Planned or Unplanned Absence (PUA) TOOLKITregistration.iccrc-crcic.ca/admin/contentEngine/.../PUAtoolitEN.pdf · Planned or Unplanned Absence (PUA) Toolkit | Practice Management Education
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Planned or Unplanned Absence (PUA) Toolkit | Practice Management Education (PME)
Version: 2017-002Last Modified: June 9, 2017
Immigration Consultants of Canada Regulatory Council (ICCRC)www.iccrc-crcic.ca
Head Office 5500 North Service Road Suite 1002 Burlington, Ontario L7L 6W6
Burnaby 3292 Production Way Suite 502 Burnaby, British Columbia V5A 4R4
Saint-Laurent 100 Alexis-Nihon Boulevard Suite 592 Saint-Laurent, Québec H4M 2P1
©2017
www.iccrc-crcic.ca
ThisToolkitisprovidedbyICCRCforRCICs’considerationanduseastheyapplytherequirementsofthePlannedorUnplannedAbsenceRegulationtotheirindividualpractice.
TheresourceshereinareintendedtoserveassamplesandorganizationaltoolsONLYandaretobeappropriatelycustomizedtoaddressRCICs’uniquesituations.Furthermore,theresourceshereindo
NOTconstitutelegalguidanceoradviceandRCICsarestronglyencouragedtohavelegalcounselreviewanyandalllegallybindingdocuments.
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TableofContentsModule1................................................................................................................................4
A. VoluntaryClosure.....................................................................................................................41. ClosingDownyourConsultingPracticeChecklist.........................................................................42. VoluntaryClosureofConsultingPracticeChecklist......................................................................93. SaleofConsultingPracticeChecklist..........................................................................................114. SuccessionPlanningQuestions..................................................................................................13
B. Suspension..............................................................................................................................151. SuccessionPlanningQuestions..................................................................................................15
C. ContingencyPlan....................................................................................................................161. ContingencyPlanningQuestions................................................................................................162. ContingencyPlanTemplate........................................................................................................20
D. Step2:Document—OfficeProcedureManual.........................................................................291. OfficeProcedureManualChecklist............................................................................................292. OfficeProcedureManualTemplate...........................................................................................343. ClientAccountOfficeProceduresSample..................................................................................374. ClientFilesOfficeProceduresSample........................................................................................40
E. Step3:Plan—DraftLetterstoClients......................................................................................441. SampleLettertoClientInformingofUnplannedAbsence.........................................................442. SampleLettertoClientAnnouncingPlannedSuccessionofConsultingPractice......................453. SampleLettertoClientintheEventofDeathofRCIC...............................................................46
F. Step4:Designate—AuthorizedRepresentativeResources......................................................471. TopicstoDiscusswithAuthorizedRepresentativeChecklist.....................................................472. FacilitationofTransitiontoAuthorizedRepresentativeChecklist.............................................483. AuthorizedRepresentative’sChecklist.......................................................................................51
G. Step5:Prepare—PowerofAttorneyandLastWillandTestament..........................................561. WillandPowerofAttorneyChecklist.........................................................................................562. SampleContinuingPowerofAttorneyforConsultingPracticeProperty...................................603. SampleLastWillandTestament................................................................................................62
Module2...............................................................................................................................64H. BusinessContinuityPlan.........................................................................................................64
1. BusinessContinuityPlanning(BCP)Questions...........................................................................642. BusinessContinuityPlan(BCP)Checklist....................................................................................67
I. Stage1:Prevent......................................................................................................................711. EssentialServicesWorksheet.....................................................................................................712. CriticalActivitiesTemplate.........................................................................................................733. RiskMitigationStrategiesResource...........................................................................................754. RiskAssessmentTable................................................................................................................775. RiskAssessmentWorksheet.......................................................................................................78
J. Stage2:Prepare......................................................................................................................81
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1. ConsultingPracticeImpactAnalysisWorksheet........................................................................812. LossofTechnologyTemplate.....................................................................................................843. RecoveryProcessTemplate........................................................................................................85
K. Stage3:Respond.....................................................................................................................861. IncidentResponseChecklist.......................................................................................................86
L. Stage4:Recover......................................................................................................................871. IncidentRecoveryChecklist........................................................................................................872. BusinessRecovery:PriorityforResumptionofConsultingPractice...........................................893. RecoveryPlanTemplate.............................................................................................................90
M. BusinessContinuityPlanReview.........................................................................................911. ReviewofRecoveryPlanTemplate............................................................................................91
N. BusinessContinuityPlanChecklists.........................................................................................921. ContactandCommunicationsChecklist.....................................................................................922. RelocationorEvacuationSuppliesChecklist..............................................................................943. EmergencyKitContents.............................................................................................................954. AlternateLocations....................................................................................................................96
O. Templates...............................................................................................................................981. ImportantInformationList.........................................................................................................982. ExternalServicesContactDetailsTemplate.............................................................................1003. StaffEmergencyContactDetailsTemplate..............................................................................1014. RolesandResponsibilitiesListTemplate..................................................................................102
P. Samples................................................................................................................................1031. BusinessContinuityTableofContentsSample........................................................................1032. BusinessContinuityPlanSample..............................................................................................1043. BusinessContinuityPlansforInformationandCommunicationTechnologySample..............109
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Module1
A. VoluntaryClosure
1. ClosingDownyourConsultingPracticeChecklistAddressingActiveClientFiles SuggestedAction Check
(√)Notes
1. Decidewhenyouwillstopacceptingnewclients
2. Closeasmanyactiveclientfilesaspossible,asperSection7,ClientFileManagementRegulation
3. Delivertotheclientthefile,alldocumentsandallpropertybelongingtotheclient(A.11.5.1.i,CodeofProfessionalEthics)
4. Considerwhetheryouhaveanyongoingobligations(e.g.,aclientexpectingyoutocompleteaworkpermitrenewalinayear’stime,asethearingdate,etc.)
5. Notifyactiveclientsthatyouwillbeclosingyourconsultingpracticeandinformthemoftheiroptions:i)sign“ReleaseForm”withyourdesignatedAuthorizedRepresentative,ii)dischargerepresentationandengageanAuthorizedRepresentativeoftheirchoice,oriii)dischargerepresentationandnotengageanotherAuthorizedRepresentative
• WhereanAuthorizedRepresentativeistakingoveranactiveclientfile,provideamutuallyagreeduponcommitmentinwriting,whichoutlineshowtheAuthorizedRepresentativewilltakeovertheclientfileandsatisfytheoutstandingundertaking(s.5.3,PlannedorUnplannedAbsenceRegulation)
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SuggestedAction Check(√)
Notes
6. Giveactiveclientsalltheinformationthatmayberequiredinconnectionwiththematter,includingupcomingdeadlines(A.11.5.1.ii,CodeofProfessionalEthics)
7. Accountforallfundsofactiveclientsheldorpreviouslydealtwithandrefundanyfundsnotearnedduringtheretainer(A.11.5.1.iii,CodeofProfessionalEthics)
8. Renderanaccounttoactiveclientsofanyoutstandingfeesanddisbursements(A.11.5.1.iv,CodeofProfessionalEthics)
9. Transferactiveclientfiles,aspertherequestoftheindividualclient
10. Obtainacknowledgementofreceiptofclientfilefromeachactiveclient
11. Cooperatewithsuccessor,asapplicable,soastominimizeexpenseandavoidprejudicetotheclient(A.11.5.1.v,CodeofProfessionalEthics)
12. Notify(within10days)anygovernmentagencywhereyournameappearsasrepresentativefortheactiveclient(A.11.5.1.vi,CodeofProfessionalEthics)
AddressingClosedFiles SuggestedAction Check
(√)Notes
1. Reviewclosedfilestodeterminewhethertheyshouldcontinuetobestored(minimumofsixyears—s.7.2,ClientFileManagementRegulation)ordestroyed(s.10,ClientFileManagementRegulation)
2. ConsiderhowhardcopyandsoftcopyclosedclientfileswillbestoredinfulfillmentofSections6&7oftheClientFileManagementRegulation
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AddressingFinances SuggestedAction Check
(√)Notes
1. Prepareandsendanyfinalinvoices
2. Closeallclientaccountsafterreturninganyrefundstoactiveclients
3. Payanyoutstandingconsultingpracticeliabilities,including:payroll,incometax,etc.
4. Determinewhetheritisnecessarytoleaveopenageneralaccountwithareservetosatisfyanyoutstandingobligationsorforreceiptofanyaccountsreceivableafteryourconsultingpracticeisclosed
AddressingStaff/Employees/Agents SuggestedAction Check
(√)Notes
1. Givestaff/employees/agentssufficientnoticeofterminationofemploymentoragentagreementorcompensationinlieuofnotice(verifystatutorynoticerequirement)
2. Arrangetocancelorotherwisedealwithemployeebenefitplans
3. Directyouraccountant/bookkeepertoprepareRecordsofEmployment,calculateallnecessaryholidaypayotherbenefitsaccrued,prepareT-4slipsandmakeallnecessaryremittancestoRevenueCanada
AddressingPremisesandOfficeEquipment SuggestedAction Check
(√)Notes
1. Contactyourlandlordassoonaspossibleand,ifnecessary,makearrangementstosubletorassignyourlease
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SuggestedAction Check(√)
Notes
2. Disposeofofficefurnitureandequipment• Considerleasingobligations
3. Notifypublicutilities
4. Arrangetoforwardyourtelephonecallsandmail
AddressingMemberships SuggestedAction Check
(√)Notes
1. ResignfromICCRCaspertheRCICResignationRegulation,whichmayincludesomeorallofthefollowing:
• Payalloutstandingdues,fees,finesandpenaltiestotheCouncil
• Acknowledgeanyopencomplaints• Closeallclientfilesbyreturningthem
totheclientorbytransferringthemwiththeclient’spermissiontoanotherauthorizedrepresentative
• Closeallclientaccount(s)withallunearnedmoniesbeingsettled(provideReconciliation&ClientAccountbankstatements)
• Provideastatutorydeclaration• ReturnallcopiesoftheICCRC
membershipcertificate(s)andPhotoIDcardtotheCouncil(s.4.1.a-f,RCICResignationRegulation)
• NotifytheRegistrarofthecontactinformationoftheAuthorizedRepresentative,ifapplicable(s.5.2,PlannedorUnplannedAbsenceRegulation)
2. Cancelsubscriptionsandmembershipsfromotherprofessionalorganizations,asneeded
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AddressingProfessionalLiabilityInsurance SuggestedAction Check
(√)Notes
1. Notifyyourprofessionalliabilityinsurancecompanythatyouareclosingyourconsultingpracticeandseekdirectionfornextsteps
2. Considerapplyingfor“RunOff”insurance
Other SuggestedAction Check
(√)Notes
1. Cancelanyadvertisingarrangements
2. Considerrunninganoticeonyourwebsiteforashorttimeadvisingthattheconsultingpracticeisnowclosedandprovidingnewcontactinformation,asappropriate
3. Considerwhoelseyouneedtotellaboutclosingyourconsultingpractice
4. Considerthere-admissionprovisionundersection6oftheRCICResignationRegulation
Modifiedwithauthor’spermission:LawSocietyofAlberta.(2010).PracticeResources—Checklist:ClosingDownYourLawPractice.Retrievedfrom
http://www.lawsociety.ab.ca/lawyers/practice-resources/practice_advice_succession_plan/practice_advice_succession_plan_close.aspx
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2. VoluntaryClosureofConsultingPracticeChecklist
Question Check(√)
Comment
1. AllclientfileshavebeenclosedaccordingtoSection7oftheClientFileManagementRegulationORoneormoreAuthorizedRepresentative(s)havebeendesignatedtoassumeresponsibilityoftheconsultingpractice(s.5.1,PlannedorUnplannedAbsenceRegulation)
2. WhereanAuthorizedRepresentativewasdesignatedtoassumeresponsibilityoftheconsultingpractice:• TheRegistrarhasbeennotified
ofthename,primaryandsecondaryaddress,telephonenumberande-mailaddressoftheAuthorizedRepresentative(s)(s.5.2,PlannedorUnplannedAbsenceRegulation)
• Amutuallyagreeduponcommitmenthasbeenprovidedinwriting,outlininghowtheAuthorizedRepresentativewilltakeovertheclientfilesandsatisfyoutstandingundertakingso TheAuthorized
Representativehasbeenverifiedascompetentinthearea(s)ofimmigration/citizenshiptotakeovertheclientfiles(s.5.3,PlannedorUnplannedAbsenceRegulation)
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Question Check(√)
Comment
3. TheclienthasbeenadvisedtoremoveorchangetheRCIC’snameasrepresentative(s.5.4,PlannedorUnplannedAbsenceRegulation)
4. Therelevantauthorityhasbeenadvisedoftheclient’scontactinformationregardinganyoutstandingmatter(s.5.4,PlannedorUnplannedAbsenceRegulation)
5. AReleaseFormhasbeencompletedwitheachclientandsignedbyallrelevantpartiespriortotransferringtheclientfileoranyclientpropertytotheAuthorizedRepresentative(s.5.5,PlannedorUnplannedAbsenceRegulation)
6. CompletedReleaseFormshavebeenretainedintheclientfile(s.5.5,PlannedorUnplannedRegulation)
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3. SaleofConsultingPracticeChecklist Issue Response Date1. SignReleaseFormwithallactiveclients
