Organisational standards

Equality

29. An adviser must have a written policy that precludes discrimination on the basis of race, gender, age, nationality, faith, sexual orientation, physical ability and any other irrelevant consideration, and must be committed to providing equality of service to all clients.

30. An adviser must not discriminate against their clients and must treat all clients fairly and without prejudice or bias. This must be done regardless of any personal views.

31. Where an adviser's principles or charter only permit services to be offered to specific client groups, this must be clearly reflected in their signposting and referral procedures.

Client information - confirmation of adviser's status

32. At the time of initial contact an adviser must provide written confirmation to the client that the Immigration Services Commissioner regulates them.

Client care letter

33. Having agreed to act for the client, and prior to undertaking substantive work, an adviser must explain to the client in a client care letter the following:

1. details of the services and the individual adviser's responsibilities as agreed with the client. These details must make clear what instructions were taken, what advice was given and what action was agreed upon with the client;
2. all terms and conditions of engagement, including that the OISC may examine the file;
3. confirmation of the costs estimated or agreed;
4. information regarding any additional costs likely to be incurred or for which the client may become liable (e.g. disbursements);
5. details of the person dealing with the case, including their location and telephone contact number; and
6. details of the adviser's complaint-handling procedures. [Note: See Codes 49 and 505]

A copy of the client care letter must be retained in the client's file. Advisers must ensure, as far as reasonably practicable, that this copy is signed and dated by the client.

Requirements for informing the client on the progress of their case, significant events and outcome

34. All advisers must ensure that their clients are kept regularly informed of the progress of their case, and, at a minimum, clients should be updated at least every three months.

35. Upon the adviser being notified of any significant event they must promptly inform their client in writing and at most within three working days.

36. All advisers must promptly inform their clients in writing and at most within three working days of the outcome of their case.

Obtaining additional advice or opinions

37. An adviser, after having obtained the client's consent, may obtain additional advice or opinions on the client's case while still retaining responsibility for that case, provided that it is within the adviser's OISC-authorised competence level to obtain such advice or opinions.

38. An adviser, on obtaining any additional advice or opinions, must document on the client's file the action subsequently taken with respect to that advice or those opinions.

39. Any fees likely to be incurred for the obtaining of additional advice or opinions must be notified in writing to the client in advance of seeking that additional advice or those opinions and that client's consent sought. A file note documenting the client's consent to paying those fees must be placed on the client's file and a copy given to the client.

Obtaining other professional services

40. An adviser, after having obtained the client's consent, may obtain professional services to assist with the client's case. Responsibility for the payment of any fees incurred as a result of the giving of these services remains with the adviser, although the adviser may, in turn, obtain any monies expended for such services from the client.

Withdrawing from a case and referrals

41. An adviser must not withdraw or threaten to withdraw from a case except for good reason.

42. An adviser who seeks to withdraw from a case must do so if it is in the best interests of their client. Advisers wishing to cease to represent or assist a client must:

1. give reasons to the client in writing as soon as possible;
2. where practicable, inform the client of other advisers with the appropriate skills, knowledge and competencies who are registered, exempt or authorised to practise under the terms of the Act and who are likely to have the capacity to advise or act for the client;
3. inform other persons involved in the case that they have withdrawn from the case and to whom (if anyone) the papers have been passed; and
4. not obstruct a person's freedom to instruct an adviser of their choice.

43. An adviser who, having taken on a client, finds that they cannot provide the service needed by that client because it would require them to act beyond either their authorisation or their business resources, should inform the client of this immediately in writing and, in any event, must do so within three working days, giving the reasons why they cannot continue to act, and, where possible, should direct the client to another provider.

44. The adviser must make a written note of the adviser, if any, who has taken over the client's case.

Referral fees

45. A regulated person must not demand or accept from any person a fee, commission or any other compensation for referring or recommending a client.

46. A regulated person must not offer or accept an inducement for taking on a client or offer such for referring a client to another person.

47. Where a client requests that their file be transferred while they owe money to the adviser, the adviser should not seek to retain the client's file and/or documents in lieu of payment owing to them. They should instead seek civil remedies.

Complaints

48. Advisers must have in place a written procedure for the handling of complaints, including a complaints log detailing the complaints received, resolution timescales and complaint outcomes.

49. Where a complaint arises, an adviser should attempt to resolve the situation themselves. Any such attempt at resolution must be evidenced in writing and a note placed on the client's file.

50. Code 33 requires the adviser's client care letter to include details of their complaint-handling processes. In addition, if a client makes a complaint, the adviser must again provide the client with details of those processes, which must include:

1. that any complaint will be properly addressed within defined timescales, as agreed with the client;
2. the name of the person responsible for handling any complaint; and
3. details of the OISC and its Complaints Scheme.

51. In every case, the client must be informed that, if they are not satisfied with the outcome of the complaint or if they do not wish to complain direct to the regulated person, a complaint may, at any time, be made to the Commissioner directly.