example, upon receipt of client property an

entry is made in the “Client Property Organizer” and the client signs to indicate that the property has been delivered to the member. The member then places the property in an envelope and stores it in the client’s file. Upon return of the client property, the “Client Property Organizer” is updated to reflect that the property has been returned and the client signs to indicate that the property has been returned to him/her.


• According to Section 11 of the same Regulation and

Articles 8.1 to 8.4 of the Code of Professional Ethics, a member shall ensure that: o Client confidentiality is maintained at all times

(Section 11.1 and Article 8.1), even after the member has finished acting for the client (Article 8.2);

o Client’s personal information and documentation is protected (Section 11.2);

o All reasonable steps have been taken to ensure the privacy and safekeeping of a client’s confidential information (Article 8.3); and

o The fact the member was consulted or retained by a person remains confidential unless the nature of the matter requires disclosure or is authorized by the client (Article 8.4).

• A member shall ensure that he/she manages client matters in an “…effective and timely manner. In addition, maintaining Client Files helps ensure Client Property is kept safe and distinguished from Member’s Property.” (Section 2)

To demonstrate compliance with Section 11 of the same Regulation and Articles 8.1 to 8.4 of the Code of Professional Ethics, explain with as much detail as






Page 71 of 74

possible, the steps you take—or intend to take (if you have never had a client or have not recently had a client)—to keep safe client property, using the space provided. In other words, what actions do you take to protect client property? For example, client property is placed in an

envelope, which is then placed in the client’s file and stored in the fireproof and lockable active file filing cabinet. The filing cabinet is kept locked whenever files are not being taken in and out. Furthermore, I am the only person who has access to the key and to the office space.

M3.e Describe how the Client File Management system meets the requirement to:

e. Close, retain, destroy, and dispose of Closed Files

i. Method used for destroying files?

ii. What record (i.e., log or register

for documenting destroyed files) is kept of destroyed files?


e. Close, retain, destroy and dispose of Closed Files i. Method used for destroying files?

• According to Section 7.2 of the Client File

Management Regulation, a closed file shall be “…retained in a secure and accessible location for a minimum of six (6) years after the File has been closed.”

• After this time, it may be destroyed provided it is done so in a confidential manner (Section 10.2).

To demonstrate compliance with Sections 7.2 and 10.2 of the same Regulation, explain with as much detail as possible, the method you use—or intend to use (if you have never had a client or have not recently had a client)—to destroy files, using the space provided. For example, hard copy (i.e., physical paper-

based) files are shredded using a shredding machine owned by the company and soft copy (i.e., electronic) files are deleted from all systems and the trash bin is immediately emptied.

ii. What record (i.e., log or register for documenting destroyed files) is kept of destroyed files?

• According to Section 10.1.a-d of the same Regulation, a member shall maintain a record of destroyed files. This record shall include, at a minimum: o The client’s name and address; o A brief description of the service provided; o The file closing date; and o The actual file destruction date.






Page 72 of 74

To demonstrate compliance with Sections 10.1.a-d of the same Regulation, explain with as much detail as possible, the record/register/log you keep—or intend to keep (if you have never had a client or have not recently had a client)—of destroyed files, using the space provided. For example, an Excel spreadsheet is kept that

lists the client’s name and address, description of services provided, file closing date and actual file destruction date of all destroyed files. This list is updated every time a client’s projected file destruction date has passed and the file has been subsequently destroyed.

N AGENT AGREEMENT

To be completed, upon request from ICCRC, by members who have taken the Agents course.

Question Additional Information N1. Did you complete the Agents course?

If you completed the Agents course, check “Yes”. If you have not completed the Agents course, check “No”.

N1.a. You answered “No” to question N1. Please note that completion of this course is mandatory if you intend to register an agent with ICCRC. For more information regarding Practice Management Education (PME) requirements, please see the Practice Management Education Regulation. NOTE: Members are required to complete the Compliance Audit by the deadline, regardless of whether or not they have completed the required PME courses.

Read the information carefully, and check "I understand the requirement" once you are ready to proceed. You will then be directed to the “Planned or Unplanned Absence” section. If you have any further questions regarding PME course deadlines and requirements, consult the Practice Management Education tab under the Education option on the main ICCRC website (http://iccrc-crcic.info/).

N2. Do you have an agent?

If you have one or more agents registered with ICCRC, check “Yes”. If you do not have any agents registered with ICCRC, check “No”. You will then be directed to the “Confirmation & Submission” section.





Page 73 of 74

N3.a Attach a signed copy of an agent agreement that complies with the Agents Regulation. For more information on this required action, click here. File attachment box N3.a will be added to the homepage of your Compliance Audit Account for you to upload the required agent agreement, upon completing all of the Full Submission sections and clicking “Save and Exit”.

The Agents Regulation identifies twenty-four (24) mandatory agent agreement components. These mandatory components are summarized on pages 15-16 of the Agents Workbook. To demonstrate compliance with the same Regulation, submit a signed copy of an agent agreement that you completed with the agent. In the event you have more than one agent, submit one (1) of the agent agreements to demonstrate compliance with the same Regulation. In the event you used ICCRC’s Agent Agreement Template, ensure that you: • Completed it with the actual terms and conditions of

the business arrangement between you and the agent; • Customized it to your practice (e.g., inserted your

contact details, inserted your responsibilities and commitments, etc.); and

• Removed the italics (which indicate suggested components to the member) and member instructions.

To attach the agent agreement, complete all of the Full Submission sections and then click the “Save and Exit” button at the bottom of the page. You will then be redirected to the homepage of your Compliance Audit Account. Scroll down the page to locate the “N3.a” file attachment box and follow the instructions to attach the agent agreement.

O CONFIRMATION & SUBMISSION

Question Additional Information O1. I solemnly declare that the information provided in this on-line Compliance Audit Full Submission, together with any and all documents submitted to support my audit, is a true and accurate reflection of my practices as a Regulated Canadian Immigration Consultant (RCIC).




http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Agent_Information_Page_FINAL_30Oct2013.pdf


http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/AGENT_Worboo_FINAL.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Agent_Agreement_Template_FINAL.pdf

http://registration.iccrc-crcic.ca/admin/contentEngine/contentImages/file/Agent_Agreement_Template_FINAL.pdf



Page 74 of 74

O2. I acknowledge that it is professional misconduct to make a false or misleading report to Immigration Consultants of Canada Regulatory Council (ICCRC).


O3. I understand that information obtained during the compliance audit is kept confidential within ICCRC and is securely stored at all times.