2. Allpartiestosignconfidentialityagreement
3. Listtermsandconditionsrequiredonsale
4. Setyouraskingprice—bepreparedtojustifyandvalidatethisfigure
5. Identifythesystemsandproceduresinplace,completedocumentationasrequired
6. Considertime-frameyouarepreparedtoallowpurchaserforduediligence
7. Doyouexpectpaymentforyourtimeinvolvedwithhandover,clienttransitionandtraining?
8. Makeavailablehistoricinformationonclientbase,clientfees,etc.
9. Issuenewemploymentagreementsforallstaff
10. Addressissueofagentrelationship(s)withagentandpotentialpurchaser
11. Determineifworkinprogressistobebilledoutpriortosettlement
12. Transferanyexistingcommitments(e.g.,propertylease,photocopierlease,hardware/softwarelicenses,etc.)topurchaser
13. Instructsolicitortocommencedraftingsalecontract
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Issue Response Date14. Determinebestmethodofmarketingthe
consultingpracticeforsale
15. Developsaleofconsultingpracticeplanandtimeline
16. Determinecommunicationstrategyandplan
17. Decideonappropriatestrategytoadviseclients,staffandagents
18. Ensureclientnotesandfilesarecompleteandfullydocumented
19. Ensurenoclientmattersareunresolved
20. Determinetime-frameforentireprocesstobecompleted
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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4. SuccessionPlanningQuestions
Question KeyFactortoConsider(Y/N)
Response
1. Whatisthefair-market-valueofmyconsultingpractice?
2. Willtheconsultingpracticebesold?Andifso,atwhatprice?
3. Whatsignificancedoestheconsultingpracticehavetomyfamilyandmyself?
4. WhomwouldIchoosetotakeovertheconsultingpractice(NOTE:theindividualperformingimmigration/citizenshipservicesmustbeanAuthorizedRepresentativeandtheCodeandRegulationsmustbeupheld)
• IsthissomeonewithwhomIfeelcomfortable?
• DoIforeseeanyconflictswiththisindividualinthesuccessionprocess?
5. Whataremyexpectationssurroundingthesuccession(e.g.,thatthemissionandmandateoftheconsultingpracticewillremainunchanged,etc.)?
6. Whatwillhappentocurrentstaff/employees?
7. DoIhaveanexitstrategy?Doesmystrategyaddressincapacity,deathandvoluntaryretirement?
8. WhenamIplanningtoretire?
9. HowmuchtimewouldIrequiretogroomasuccessor?
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Question KeyFactortoConsider(Y/N)
Response
10. HaveIestablishedasuccessiontimeline,including:
• Whentheprocessshouldbecommencedandfinished
• Howtocommunicatethetimelinetorelevantparties
11. Howshouldthetransitionbestructured?
12. HaveIspokentomytaxadvisortounderstandsomeofthepossibletaxstrategiesavailablewhenthetransitionoccurs?
13. DoIknowwhatmyretirementincomeneedsaretomaintainmylifestyle?
14. DoesmyConsultingPracticeEstateWilladdressmysuccessionplans?
WorksConsulted:BMOWealthManagement.(2015).SuccessionPlanningisKeyforBusinessOwners.Retrievedfrom
https://nesbittburns.bmo.com/pictures/account-tim.eastwood@nbpcd.com/ID0734SuccessionPlanningisKeyforBusinessOwners(1).pdf
KPMG.(2011).FamilyBusinessSuccession.ManagingtheAll-ImportantFamilyComponent:Whosaysthefamilybusinesswon’tmakeittothenextgeneration?Retrievedfromhttps://www.kpmg.com/ca/en/services/kpmg-enterprise/centre-for-family-business/documents/3468_succession.pdf
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B. Suspension
1. SuccessionPlanningQuestions
Question Check(√) Comment1. AnAuthorizedRepresentativehasbeen
designated,whowillassumeresponsibilityofthepracticeforthedurationofthesuspensionperiod(s.6.1,PlannedorUnplannedAbsenceRegulation)
2. TherequirementsoftheNoticeofSuspensionarebeingmet(s.6.2,PlannedorUnplannedAbsenceRegulation)
3. AReleaseFormhasbeencompletedwitheachclientandsignedbyallrelevantpartiespriortotransferringtheclientfileoranyclientpropertytotheAuthorizedRepresentative(s.6.3,PlannedorUnplannedAbsenceRegulation)
4. CompletedReleaseFormshavebeenretainedintheclientfile(s.3.2.r,PlannedorUnplannedAbsenceRegulation)
5. AcopyofthecompletedReleaseFormhasbeenprovidedtotheclient(s.6.3,PlannedorUnplannedAbsenceRegulation)
6. AcopyofthecompletedReleaseFormhasbeenprovidedtotheAuthorizedRepresentativereceivingtheclientfile(s.6.3,PlannedorUnplannedAbsenceRegulation)
7. Therelevantauthorities(e.g.,IRCC,IRB,relevantPNPoffice,etc.)havebeennotifiedandaskedtoremoveyouastheAuthorizedRepresentativeonrecordonallclientfiles(s.6.4,PlannedorUnplannedAbsenceRegulation)
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C. ContingencyPlan
1. ContingencyPlanningQuestionsPlanningQuestion Comment1. Whataretheessentialservices/functions
carriedoutbyyouandyourconsultingpractice?
2. Haseachessentialservicebeenreviewedtoconsidertheimplicationsofmodifying,reducingand/oreliminatingtheserviceinresponsetoaplannedorunplannedabsencefromtheconsultingpractice?• Whataretheimplicationsrelatedtodue
diligence,liability(legal/civil),publicimageandconfidence?
3. IsthereaneedtoinvolveexternalindividualsinthepreparationandreviewofyourContingencyPlan(e.g.,lawyer,accountant,banker,etc.)?
4. DoyouhaveaCommunicationStrategyforclientsandstaff/employees/agents?
5. DoestheContingencyPlanincludeasystemtoaddressemergenciesthatmayariseonclientfilesintheeventofaplannedorunplannedabsencefromtheconsultingpractice?(s.4.4.a,PlannedorUnplannedAbsenceRegulation)
6. DoestheContingencyPlanincludeaccurateandup-to-dateinformationonofficeprocedures(e.g.,howclientfilesarecreated/stored/closed/destroyed,whatremindersystemsareused,methodsofcommunicatingwithclient,billingprocesses,etc.)?(s.4.4.b,PlannedorUnplannedAbsenceRegulation)
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Question Comment7. DoestheContingencyPlanincludeaccurate
andup-to-dateinformationontheconsultingpractice(e.g.,locationofandaccessto:activeandclosedclientfiles,currentlistofactiveclients,bookkeepingrecordssuchascurrentclientliabilityaccountandclientlist,importantcontactssuchasaccountantandlandlord,softwareandtechnologyused,etc.)?(s.4.4.c,PlannedorUnplannedAbsenceRegulation)
8. DoestheContingencyPlanincludestepstakentofacilitatethesteppinginoftheAuthorizedRepresentative(s)and/orResponsiblePerson,asrequired(e.g.,createdachecklistformaintainingtheoperationoftheconsultingpractice,confirmedthefinancialinstitution’srequirementsforallowinganAuthorizedRepresentativetoaccesstheclientaccount,ensuredthatsufficientfundsareavailabletocoverofficeexpensesforaperiodoftime,etc.)?(s.4.4.d,PlannedorUnplannedAbsenceRegulation)
9. DoestheContingencyPlanincludeaprocesstoappropriatelynotifytheCouncilintheeventoftheincapacitationorothermedicalcondition(s)oftheMembersoanappropriateleaveofabsencefrompracticemaybesought(includingnotifyingtheRegistrarofthename,primaryandsecondaryaddress,telephonenumberande-mailaddressoftheAuthorizedRepresentativeand/orResponsiblePerson)?(s.4.4.e,PlannedorUnplannedAbsenceRegulation)
10. DoestheContingencyPlanincludeaprocesstoappropriatelynotifytheCouncilintheeventofthedeathoftheMemberorthedeclarationoftheMemberasamissingperson(includingnotifyingtheRegistrarofthename,primaryandsecondaryaddress,telephonenumberande-mailaddressoftheAuthorizedRepresentativeand/orResponsiblePerson)?(s.4.4.f,PlannedorUnplannedAbsenceRegulation)
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DesignatinganAuthorizedRepresentativeand/orResponsiblePersonQuestion Comment11. Whomightyouapproachtoserveasyour
designatedAuthorizedRepresentativeand/orResponsiblePersonintheeventofanabsencefromyourconsultingpractice?• Whatrolesandresponsibilitieswouldthis
designatedindividualbeabletoassume?• Doesthissatisfytheneedsofyourclients
andconsultingpractice?
12. HaveyoureviewedyourContingencyPlanwitheachdesignatedindividual(s.4.8,PlannedorUnplannedRegulation)?
13. Haveyousignedthe“DesignationForm”witheachdesignatedindividual(s.4.6,PlannedorUnplannedRegulation)?
14. HaveyouprovidedtheRegistrarwitha“DesignationForm”,datedandsignedbybothparties,containingthecontactinformationofbothparties(s.4.6,PlannedorUnplannedRegulation)?
15. IftherehavebeenanychangestothecontactinformationoftheAuthorizedRepresentativeand/orResponsiblePerson,haveyouupdatedtheRegistrarwithinfifteen(15)calendardays(s.4.9,PlannedorUnplannedRegulation)?
16. Doyouhavea“back-up”AuthorizedRepresentativeand/orResponsiblePerson?
Activating/TerminatingPlanQuestion Comment17. Hasanotificationsystembeencreatedand
documentedtoactivatetheContingencyPlan?
18. HasanotificationsystembeencreatedanddocumentedtoterminatetheContingencyPlan?
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ReviewingPlanQuestion Comment19. Hasaprocessbeenestablishedtoregularly
reviewandupdatetheContingencyPlan?
Modifiedwithauthor’spermission:BusinessDevelopmentBankofCanada(BDC).(2016).Listofquestionsandinitiatives.Businesscontinuityplanandtemplates
forentrepreneurs.Retrievedfromhttps://www.bdc.ca/en/articles-tools/entrepreneur-toolkit/templates-business-guides/pages/business-continuity-guide-templates-entrepreneurs.aspx
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2. ContingencyPlanTemplateThepurposeoftheContingencyPlanistoaddresswhatwilloccurwiththeconsultingpracticeintheeventofaplannedorunplannedabsence.Completethetemplatebelow,withasmuchdetailaspossible.Whereappropriate,attachadditionalstand-alonedocuments/manuals,etc.PartA—EmergencySystem
Possibleemergenciesthatmayariseonmyclientfilesare:
•
•
•
•
•
•
•
•
•
• (addmore,asneeded)
Adetaileddescriptionofmysystemforaddressingemergenciesthatmayariseonclientfilesintheeventofaplannedorunplannedabsencefromtheconsultingpractice(s.4.4.a,PlannedorUnplannedRegulation)isasfollows:
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PartB—OfficeProcedures
Accurateandup-to-dateinformationonmyofficeproceduresisasfollows(orattachOfficeProcedureManual):
OfficeFunction OfficeProcedure1. Creationofclientfiles
2. Storageofclientfiles
3. Closingofclientfiles
4. Destructionofclientfiles
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OfficeFunction OfficeProcedure5. Remindersystems
6. Methodsofcommunicatingwithclients
7. Billingprocesses
8. Other
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OfficeFunction OfficeProcedure9. Other
10. Other
11. Other
12. Other
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PartC—InformationonConsultingPractice
Accurateandup-to-dateinformationonmyconsultingpracticeisasfollows(orattachconsultingpracticeinformationdocument):
AspectofConsultingPractice Information1. Locationofactiveclientfiles
2. Accesstoactiveclientfiles
3. Locationofclosedclientfiles
4. Accesstoclosedclientfiles
5. Listofactiveclients(locationandaccesstolist,orattachcopyoflist)
6. Locationofandaccesstobookkeepingrecords(includingcurrentclientliabilityaccountandclientlist)
7. Importantcontacts,including:accountant,landlord,etc.(locationandaccesstocontacts,orattachlist)
8. OfficeSoftwareandrelevantinformation
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AspectofConsultingPractice Information9. OfficeTechnologyandrelevant
information
10. Other
11. Other
12. Other
13. Other
14. Other
15. Other
16. Other
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PartD—FacilitationofAuthorizedRepresentative
IhavetakenthefollowingstepstofacilitatethesteppinginoftheAuthorizedRepresentative(s)and/orResponsiblePerson(checkallthathavebeentakenandaddotherrelevantsteps):
FacilitatingStep Check(√)
Comments
1. Createdachecklistformaintainingtheoperationoftheconsultingpractice
2. Confirmedthefinancialinstitution’srequirementsforallowinganAuthorizedRepresentativetoaccesstheclientaccount
3. Ensuredthatsufficientfundsareavailabletocoverofficeexpensesforaperiodoftime
4. Other
5. Other
6. Other
7. Other
8. Other
9. Other
10. Other
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PartE—NotifyingtheCouncilinEventofIncapacitation
Intheeventofmyincapacitationorothermedicalcondition(s),theprocessbywhichtheCouncilmightbenotifiedandanappropriateleaveofabsencefrompracticebesoughtisasfollows(NOTE:suchprocessmustincludenotifyingtheRegistrarofthecontactinformation—name,primaryandsecondaryaddress,telephonenumberande-mailaddress—oftheAuthorizedRepresentativeand/orResponsiblePerson):
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PartF—NotifyingtheCouncilinEventofDeath/MissingPersonDeclaration
Intheeventofmydeathordeclarationasamissingperson,theprocessbywhichtheCouncilmightbenotifiedisasfollows(NOTE:suchprocessmustincludenotifyingtheRegistrarofthecontactinformation—name,primaryandsecondaryaddress,telephonenumberande-mailaddress—oftheAuthorizedRepresentativeand/orResponsiblePerson):
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D. Step2:Document—OfficeProcedureManual
1. OfficeProcedureManualChecklistWhencreatingyourOfficeProcedureManual,considerthefollowing:
Topic Check(√)
Comment
AccountsPayable 1. Locationofaccountspayableinformation(s.5.2.e,
ClientFileManagementRegulation)
2. Processfordealingwiththepaymentofaccounts(s.4-6,ClientAccountRegulation)
3. Processforhandlingpayrollandremittance,asapplicable
4. Locationofagentagreement,asapplicable
5. Processforhandlingcompensationtoyouragent,asapplicable(s.8,AgentsRegulation)
6. Locationoftaxrecords
7. Processforremittingtax(e.g.,incometax,HST,etc.)
8. Approachtobillingclients(thismaybeyourgeneralpolicyoritmaybeclient-specific,aspertheretaineragreement)
9. Processforbillingclients(i.e.,sendingoutinvoices)andcollectingclientmoney(s.4,ClientAccountRegulation)
10. Processfororganizingandtrackingbillings(s.5.2.e,ClientFileManagementRegulation)
11. Processforaddressingcollectionsofoutstandingaccounts(A.8.6.1,CodeofProfessionalEthics;s.14.8,RetainerAgreementRegulation)
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Topic Check(√)
Comment
BookkeepingSystem 12. Descriptionofbookkeepingsystem—including
whetheryouareaModel1or2user,whatbookkeepingmethodyouuseforyourclientliabilityaccount,etc.(s.4.2.b,ClientAccountRegulation)
13. Locationofclientaccountdocuments(e.g.,bankstatements,clientaccountliabilityaccount,detailedclientaccountreconciliationstatement,clientlist)(s.9.1.b,ClientAccountRegulation)
14. Informationoffinancialinstitution(name,address,phonenumber)andnameandcontactinformationofaccountmanager(s.4.5,ClientAccountRegulation)
15. Informationofclientaccount(s)(accountnumbers,financialinstitutionname)(s.4.5.a,ClientAccountRegulation)
16. Processforreconcilingtheclientaccounteachmonth
• Contactinformationforbookkeeperoraccountant,asapplicable
(s.9.1,ClientAccountRegulation)
17. Processfortransferringmoneyfromclientaccounttogeneralaccount(e.g.,cheque,electronic,etc.)(s.6,ClientAccountRegulation)
ClientFileManagementSystem 18. Processforgeneratinganactiveclientlist(including
names,addresses,e-mailsandphonenumbers)
19. Processforopeningandmaintainingactiveclientfiles(s.4.4.a;s.6;s.11,ClientFileManagementRegulation)
20. Processforstoringactiveclientfiles(s.4.4.c;s.11,ClientFileManagementRegulation)
21. Locationofactiveclientfiles(s.5.4;s.6.1,ClientFileManagementRegulation)
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Topic Check(√)
Comment
22. Processforstoringandaccessingclosedclientfiles(s.4.4.c;s.8;s.11,ClientFileManagementRegulation)
23. Locationofclosedclientfiles(s.5.4;s.6.1,ClientFileManagementRegulation)
24. Processforclosinganddestroyingclientfiles(s.4.4.e;s.7;s.10,ClientFileManagementRegulation)
ClientProperty 25. Processforstoringandaccessingoriginalclient
documents,asapplicable(s.4.4.d;s.5.3,ClientFileManagementRegulation)
26. Locationoforiginalclientdocuments(s.11,ClientFileManagementRegulation)
27. Processforreceivingandreturning/transferringclientproperty(s.4.4.b;s.4.4.d;s.5.3;s.7.1.b;s.8;s.9;s.11,ClientFileManagementRegulation)
ContactInformation 28. Name,AddressandPhoneNumberfor:
• Accountant• Agent(s)• BankManager• Bookkeeper• Executor(s)• Insurer• Landlord• PowerofAttorney• ServiceProviders• Staff/Employees• TechnologyServiceProvider
Employees 29. Contactinformationofallemployees
30. Jobdescriptionsofallemployees
31. Termsofemploymentforeachemployee
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Topic Check(√)
Comment
32. Locationofrecordsrelatedtoemployees
33. Informationaboutemployeepensionsandotherbenefits
OfficeAdministration 34. Officehours
35. Processforaccessingtheoffice
36. Informationaboutthesecurityoftheoffice(e.g.,alarmsystem,etc.)
37. Processfordealingwithmail(incomingandoutgoing)
38. Processfordealingwithdeliveries(incomingandoutgoing)
39. Processfordealingwithfacsimiles
40. Processforrespondingto/organizinge-mail
41. Informationaboutyourserviceproviders(e.g.,contactinformation,arrangements,etc.)
42. Informationaboutyourwebsite(e.g.,whoisresponsibleforit,howoftenit’supdated,etc.)
43. Technologypolicy
44. Communicationpolicy(e.g.,respondtoe-mailswithintwobusinessdays,etc.)(A.6.1.1.iii,CodeofProfessionalEthics)
OfficeEquipment 45. Informationaboutphotocopier:
• Codes• Owned/leased• Serviceprovider• Warranty
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Topic Check(√)
Comment
46. Informationaboutcomputers/printers:• Computersystemsandsoftware
applications• Owned/leased• Passwords• Serviceproviders• Softwaredisks• Systemforbacking-updata
(computer/externalhard-drive/Cloud,etc.)• Warranties
47. Informationabouttelephone:• Accesstovoicemail• Owned/leased• Passwords• Recordofvoicemail• Retrievingvoicemail• Serviceprovider• Warranty
OfficePremises 48. Informationaboutyourleaseorownershipofthe
officepremises
PowerofAttorney/Will 49. LocationofyourPowerofAttorneyand/orLastWill
andTestamentdocuments
ReminderSystem 50. Processforsetting,trackingandmeetingdeadlines
(i.e.,remindersystem)(A.6.1.1.i;A.6.2.1.iii,CodeofProfessionalEthics)
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2. OfficeProcedureManualTemplate
OfficeProcedureManualfor:[insertnameofconsultingpractice]
Createdby:[insertnameofowner,RCIC]
Date:[insertdateofcreation]
Readby:Name Title Signature Date
1. Purpose
[Describetherelevantbackgroundinformationoftheconsultingpractice.Describewhenand
howtheOfficeProcedureManualistobeimplemented.]
2. Scope[IdentifytheintendedaudienceoftheOfficeProceduresManualand/orOfficeActivitieswhere
theOfficeProceduresmayberelevant.]
TheintendedaudienceoftheOfficeProcedureManualis:______________________________________________________________________________ OfficeActivity1.
2.
3.
4.
5.
3. Prerequisites
[Provideinformation/documentationrequiredbeforeproceedingwitheachOfficeActivity;e.g.,
worksheet,document,list,etc.]
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OfficeActivity Prerequisite(e.g.,worksheet,document,list,etc.)
1.
2.
3.
4.
5.
4. Responsibilities
[Identifytheindividual(s)whohasaprimaryroleintheOfficeActivityanddescribehis/her
responsibilities.Ifnecessary,includecontactinformation.]
OfficeActivity Individual(s)Responsible ContactInformation1.
2.
3.
4.
5.
5. Specificprocedures
[ForeachOfficeActivity,detailtheproceduralsteps(who,what,when,where,why,how)
involvedinperformingtheOfficeActivity.]
OfficeActivity Procedure(who,what,where,why,when,how)1.
2.
3.
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4.
5.
6. Forms/Templatestobeused
[Attachforms/templatesthatmaybeusedwhenperformingtheprocedurefortheOffice
Activity.]
7. References[Listresourcesthatmaybeusefulwhenperformingtheprocedure—e.g.,Communicationpolicy,
IRCC’srequirements,etc.]
8. Updates
Date Author ReasonforChanges DescriptionofChanges
Worksconsulted:TemplateLAB.(n.d.).SOPTemplates02.37BestStandardOperatingProcedure(SOP)Templates.Retrievedfrom
http://templatelab.com/sop-templates/TemplateLAB.(n.d.).SOPWordTemplates03.37BestStandardOperatingProcedure(SOP)Templates.Retrievedfrom
http://templatelab.com/sop-templates/
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3. ClientAccountOfficeProceduresSamplePolicy: Aclientaccountismaintainedinordertosafekeepmoney“…tobeheldonbehalf
ofaClientforfutureunbilledservices,foroverpaymentofbilledservices,forallGovernmentprocessingfees,andforallotherDisbursements…”,incompliancewithSection4.1.aoftheClientAccountRegulation.
Purpose: Toensurethatclientmoneyisproperlycollected,deposited,accountedfor,storedandwithdrawn.
Requirement: CompliancewithICCRC’sCodeofProfessionalEthicsandRegulations,specificallytheClientAccountRegulation.
Responsibilities: • RCICXYisresponsibleforallclientmoneyforservicesrelatedtoimmigrationand/orcitizenship.
• RCICXYisalsoresponsibleforkeepingaccurateandup-to-daterecordsofallclientaccounts.
• AdministrativeAssistantZM,underRCICXY’sdirectsupervision,willcarryoutvariousclientmoneymanagementadministrative/clericaltasks(i.e.organizetheproducedreceiptsandinvoices).
• AccountantRY,underRCICXY’sdirectsupervision,willreconciletheclientaccountandRCICXY’sgeneralbusinessaccountonamonthlybasis.
Procedure CARegulationReference
Receivingearnedclientmoney:cash/cheque 1.1 AdministrativeAssistantZMimmediatelyinformsRCICXYviae-
mailthataclientsenttheconsultingpracticemoneyforaspecificimmigration/citizenshiprelatedservice.
4.1
1.2 RCICXYreviewstheretaineragreementtoconfirmifthemoneywasearnedorunearneduponreceipt.Ifthemoneywasearneduponreceipt,RCICXYdirectsAdministrativeAssistantZMtodepositthemoneyintothegeneralaccount,asRCICXYisaModel2user.
3.1,3.2,4.1,4.2
1.3 AdministrativeAssistantZMmakesnoteofthedepositintheincomeaccount(i.e.thebookkeepingspaceforthegeneralbusinessaccount).TheincomeaccountismaintainedintheMicrosoftExcelspreadsheettitled:“IncomeAccount_GeneralBusinessAccount”).Therecordedentrymustinclude:thetransactiondate,theclientcode(whichwasgenerateduponsigningtheretaineragreement)andthespecificamountdeposited.
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Procedure CARegulationReference
1.4 RCICXYwithdrawsearnedmoneyfromthegeneralbusinessaccounttopayforvariousconsultingpracticeexpenses(e.g.,payroll,rent,etc.).
1.5 RCICXYinformsAdministrativeAssistantZMofthewithdrawalsothatAdministrativeAssistantZMcanupdatetheincomeaccountaccordingly.
Receivingunearnedclientmoney:cash/cheque 2.1 AdministrativeAssistantZMinformsRCICXYviae-mailthata
clientsenttheconsultingpracticemoneyforaspecificimmigration/citizenshiprelatedservice.
4.1
2.2 RCICXYreviewstheretaineragreementtoconfirmifthemoneywasearnedorunearneduponreceipt.Ifthemoneywasunearneduponreceipt,RCICXYdirectsAdministrativeAssistantZMtodepositthemoneyintotheclientaccountwithin14calendardaysofreceipt.
3.1,3.2,4.1,4.2,5.1
2.3 AdministrativeAssistantZMmakesnoteofthedepositintheclientliabilityaccountrecord(i.e.thebookkeepingspacefortheclientaccount).TheclientliabilityaccountismaintainedintheMicrosoftExcelspreadsheettitled:“ClientLiabilityAccount_ClientAccount”).Therecordentrymustinclude:thetransactiondate,theclientcode(whichwasgenerateduponsigningtheretaineragreement)andthespecificamountdeposited.
9.1
2.4 RCICXYmonitorstheclient’sfiletodeterminewhentheunearnedmoneybecomesearned.Whenearned,RCICXYwithdrawsthemoney,aspertheClientAccountRegulationandupdatesboththeclientliabilityaccountandtheincomeaccountaccordingly.
6,9.1
Receivingearnedclientmoney:e-transfer,wiretransfer,etc.
3.1 Uponbeinginformedofanonlinedepositfromthefinancialinstitution,RCICXYreviewstheretaineragreementtoconfirmifthemoneywasearnedorunearneduponreceipt.Ifthemoneywasearneduponreceipt,RCICXYensuresthemoneyhasbeendepositedintothegeneralbusinessaccount.Theincomeaccountand/orclientliabilityaccountmustbeupdatedaccordingly.Seeprocesses1.3and2.3forthefilenamesandlocationoftheserecords.
4.1,4.2,9.1
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Procedure CARegulationReference
3.2 Therecordentrymustinclude:thetransactiondate,theclientcode(whichwasgenerateduponsigningtheretaineragreement)andthespecificamountdeposited.
3.3 RCICXYwithdrawsearnedmoneyfromthegeneralbusinessaccounttopayforvariousconsultingpracticeexpenses(e.g.,payroll,rent,etc.).
3.4 RCICXYinformsAdministrativeAssistantZMofthewithdrawalsothatAdministrativeAssistantZMcanupdatetheincomeaccountaccordingly.
Receivingunearnedclientmoney:e-transfer,wiretransfer,etc.
4.1 Uponbeinginformedofanonlinedepositfromthefinancialinstitution,RCICXYreviewstheretaineragreementtoconfirmifthemoneywasearnedorunearneduponreceipt.Ifthemoneywasunearneduponreceipt,RCICXYensuresthemoneyhasbeendepositedintotheclientaccountwithin14calendardaysofreceipt.
4.1,4.2
4.2 RCICXYinformsAdministrativeAssistantZMofthedepositsothatAdministrativeAssistantZMcanupdatetheclientliabilityaccountaccordingly.Seeprocess2.3forthefilenameandlocationofthisrecords.
4.3 RCICXYmonitorstheclient’sfiletodeterminewhentheunearnedmoneybecomesearned.Whenearned,RCICXYwithdrawsthemoney,aspertheClientAccountRegulation,andupdatesboththeclientliabilityaccountandtheincomeaccountaccordingly.
6,9.1
RevisionsDate Author ReasonforChanges DescriptionofChangesMay1,2017 RCICXY InitialDocument
Workconsulted:bizmanualz.(n.d.).StandardOperatingProcedureTemplate.Retrievedfrom
https://www.bizmanualz.com/sample-policies-procedures
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4. ClientFilesOfficeProceduresSamplePolicy: Aclientfileisopened“…atthetimeofsigningtheRetainerAgreementwiththe
Client…”,incompliancewithSection5.1oftheClientFileManagementRegulation.
Purpose: Toensurethattheclient’sinformation,workingnotes,communicationwithoronbehalfoftheclientandalldocumentsprovidedbyorpreparedonbehalfoftheclientareaccountedfor,storedsafelyandconfidentiallyandareeasilyaccessible.
Requirement: CompliancewithICCRC’sCodeofProfessionalEthicsandRegulations,specificallytheClientFileManagementRegulation.
Responsibilities: • ClientfilemanagementistheresponsibilityofRCICXY.• AdministrativeAssistantZM,underRCICXY’sdirectsupervision,willcarry
outvariousassignedclientfilemanagementtasks.
Procedure CFMRegulationReference
Pre-clientfile 1.1 Enquiries(calls,e-mails,walk-ins,etc.)frompotentialclientsare
recordedbyAdministrativeAssistantZMinthe“PotentialClients”database,includingthefollowinginformation:date,potentialclient’snameandcontactinformation,enquirytype,actiontobetakenandsuggestedtime-frame.
Openingtheclientfile 2.1 RCICXYsignsaretaineragreementwiththeclientandassignsafile
numbertotheclient.
4.4.a,5.1
2.1.a Filenumbersareacombinationofthedatethattheclientsignedtheretaineragreement(monthandyearonly),nextsequentialclientnumberforthecurrentyear,theclient’sinitialsandtheclient’scategoryofrepresentation.Forexample,032016_15_TR_CECwouldindicatethattheclientsignedtheretaineragreementinMarch2016,thatthisisthefifteenthclienttosignaretaineragreementwiththeconsultingpracticethisyear,thattheclient’sfullnameisThomasReeves,andthathewouldliketoapplyundertheCanadianExperienceClass.
4.4.b
2.2 Clientfilesarecreatedinanelectronicdocumentsfolderandstoredontheharddriveoftheconsultingpractice’scomputer.Eachclientfileisencrypted.EncryptioncodesarekeptwithRCICXYanddesignatedAuthorizedRepresentedJS(whoistobecontactedintheeventthattheRCICisabsent,incapacitated,missing,ordeceased).
4.4.a,4.4.c-d,6.1
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Procedure CFMRegulationReference
2.3 RCICXYprovidestheclientwithacopyoftheretaineragreement,obtainswrittenverificationfromtheclientofreceiptofcopyandaddshiscopyoftheretaineragreementtotheclientfile.
5.2.a,
2.4 RCICXYcollectsrelevantinformationfromtheclientandtogetherwiththeclientcompletestheconsultingpractice’sintakeform.Theclient’sintakeformisaddedtotheclientfile.
5.2.c
2.5 AdministrativeAssistantZMensuresthatanyclientinformationordocumentsobtainedfromtheclientpriortothesigningoftheretaineragreementarenowaddedtotheclientfile.Suchdocumentsmightincludetheconsultingpractice’sPreliminaryAssessmentForm,InitialConsultationAgreement,e-mailcommunicationsfromtheclient,etc.
5.2.a
2.6 RCICXYadvisestheclientofthenextstepsandprovidestheclientwithachecklistofdocumentsthattheclientwillneedtoprepareandprovidetoRCICXY.Arecordsummarisingthisadviceismadeandkeptaspartoftheclientfile,togetherwithacopyofthechecklistprovidedtotheclient.
5.2.c
Preparingtheimmigrationapplication 3.1 RCICXYrecordstimespentandtasksperformedonbehalfofthe
clientusing‘Toggl’(atimetrackingapp)andstoresthisrecordintheclientfile.
3.2.n
3.2 Clientfilecontentisbackedupattheendofeachweekusing‘Dropbox’.DropboxusernameandaccesscodeiskeptwithRCICXYanddesignatedAuthorizedRepresentativeJS.
4.4.c,4.4.d,6.1
3.3 RCICXYsendse-mailreminderstotheclienttoproviderequireddocumentsand/orinstructions.Copiesofe-mailsarekeptaspartoftheclientfile.
5.2.c
3.4 RCICXYprovidestheclientwithregulare-mailupdatesontheprogressofthework.Copiesofe-mailsarekeptaspartoftheclientfile.
5.2.c
Checkingtheimmigrationapplication 4.1 RCICXYdeterminesthattheclient’sapplicationisreadyfor
submissionandinvitestheclienttoreviewthedocumentspriortosubmission.Copiesofcommunicationsarekeptaspartoftheclientfile.
5.2.c
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Procedure CFMRegulationReference
4.2 AdministrativeAssistantZMmakestwocopiesofthesubmissionpackage
5.2.b
4.3 RCICXYgeneratesaninvoicethatindicatesthatthesecondmilestone,asagreedupon,hasbeenreached,andfeesheldintheclientaccountarenowconsideredearned.Acopyofthisinvoiceisgiventotheclientandacopyiskeptaspartoftheclientfile.
5.2.e
Submittingtheimmigrationapplication 5.1 Client’sapplicationissubmittedtoIRCC.Thesubmissiondateandthe
mailtrackingnumbersarerecordedintheclientfile.
3.2.g,5.2.h
5.2 AdministrativeAssistantZMaddsonecopyofthesubmissionpackagetotheclientfileandprovidesonecopytotheclient.
5.2.h
Processingtheimmigrationapplication 6.1 OnceIRCCacknowledgesreceiptoftheclient’sapplicationandissues
afilenumber,RCICXYrecordsthisnumberintheclientfileandprovidesthenumberviae-mailtotheclient.
5.2.c
6.2 RCICXYmonitorstheprogressoftheclient’sapplicationandkeepstheclientregularlyupdatedonthestatusofhis/herapplication.Copiesofthosee-mailsarekeptaspartoftheclientfile.
5.2.c
Additionaldocuments/interviews/medicalexams/fees 7.1 WhenIRCCrequeststheclienttosubmitpolicechecks,undergoa
medicalexam,etc.,RCICXYwillcommunicatethistotheclientandkeeparecordofthecommunicationandcopyofthedocumentsintheclientfile.
5.2.b,5.2.c
Communicatingthedecisionofimmigrationapplication 8.1 WhenIRCCmakesafinaldecisionontheclient’sapplication,RCICXY
willsharethisdecisionwiththeclientviaphoneandalsoe-mail.RCICXYwilladvisetheclientoftherelevantnextsteps.Recordsofthesecommunicationswillbekeptaspartoftheclientfile.
5.2.c
Closing/storingtheclientfile 9.1 AdministrativeAssistantZMaccountsforallclientpropertycurrently
heldonbehalfoftheclient.
9.2 RCICXYgeneratesastatementofserviceslistingtheservicesthathavebeenperformedonbehalfoftheclientandhowtheprofessionalfeeswereearned.Acopyofthestatementofserviceswillbeaddedtotheclientfile.
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Procedure CFMRegulationReference
9.3 RCICXYrefundstheclientanyunearnedorunusedclientmoney.Acopyofthecreditmemowillbeaddedtotheclientfile.
7.1.a
9.4 AdministrativeAssistantZMensuresanyclientpropertystillheldonbehalfoftheclientisdeliveredtotheclientandhastheclientacknowledgereceiptofclientproperty.Theclient’sacknowledgementwillbeaddedtotheclientfile.
7.1.b,7.1.c
9.5 RCICXYinformstheclientinwriting,viae-mail,thattheretaineragreementisterminatedandthankstheclientforhis/herbusiness.Acopyofthismessagewillbeaddedtotheclientfile.
7.1.c
9.6 AdministrativeAssistantZMaddsthefilenumbertothelistofclosedfiles.
7.3
9.7 AdministrativeAssistantZMensuresthefileismovedfromtheactiveclientfileslocationtotheclosedclientfileslocation.
5.4
9.8 AdministrativeAssistantZMnotesthefiledestructiondate(6yearsafterthefileisclosed)andentersareminderforthisinthecompanycalendar.
7.4
9.9 AdministrativeAssistantZMinputsimportantclientremindersinthecompanycalendar;e.g.,client’sworkpermitexpirydate,PRcardrenewaldate,dateafterwhichtheclientwouldbeentitledtoapplyforcitizenship,etc.
RevisionsDate Author ReasonforChanges DescriptionofChangesMay1,2017 RCICXY InitialDocument
Workconsulted:bizmanualz.(n.d.).StandardOperatingProcedureTemplate.Retrievedfrom
https://www.bizmanualz.com/sample-policies-procedures
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E. Step3:Plan—DraftLetterstoClients
1. SampleLettertoClientInformingofUnplannedAbsence[Client’sFullName][Client’sAddress][Date]Dear[Client’sFullName]:Iamwritingtoinformyouthat[RCIC’sName]iscurrentlyabsentfromhis/herconsultingpracticedueto[insertreasonforunplannedabsence].[RCIC’sName]hasinplaceinstructionstobefollowedintheeventofsuchaneventanddesignatedmetoserveashis/herprimarycontactintheeventhe/shewasunabletodosohimself/herself.Iamwritingyoutoday,inmycapacityas[RCIC’sName]designatedAuthorizedRepresentative,toadviseyouofthoseinstructions.Toconfirmtheaforementioneddetails,youareencouragedtocontacttheImmigrationConsultantsofCanadaRegulatoryCouncil(ICCRC),whichisthebodythatregulatesRegulatedCanadianImmigrationConsultants(RCICs)suchas[RCIC’sName]andmyself,bye-mailing:info@iccrc-crcic.ca.
[RCIC’sName]carefullyconsideredwhowouldbestserveashis/herdesignatedAuthorizedRepresentativeand,indoingso,placedfullconfidenceinmyabilitytocompetentlyhandletheimmigration/citizenshipneedsofhis/herclientsinhis/herabsence.
Havingsaidthat,Imustadviseyouofthefollowingoptionsforthefurtherhandlingofyourclientfile:
1. AppointmeasyourAuthorizedRepresentativeuntilsuchtimeas[RCIC’sName]isabletoreturntohis/herconsultingpractice:signa“ReleaseForm”withme,whereuponyourclientfilemaybetransferredtome,remove[RCIC’sName]asyourAuthorizedRepresentative,andsignanewretaineragreementwithme;or
2. Pursuealternativearrangements:signa“ReleaseForm”withme,whereuponIcanaccessyourclientfile(includingallclientproperty)andforwardittoyou,remove[RCIC’sName]asyourAuthorizedRepresentative,andpursuealternativearrangements.IfyouchoosetoengageanotherAuthorizedRepresentative,IwillassistwithtransferringyourfiletotheotherAuthorizedRepresentative,asrequired.
PleasereplytothisletterinwritingtoindicateyourdecisionastothehandlingofyourclientfileandIwillensurethatyourwishesarecarriedouttothebestofmyability.
Sincerely,[RCIC’sName]
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2. SampleLettertoClientAnnouncingPlannedSuccessionofConsultingPractice[Client’sFullName][Client’sAddress][Date]Dear[Client’sFullName]:Iamwritingtoinformyouofmydecisiontoretireattheendofthisyear.AndwhileIwillbeunabletoprovidemyprofessionalservicesasofnextyear,[insertnameofConsultingPractice]willcontinuetoprovidehighqualityservicetomeetyourimmigration/citizenshipconsultingneedsundertheownershipof[insertNameofPurchaser].
Afteracarefulandverythoroughsearch,Iselected[insertNameofPurchaser]totake-over[insertnameof Consulting Practice] due to his/her extensive experience representing [insert category ofrepresentation]cases,his/herwillingnesstocontinueoperatingfromthecurrentlocation,andhis/herexemplary ethical character. [Nameof Purchaser]will be taking over the [insert nameof ConsultingPractice]on[date]andIhaveeveryconfidencethathe/shewillcompetentlyandconscientiouslyservetheneedsoftheclientsof[insertnameofConsultingPractice].
Asthereisanimmigration/citizenshipmatterforwhichyouhavecurrentlyretainedmyservices,youhavetwooptions:
1. Appoint [Name of Purchaser] as your Authorized Representative: discharge me as yourAuthorizedRepresentative,removemeasyourAuthorizedRepresentative,andsignaretaineragreementwiththe[NameofPurchaser],atwhichpointhe/shewillassumeresponsibilityforyour immigration/citizenshipmatter (NOTE: I am happy to arrange ameetingwith [Name ofPurchaser]andyourselfpriortomakingthisdecision),or
2. Pursuealternativearrangements:dischargemeasyourAuthorizedRepresentative,removemeasyourAuthorizedRepresentative,andpursuealternativearrangementsforthehandlingofyourimmigration/citizenshipmatter.IfyouchoosetoengageanotherAuthorizedRepresentative,IwillassistwithtransferringyourfiletotheotherAuthorizedRepresentative,asrequired.
Iwouldliketothankyouforyourpastsupportof[insertnameofConsultingPractice]andkindlyaskthatyoureplytothisletterinwritingtoindicateyourdecisionastothehandlingofyourclientfileandIwillensurethatyourwishesarecarriedouttothebestofmyability.
Sincerely,[RCIC’sFullName]
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3. SampleLettertoClientintheEventofDeathofRCIC [Client’sFullName][Client’sAddress][Date]
Dear[Client’sFullName]:ItiswithgreatsadnessthatIwritethislettertoinformyouthat[RCIC’sFullName]passedawayunexpectedlyon[date].
[RCIC’sName]hadinplaceinstructionstobefollowedintheeventofsuchaneventandhaddesignatedmetoserveashis/herprimarycontact in theeventhe/shewasunable todo sohimself/herself. Iamwritingyoutoday,inmycapacityas[RCIC’sName]designatedAuthorizedRepresentative,toadviseyouof those instructions. To confirm the aforementioned details, you are encouraged to contact theImmigrationConsultantsofCanadaRegulatoryCouncil(ICCRC),whichisthebodythatregulatesRegulatedCanadianImmigrationConsultants(RCICs)suchas[RCIC’sName]andmyself,bye-mailing: info@iccrc-crcic.ca.[RCIC’sName]wantedmetoconveythathe/shecarefullyconsideredwhowouldbestserveashis/herdesignatedAuthorizedRepresentativeand,indoingso,placedfullconfidenceinmyabilitytocompetentlyhandletheimmigration/citizenshipneedsofhis/herclients.
Havingsaidthat,Imustadviseyouofthefollowingoptionsforthefurtherhandlingofyourclientfile:
1. AppointmeasyournewAuthorizedRepresentative:signa“ReleaseForm”withme,whereuponyourclientfilemaybetransferredtome,remove[RCIC’sName]asyourAuthorizedRepresentative,andsignanewretaineragreementwithme;or
2. Pursuealternativearrangements:signa“ReleaseForm”withme,whereuponIcanaccessyourclientfile(includingallclientproperty)andforwardittoyou,remove[RCIC’sName]asyourAuthorizedRepresentative,andpursuealternativearrangements.IfyouchoosetoengageanotherAuthorizedRepresentative,IwillassistwithtransferringyourfiletotheotherAuthorizedRepresentative,asrequired.
PleasereplytothisletterinwritingtoindicateyourdecisionastothehandlingofyourclientfileandIwillensurethatyourwishesarecarriedouttothebestofmyability.Sincerely,[NameofDesignatedAuthorizedRepresentative]
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F. Step4:Designate—AuthorizedRepresentativeResources
1. TopicstoDiscusswithAuthorizedRepresentativeChecklistThefollowingaresomeoftheitems/topicsyoumaywishtodiscusswithyourAuthorizedRepresentativepriortosigningtheDeclarationFormwithhim/her. ItemtoConsider Check
(√)Comment
1. RoleoftheAuthorizedRepresentative(e.g.,winddowntheconsultingpractice,maintaintheconsultingpractice,communicatewithclients,assumeworkonclientfileswithclientconsent,etc.)
2. WhenandunderwhatconditionstheAuthorizedRepresentativewillstepintoyourpractice
3. CompensationfortheAuthorizedRepresentative
4. LocationofyourPowerofAttorneyandLastWillandTestamentdocuments,asapplicable
5. StepstakentofacilitatetheworkoftheAuthorizedRepresentative,shouldtheAuthorizedRepresentativeneedtostepintoyourconsultingpractice
6. Locationofconsultingpracticeinformation(e.g.,OfficeProcedures,ContingencyPlan,BusinessContinuityPlan,etc.)
7. Other:
8. Other:
9. Other:
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2. FacilitationofTransitiontoAuthorizedRepresentativeChecklistInordertofacilitateasmoothtransitionforyourAuthorizedRepresentative,intheeventofaplannedorunplannedabsencefromyourconsultingpractice,haveyou:
Task Check(√)
Comment
1. Implementedanddocumentedaclearsystemforopeningclientfiles?(s.4.4.a,ClientFileManagementRegulation)
2. Implementedanddocumentedaclearsystemforclosingclientfiles(s.4.4.e,ClientFileManagementRegulation)?
3. Implementedanddocumentedaclearsystemforstoringandretrievingactiveandclosedclientfiles(s.4.4.c,ClientFileManagementRegulation)?
4. Implementedaback-upclientfilesystemthatcanbemadeavailabletotheAuthorizedRepresentative,asneeded?
5. Implementedanddocumentedaclearsystemfordestroyingclientfiles(s.4.4.e,ClientFileManagementRegulation)?
6. EnsuredthatyoursystemformanagingclientfilesiseasilyaccessibletoyourAuthorizedRepresentative?
7. Preparedacompletelistofallmattersandclientcontactinformationthatcanbeproducedatanytime?
8. EnsuredthatyourclientlistiseasilyaccessibletoyourAuthorizedRepresentative?
9. Annotatedyourclientfilesclearly,withsufficientdetail,andregularlysothattheAuthorizedRepresentativewillknowwhathashappenedoneachclientfile?
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Task Check(√)
Comment
10.
IncludedaclauseinyourretaineragreementthatstatesiftheClientisunabletocontactyouandhasreasontobelievethatyoumaybedead,incapacitated,etc.,theClientshouldcontactICCRC?(s.8.1,PlannedorUnplannedRegulation)
11.
Placedacopyoftheretaineragreementintheclientfileforeachclient?(s.5.2.a,ClientFileManagementRegulation)
12. Implementedanddocumentedaremindersystemtoensurethatyoumeetallapplicabledeadlines?(A.6.1.1.i;A.6.2.1.iii,CodeofProfessionalEthics)
13. Ensuredthatalldeadlinesarebeingmetonallclientfiles?(A.6.1.1.i,CodeofProfessionalEthics)
14. EnsuredthatalldeadlinesonclientfilesareeasilyaccessibletotheAuthorizedRepresentative?
15. Ensuredthatyouhavereconciledallclientaccountspromptlyandnolaterthan90calendardaysofeachmonth’send(s.9.1.a,ClientAccountRegulation)?
16. Documentedandkeptup-to-dateyourofficeprocedures?(s.4.4.b,PlannedorUnplannedAbsenceRegulation)
17. ImplementedacommunicationprotocolfortheAuthorizedRepresentativetofollowwhencontactingclients?
18. EnsuredthatyourOfficeProcedureManualiseasilyaccessibletotheAuthorizedRepresentative?
19. Preparedandimplementedacontingencyplan?(s.4.4,PlannedorUnplannedAbsenceRegulation)
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Task Check(√)
Comment
20. ReviewedthecontingencyplanwiththeAuthorizedRepresentativeandotherrelevantparties(e.g.,staff,employees,etc.)?(s.4.8,PlannedorUnplannedAbsenceRegulation)
21. RegularlyupdatedtheContingencyPlan?
22. EnsuredthattheContingencyPlaniseasilyaccessibletotheAuthorizedRepresentative?
23. Preparedandimplementedabusinesscontinuityplan?(s.4.10,PlannedorUnplannedAbsenceRegulation)
24.
Regularlyupdatedthebusinesscontinuityplan?
25. EnsuredthatthebusinesscontinuityplaniseasilyaccessibletotheAuthorizedRepresentative?
26. Discussedwithyourfinancialinstitutionwhathappenstoyourclientaccount(s)ifyoubecomeincapacitatedoramissingperson,orifyoudie?(s.4.4.d,PlannedorUnplannedAbsenceRegulation)
27. Consideredalltypesofinsurance,including:
• businessinterruptioninsurance• contentsinsurance• crimescoverage• disability• generalliability• life• propertyinsurance
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3. AuthorizedRepresentative’sChecklistInordertoperformthetaskslistedbelow,youwillneedtohaveaccesstoandreviewtheRCIC’sContingencyPlan,OfficeProcedureManualandBusinessContinuityPlan.
A) BeforeandimmediatelyaftersteppingintoanotherRCIC’sconsultingpractice
Haveyou:
Task Check(√)
Comment
1. NotifiedICCRCofthesituationandconfirmedthatyouarestilltheAuthorizedRepresentativeonfilefortheRCIC,ifthishasn’talreadybeendone?(RefertoPartsEandFofRCIC’sContingencyPlan;s.4.4.e-f,PlannedorUnplannedAbsenceRegulation)
2. ConfirmedwhetherornotanyotherAuthorizedRepresentativeshavebeendesignatedandthescopeofyourauthorityandresponsibility?
3. Obtainedanup-to-datecopyoftheRCIC’sactiveclientlist?(RefertoRCIC’sOfficeProcedureManual)
4. Obtainedanup-to-datecopyoftheRCIC’sclosedclientlist?(RefertoRCIC’sOfficeProcedureManual)
5. MetwiththeRCIC’sstafftoaddressemploymentandrelatedissues,asneeded?
6. Determinedwhereactiveandclosedfilesarestored?(RefertoRCIC’sOfficeProcedureManual)
7. NotifiedalloftheRCIC’sactiveclientsofthesituationaspertheRCIC’scommunicationprotocol(RefertoRCIC’sOfficeProcedureManual;s.7.1,PlannedorUnplannedAbsenceRegulation)?
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Task Check(√)
Comment
8. SignedaReleaseFormwitheachoftheRCIC’sactiveclientstoobtainpermissiontoaccesstheirclientfile?(s.5.5;s.6.3;s.7.2;s.9.2,PlannedorUnplannedAbsenceRegulation)
9. Familiarizedyourselfwithallactiveclientfilesforwhichyouhaveobtainedpermissionfromtheclienttoactonhis/herbehalf?(s.9.2,PlannedorUnplannedAbsenceRegulation)
10. Signedaretaineragreementwitheachactiveclientwhohasaskedyoutoactonhis/herbehalf?
11. Transferredallclientpropertytotheorderoftheclient,iftheclientdoesnotwantyoutoactonhis/herbehalf?(s.9.2,PlannedorUnplannedAbsenceRegulation)
12. Re-familiarizedyourselfwiththeRCIC’sContingencyPlan?
B) WhilemanaginganotherRCIC’sconsultingpractice
Haveyou:
Task Check(√)
Comment
1. GainedaccesstotheRCIC’sofficeandclientfiles?
2. Re-familiarizedyourselfwiththeRCIC’sOfficeProcedures?(ReviewPartBofRCIC’sContingencyPlan)
• Howclientfilesarecreated/stored/closed/destroyed
• Whatremindersystemsareused• Methodsofcommunicatingwith
clients• Billingprocesses,etc.
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Task Check(√)
Comment
3. Re-familiarizedyourselfwiththeinformationontheRCIC’sconsultingpractice?(ReviewPartCofRCIC’sContingencyPlan)Ensuredyouknowthelocationofandhaveaccessto:
• Activeandclosedclientfiles• Currentlistofactiveclients• Bookkeepingrecords(e.g.,current
clientliabilityaccount,clientlist,etc.)
• Importantcontacts(e.g.,accountant,landlord,softwareandtechnologyused,etc.)
4. Re-familiarizedyourselfwiththestepstheRCIChastakentofacilitateyoursteppingin?(ReviewPartDofRCIC’sContingencyPlan)Forexample:
• Checklistformaintainingtheoperationoftheconsultingpractice
• Confirmedthefinancialinstitution’srequirementsforallowingyoutoaccesstheclientaccount
• Ensuredthatsufficientfundsareavailabletocoverofficeexpensesforaperiodoftime
5. FamiliarizedyourselfwiththeRCIC’sdeadlineremindersystem,ensureditisup-to-dateanddeterminedwhetherthereareanymattersthatrequireyourimmediateattention?(RefertoRCIC’sOfficeProcedureManual)
6. Contactedrelevantgovernmentagenciestoinformthemofthesituationandtoreschedulehearingdates,asneeded?
7. DeterminedthetypeofbookkeepingsysteminplaceandwhethertheRCICimplementedModel1or2fordepositingclientfunds?(RefertoRCIC’sOfficeProcedureManual;s.4.2,ClientAccountRegulation)
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Task Check(√)
Comment
8. DepositedanyclientfundsintotheRCIC’sclientaccount(s)thatrequireddepositing?(s.4;s.5,ClientAccountRegulation)
9. Locatedandreviewedrecentbookkeepingrecords(e.g.,clientaccountbankstatements,clientliabilityaccounts,detailedclientaccountreconciliationstatements,clientlists,etc.)?
10. Ensuredthebookkeepingrecordsareup-to-date?
11. Determinedhowthebookkeepingrecordswillbekeptup-to-dateandhowthemonthlyreconciliationswillbeperformed?(RefertoRCIC’sOfficeProcedureManual)
12. ReviewedtheBusinessContinuityPlan?
13. ObtainedaccesstotheRCIC’se-mailaccountandvoicemailservice?(RefertoRCIC’sOfficeProcedureManual)
14. Reviewedunansweredmail,e-mail,facsimilesandphonemessages?
15. Re-familiarizedyourselfwiththeRCIC’sprocessforfilingmail,e-mailandfacsilimes?(RefertoRCIC’sOfficeProcedureManual)
16. Determinedhowyouwillhandlemail,e-mail,facsimilesandphonecallsandvoicemailmovingforward?
17. Determinedhowandwhenbillsarepaid?(RefertoRCIC’sOfficeProcedureManual)
18. Determinedhowandwhowillpreparebillsgoingforward?
19. Identifiedaccountsreceivableandproceduresusedforcollection?(RefertoRCIC’sOfficeProcedureManual)
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Task Check(√)
Comment
20. Determinedwhatsteps(ifany)shouldbetakentocollectaccountreceivables?
21. Determinedhowyouwilldealwithpayrollandremittances,asrequired?
22. Determinedthetypeofcomputersystemandsoftwareapplicationsinplace?(RefertoRCIC’sOfficeProcedureManual)
23. Obtainedaccesstocomputerpasswords?(RefertoRCIC’sOfficeProcedureManualandContingencyPlan)
24. Determinedback-upproceduresandlocatedandsecuredback-updisks/records?(RefertoRCIC’sOfficeProcedureManualandContingencyPlan)
25. Determinedhowback-upwilloccurmovingforward?
26. Determinedifofficeequipmentisownedorleasedandhowtodealwiththeequipment?(RefertoRCIC’sOfficeProcedureManual)
27. Obtainedacopyoftheofficelease,ifapplicable?
28. NotifiedtheLandlordoftheRCIC’sincapacity,missingpersonstatusordeath,asrequired?(RefertoRCIC’sContingencyPlan)
29. Determinedhowtodealwiththeofficepremisesmovingforward?
30. IdentifiedtheemployeesoftheRCIC’sandthetermsoftheiremployment?(RefertoRCIC’sContingencyPlan)
31. Obtainedadvice,ifrequired,regardingemployerobligationsanddeterminedhowtheRCIC’semployerobligationswillbemet?
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G. Step5:Prepare—PowerofAttorneyandLastWillandTestament
1. WillandPowerofAttorneyChecklist
Will QuestiontoConsider Yes/No Comment1. DoyouhaveaGeneralEstateWill?
2. DoyouhaveaConsultingPracticeEstateWill?
3. AreyourWillscurrent?
4. HaveyouensuredthatyourWillsdonotrevokeoneanother?
5. WhenyourWillswerelastupdated,didyoudestroyallpreviouscopies?
6. DoesyourExecutor/spouse/AuthorizedRepresentative/ResponsiblePersonknowwheretheWillislocated?
7. IfappointingyourdesignatedAuthorizedRepresentativetoserveasExecutorfortheconsultingpractice,haveyouconsideredthe:
• AuthorizedRepresentative’sageandoverallhealth
• AvailabilityoftheAuthorizedRepresentative
• NatureandlocationoftheAuthorizedRepresentative’sownconsultingpractice
8. DoesyourWillcontainthenameandcontactinformationofyourExecutor?
9. Haveyouappointedaback-upExecutor?
10. HaveyouagreeduponanddocumentedappropriatecompensationforyourExecutor?
11. DoesyourWillcontaininformationonyouressentialcontacts(e.g.,legal,banking,professional,insurance,etc.)?
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QuestionstoConsider Yes/No Comment12. DoesyourWillprovidedirectiontoyour
Executoronmattersconcerningyourconsultingpractice?
13. HaveyoudesignatedoneormoreAuthorizedRepresentative(s)and/oraResponsiblePersontobetheprimarycontactfortheclientandtheCouncilintheeventofaPlannedorUnplannedAbsence?(s.4.5,PlannedorUnplannedAbsenceRegulation)
14. HaveyoutakenstepstofacilitatethesteppinginoftheAuthorizedRepresentative(s)and/orResponsiblePerson?(s.4.4.d,PlannedorUnplannedAbsenceRegulation)
15. DoesyourWillprovidedirectiontoyourExecutorontheprocessandrequirementsforwindingdownyourconsultingpractice?
16. Hasdirectionbeengivenwithrespecttohowstaff/employees/agentsaretobetreatedduringatransitionorclosureoftheconsultingpractice(e.g.,outstandingvacation,payandsuggestedseverance,etc.)?
17. IsyourExecutorawareofyourbankingarrangement,loansandrequiredpayments?
18. AreyourpasswordcodesaccessibletoyourExecutor?
19. Haveyouestablishedacommunicationapproachfornotifyingclientsandstaff/employees/agentsofasituationandupdatingthemonanongoingbasis?
20. HaveyouestablishedacommunicationapproachfornotifyingICCRCintheeventofdeath?(s.4.4.f,PlannedorUnplannedAbsenceRegulation)
21. Iscleardirectionprovidedforcollectingaccountsreceivable,whichisinaccordancewiththeClientAccountRegulation?
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QuestionstoConsider Yes/No Comment22. Iscleardirectionprovidedforaddressing
payables,whichisinaccordancewiththeClientAccountRegulation?
PowerofAttorney QuestionstoConsider Yes/No Comment1. Areallofyourassetsaddressedundereither
yourPowerofAttorneyforPersonalAssetsorunderyourPowerofAttorneyforConsultingPractice?
2. HaveyouensuredthatyourPowerofAttorneydocumentsdonotrevokeoneanother?
3. Intheeventyoubecomeincapacitated,doyouhavesomeonedesignatedasyourPowerofAttorneytomakebindingdecisionsonyourbehalf?
4. IfappointingyourdesignatedAuthorizedRepresentativetoserveasPowerofAttorneyfortheconsultingpractice,haveyouconsideredthe:
• AuthorizedRepresentative’sage,health,familyandbusinessrelationshipsandexperience
• AvailabilityoftheAuthorizedRepresentative
• AbilityoftheAuthorizedRepresentativetocommunicatewellwiththePowerofAttorneyforPersonalAssets
• NatureandlocationoftheAuthorizedRepresentative’sownconsultingpractice
5. IsyourPowerofAttorneyanAuthorizedRepresentative?
• Ifnot,doeshe/sheunderstandhis/herlimitationswithrespecttotheconsultingpractice?(s.3.2.s,PlannedorUnplannedAbsenceRegulation)
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QuestionstoConsider Yes/No Comment6. Haveyouappointedaback-upPowerof
AttorneyforPersonalAssetsandaback-upforPowerofAttorneyforConsultingPractice?
7. HaveyouagreeduponanddocumentedappropriatecompensationforyourPowerofAttorneys?
8. DoesyourPowerofAttorneyknowyourintentionswithrespecttothecontinuationorwindingdownofyourconsultingpractice?
9. HaveyoudocumentedanyrelevantrestrictionsontheauthorityofthePowerofAttorneys(e.g.,nottoselltheconsultingpracticeforaspecifiedperiodoftime,etc.)?
10. Doyouhaveanalternatesignatory,whichcomplieswiththeClientAccountRegulation,forhandlingcheques?
11. Haveyouestablishedacommunicationapproachfornotifyingclientsandstaff/employees/agentsofasituationandupdatingthemonanongoingbasis?
12. HaveyouestablishedacommunicationapproachfornotifyingICCRCintheeventofincapacitationorothermedicalcondition(s)soanappropriateleaveofabsencefrompracticemaybesought?(s.4.4.e,PlannedorUnplannedAbsenceRegulation)
13. Iscleardirectionprovidedforcollectingaccountsreceivable,whichisinaccordancewiththeClientAccountRegulation?
14. Iscleardirectionprovidedforaddressingpayables,whichisinaccordancewiththeClientAccountRegulation?
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Thefollowingdocumentisasampleonly.ItisrecommendedthatRCICsconsultlegalcounselwhendevelopinganylegallybindingdocument.ForRCICsresidinginQuébec,pleaseresearchasampleof
theMandate.FormoreinformationontheMandate,youmaywishtovisit:http://www.curateur.gouv.qc.ca/cura/publications/mandatE.pdf.
2. SampleContinuingPowerofAttorneyforConsultingPracticeProperty
THISCONTINUINGPOWEROFATTORNEYFORPROPERTYisgivenbyJOSEPHSMITH,oftheCityofTorontointheProvinceofOntario.
1. Revocation-Irevokeanypreviouscontinuingpowerofattorneyforpropertyorotherdelegationofauthoritytoanagentinrespectofmypropertymadebyme.
2. MultiplePowers-IreservetherighttomakemultipleContinuingPowersofAttorneyforProperty.
3. Appointment-IappointSuzyMurphy,RCIC,tobemyattorneyforpropertyandIdeclare
theexpression“myAttorney”usedthroughoutthisdocumentshallmeanmyattorneyforpropertyappointedbyvirtueofthisdocument.
4. Compensation-IauthorizemyAttorneytotakeannualcompensationfrommyproperty
monthly,quarterlyorannually,inaccordancewiththefeescaleprescribedpursuanttotheSubstituteDecisionsAct,1992,asamended.
5. DeclarationasContinuingPower-Ideclarethatthispowerofattorneyforpropertyisa
ContinuingPowerofAttorneywithinthemeaningoftheSubstituteDecisionsAct,1992,asamendedandismadewiththeintentionthattheauthoritygivenhereinmaybeexercisedduringmyincapacitytomanageproperty.
6. GeneralAuthority-MyAttorneyisherebyauthorizedanddirected,formeandinmyname
todoanythingImaylawfullydobyanattorneyandtoexecuteanddeliverallsuchdocumentsandtodoallsuchotheractsandthingsasintheopinionofmyAttorneymaybenecessaryordesirableinconnectiontherewith.
7. ConditionsorRestrictions-ThepowersgrantedtomyAttorneyhereinmaybeexercised
onlyinrelationtomyimmigrationconsultingpractice.Forgreaterclarity,IdirectmyAttorneytomanagemyimmigrationconsultingpracticeinaccordancewiththeICCRC’sBy-Law,CodeofProfessionalEthicsandRegulationsandobtainclientconsentwiththeprescribedreleaseformsnecessarytomanagemyimmigrationconsultingpracticeonmybehalf.
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Ihavesignedthiscontinuingpowerofattorneyforpropertyundersealthis1stdayofJune2017,inthepresenceofthewitnesseswhosenamesappearbelow.
SignedundersealbytheGrantor,JOSEPHSMITH,asandfortheGrantor’sContinuingPowerofAttorneyforProperty,inthepresenceofthewitnessesnamedbelow.NeitherofthewitnessesisanAttorney,aspouseorpartnerofanAttorney,achildoftheGrantororapersonwhomtheGrantorhasdemonstratedasettledintentiontotreatasachild,apersonwhosepropertyisunderguardianshiporwhohasaguardianoftheperson,orwhoisundertheageofeighteenyears.
JOSEPHSMITH
SignatureofWitness SignatureofWitness
Name(pleaseprint) Name(pleaseprint)
Address Address
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Thefollowingdocumentisasampleonly.ItisrecommendedthatRCICsconsultlegalcounselwhendevelopinganylegallybindingdocument.
3. SampleLastWillandTestament
THISISTHELASTWILLANDTESTAMENTofme,JosephSmith,oftheCityofToronto,intheProvinceofOntario.
ARTICLE1–INTRODUCTORYPROVISIONS
1.1 Revocation-IrevokeallpriorWillsandCodicilsmadebyme.
ARTICLE2–EXECUTORSANDTRUSTEES
2.1 Appointment–Iappointmybrother,JohnSmith,tobetheestatetrustee,executorandtrusteeofthisWill.
2.2 AppointmentofSpecialAdvisorandAgent–IdirectmyTrusteetoappointSuzyMurphy,RCIC,toactasthespecialadvisorandagenttomyTrusteewithrespecttoanymattersrelatedtomyimmigrationconsultingpractice,providedthatifSuzyMurphy,RCICisunableorunwillingtoact,IdirectmyTrusteestoappointPaulLam,RCICtoactasthespecialadvisorandagenttomyTrusteewithrespecttoanymattersrelatedtomyimmigrationconsultingpracticeintheplaceofSuzyMurphy,RCIC.
2.3 Compensation-MyTrusteesmaytakeandtransferoutoftheincomeandcapitalofmyestateannualcompensationwhichmyTrusteesreasonablyanticipatetheywillbeentitledtoreceiveattheendoftheaccountingperiodinprogress.
ARICLE3–DISPOSITIVEPROVISIONS
3.1 TransfertoTrustees-Igivealltheassetsofmyestateofeverynatureandkind,bothrealandpersonalandwhereversituate,includinganypropertyoverwhichImayhaveageneralpowerofappointment,tomyTrusteesuponthetrustssetforthinthisWill.
3.2 PaymentofDebts-IdirectmyTrusteestopayoutofandchargetothecapitalofmygeneralestate,mydebts,funeralandtestamentaryexpensesandallsuccessiondutiesandestate,inheritanceanddeathtaxes,andincometaxes,whetherimposedbyorpursuanttothelawofthisoranyotherjurisdictionthatmaybepayableasaconsequenceofmydeath.
3.3 ResidueofmyEstate:IdirectmyTrusteestodividetheresidueofmyestateequallyamongmychildrenaliveonthedateofmydeath.
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ARTICLE4–TRUSTEES’POWERS
[Includepowersforthetrusteesasnecessarybasedonassetsheld.]
INTESTIMONYWHEREOFIhavetothismylastWillandTestament,writtenuponthisandone(1)precedingpageofpaper,subscribedmynamethis1stdayofJune2017.
SIGNED,PUBLISHEDANDDECLAREDbytheTestator,JOSEPHSMITH,asandfortheTestator’sLastWillandTestament,inthepresenceofus,bothpresentatthesametime,whoattheTestator’srequest,intheTestator’spresence,andinthepresenceofeachotherhavehereuntosubscribedournamesaswitnesses.
JOSEPHSMITH
SignatureofWitness SignatureofWitness
Name(pleaseprint) Name(pleaseprint)
Address Address
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Module2
H. BusinessContinuityPlan
1. BusinessContinuityPlanning(BCP)QuestionsPlanningQuestion Comment1. HaveexistingOperatingProceduresbeen
• reviewed• revised,and• documented?
2. Whataretheessentialservices/functionscarriedoutbyyouandyourconsultingpractice?
3. Haseachessentialservicebeenreviewedtoconsidertheimplicationsofmodifying,reducingand/oreliminatingtheserviceinresponsetoaroutineordramaticevent?• Whataretheimplicationsrelatedtodue-
diligence,liability(legal/civil),publicimageandconfidence?
• Whatisthesustainabilityofservicereductionsoveranumberofweeksormonths?
• Whatlevelofstaffabsenteeismwillnecessitateachangetothedeliveryofanyessentialservice/function?
4. Haveallrelevantscenarios,issuesandimplications(including,butnotlimitedto:illness,naturaldisasters,extremeweatherconditions,prolongedpowerorcommunicationfailure,robberyorcriminalactivity,civilunrest,terroristacts,etc.)beenreviewedandaddressedintheBCP?
5. Whatoptionsexistinordertomaintaineachessentialservice/function(e.g.,cancellingvacations,approvingovertime,cross-training,contractingservicesout,etc.)?
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Question Comment6. Havealternativestoface-to-facemeetings
duringapandemicemergencybeenconsidered?
7. Haveplansbeendevelopedforpotentialworkalternatives(e.g.,alternateworksites,workingfromhome,etc.)?
8. Haveemergencykitsbeenpreparedforeachworkspace?
9. Havestaff/employees/agentsbeeneducatedontheimportanceof:• Handwashing• Respiratoryetiquette(i.e.,covering
coughsandsneezes,usingdisposabletissues,etc.)
• Exercise• Howtorecognizethedifferencebetween
acoldandinfluenza(“flu”)(influenzaismoresevereandincludesfeverandaches)
• Howtorecognizethedifferencebetween“seasonalflu”(comeseveryyear)and“pandemicflu”(flustrainchangesandpeoplemaybecomesickerthanusual)
10. Haveyoureviewedyoursickpolicies?• Whatwillyoudoifaworkerbecomesill
whileatwork?• Howareyouensuringregular
decontaminationofofficesurfaces(e.g.,phones,keyboards,doorknobs,etc.)?
• Sickworkersmustnotcometoworkduringapublichealthemergency
• Soapandhotwateroralcohol-basedsanitizersanddisposabletissuesshouldbeavailable
11. Isthereanup-to-datelistofcontactinformationforstaff/employees/agents,inthecaseofanemergency?
12. Dostaff/employees/agentsneedtobeconsultedwithrespecttoemergencyplanning?
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Question Comment13. Isthereaneedtoinvolveexternalindividuals
inthepreparationandreviewofyourBCP(e.g.,lawyer,accountant,banker,etc.)?
14. DoyouhaveaCommunicationStrategyforclientsandstaff/employees/agents?
CommunicatingPlanQuestion Comment15. HastheBCPbeencommunicatedto
staff/employees?
16. Haveadjustmentsbeenmade,basedontesting?
TestingPlanQuestion Comment17. HastheBCPbeentested?
18. Haveadjustmentsbeenmade,basedontesting?
Activating/TerminatingPlanQuestion Comment19. Hasanotificationsystembeencreatedand
documentedtoactivatetheBCP?
20. HasanotificationsystembeencreatedanddocumentedtoterminatetheBCP?
ReviewingPlanQuestion Comment21. Hasaprocessbeenestablishedtoregularly
reviewandupdatetheBCP?
Modifiedwithauthor’spermission:BDC.(2016).Listofquestionsandinitiatives.Businesscontinuityplanandtemplatesforentrepreneurs.Retrievedfrom
https://www.bdc.ca/en/articles-tools/entrepreneur-toolkit/templates-business-guides/pages/business-continuity-guide-templates-entrepreneurs.aspx
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2. BusinessContinuityPlan(BCP)Checklist
A. PlanfortheimpactofanemergencyonyourConsultingPractice Task NotStarted InProgress Completed
1. Identifyessentialstaff/employeesandothercriticalinputs(e.g.,resources,technology,third-partyproviders,etc.)
2. DesignateanAuthorizedRepresentativeand/orResponsiblePersontostep-intomaintainyourconsultingpractice,asneeded
3. Findup-to-date,reliableinformationfromcommunitypublichealth,emergencymanagement,etc.toidentifypossibleroutineanddramaticeventsthatmayhinderorstopnormalofficeprocesses
4. Planforroutineanddramaticeventsthatwouldhinderorstopnormalofficeprocesses
5. Trainandpreparestaff/employeestorespondtovariousroutineanddramaticeventsthatmayhinderorstopnormalofficeprocesses
6. Determinepotentialimpactofanemergencyonfinancialsituationbyexploringmultiplescenariosandplanaccordingly
7. Establishanemergencycommunicationsplanandreviseaccordingly,including:
• Identificationofkeycontacts• Identificationofback-ups• Chainofcommunication• Processfortrackingandcommunicatingbusiness
andemployeestatus
8. TestBCPandreviseregularly
B. Planfortheimpactofanemergencyonyourstaff/employees
Task NotStarted InProgress Completed1. Forecastandallowforstaff/employeeabsencesduringan
emergencyduetofactorssuchaspersonalillness,familymemberillness,communitycontainmentmeasuresandquarantines,schooland/orbusinessclosures,andpublictransportationclosures
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2. Intheeventofapandemic,implementguidelinestomodifythefrequencyandtypeofface-to-facecontact(e.g.,hand-shaking,seatinginmeetings,officelayout,sharedworkstations,etc.)amongstaff/employeesandbetweenstaff/employeesandclients
3. Encourage/trackannualstaff/employeefluvaccination
4. Evaluatestaff/employeeaccesstoavailabilityofhealthcareservicesduringanemergency,andimproveservicesasneeded
5. Evaluatestaff/employeeaccesstoandavailabilityofmentalhealthandsocialservicesduringanemergency,includingcorporate,community,andfaith-basedresources,andimproveservicesasneeded
6. Identifystaff/employeesandclientswithspecialneedsandincorporatetherequirementsofsuchpersonsintoyourpreparednessplan
C. Establishpoliciestobeimplementedduringanemergency
Task NotStarted InProgress Completed1. Establishpoliciesforstaff/employeecompensationand
sick-leaveabsencesuniquetoanemergency(e.g.,non-punitive,liberalleave)
2. Establishflexiblepoliciesre:worksite(e.g.,workingfromhome,etc.)andworkhours(e.g.,staggeredshifts,etc.)
3. Establishpoliciestopreventinfluenzaspreadatworksite(e.g.,respiratoryhygiene/coughetiquette,andpromptexclusionofpeoplewithinfluenzasymptoms)
4. Establishpoliciesforrestrictingtraveltoaffectedgeographicalareas(domesticandinternational)
5. Establishpoliciesforevacuatingstaff/employees/clientswhoareinornearanaffectedareawhenanemergencyoccurs
6. Provideguidanceforstaff/employeesreturningfromaffectedareas
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Task NotStarted InProgress Completed7. Setuptriggersandproceduresfor:
• Activatingandterminatingtheconsultingpractice’sresponseplan
• Alteringoperations(e.g.,shuttingdownoperationsinaffectedarea,etc.)
• Transferringbusinessknowledgetokeystaff/employees
D. Allocateresourcestoprotectstaff/employeesandclientsduringanemergency
Task NotStarted InProgress Completed1. Providesufficientandaccessibleemergencysupplies
(e.g.,safetyequipment,hand-hygieneproducts,tissuesandreceptaclesfortheirdisposal,firstaidkit,etc.)
2. Enhancecommunicationsandinformationtechnologyinfrastructurestosupportstaff/employeetelecommutingandremoteclientaccess
3. Ensureavailabilityofmedicalconsultationandadviceforemergencyresponse
E. Communicatewithandeducatestaff/employees
Task NotStarted InProgress Completed1. Developanddisseminateprograms/materialscovering
emergencyfundamentals(e.g.,safetyprocedures,evacuation,signsandsymptomsofinfluenza,etc.)
2. Anticipatestaff/employee/clientfearandanxiety,rumoursandmisinformationandplancommunicationsaccordingly
3. Ensurethatcommunicationsareculturallyandlinguisticallyappropriate
4. Disseminateinformationtostaff/employeesaboutyouremergencypreparednessandresponseplan
5. Developplatforms(e.g.,hotlines,dedicatedwebsites,etc.)forcommunicatingemergencystatusandactionstostaff/employees/clientsinsideandoutsidetheworksite
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Task NotStarted InProgress Completed6. Identifycommunitysourcesfortimelyandaccurate
emergencyinformation(domesticandinternational)
F. Coordinatewithexternalorganizationsandhelpyourcommunity
Task NotStarted InProgress Completed1. Understandthecapabilitiesandplansofinsurers,health
plans,andmajorlocalhealthcarefacilities
2. Understandthecapabilitiesandplansoffederal,provincial,andlocalpublichealthagenciesand/oremergencyresponders
3. Communicatewithlocalorprovincialpublichealthagenciesand/oremergencyrespondersabouttheassetsand/orservicesyourandyourconsultingpracticecouldcontributetothecommunity
Modifiedwithauthor’spermission:BDC.(n.d.).Businesscontinuityplanchecklist.Businesscontinuityplanandtemplatesforentrepreneurs.
Retrievedfromhttps://www.bdc.ca/en/articles-tools/entrepreneur-toolkit/templates-business-guides/pages/business-continuity-guide-templates-entrepreneurs.aspx
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I. Stage1:Prevent
1. EssentialServicesWorksheet
Businesscontinuityplanningincludes:
• definingthenatureofallessentialconsultingpracticeservices;• identifyingtheimportanceofthatessentialserviceintermsofthetimeframeinwhichitmust
beresumedinordertoprovideanacceptablelevelofservice;and• consideringtheimpactofaninterruptiontotheseessentialservices.
CategoriesofEssentialServices
Critical: Servicesthatmustbeprovidedimmediately(within24hoursofinterruption)orwilldefinitelyresultinprejudicetoclient,lossofreputationandsignificantlossofrevenue.
Vital: Servicesthatmustbeprovidedwithin72hoursofinterruptionorwilllikelyresultinprejudicetoclient,lossofreputationandsignificantlossofrevenueordisproportionaterecoverycosts.
Necessary: Servicesthatmustberesumedwithin2weeksorcouldresultinprejudicetoclient,considerablelossofreputationordisproportionaterecoverycosts.
Desired: Servicesthatcouldbedelayedfor2weeksorlongerbutarerequiredinordertoreturntonormaloperationconditionsandalleviatefurtherdisruptiontonormalofficeprocesses.
Possibleinterruptionimpactfactors:
• Lossoflife• Disruptionofservicestothepublic• Significantdamagetoortotallossofinfrastructure• Significantlossofrevenue• Disproportionaterecoverycosts• Lossofpublicconfidence• Lossofstaff/employeeconfidence• Lossofvitalrecords• Lossofnationalorinternationalconfidence• Disruptionofservicetogovernmentagenciesandnon-governmentorganizations• Other
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EssentialServicesfor[insertnameofConsultingPractice]
EssentialService Category Priority TimeImpact Comment1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Modifiedwithauthor’spermissionAlbertaEmergencyManagementAgency.(2002).EssentialServices.BusinessContinuityTemplates.Retrievedfrom
http://www.aema.alberta.ca/business-continuity-templates
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2. CriticalActivitiesTemplate
Instructions:Listtheactivitieswhichmustbeperformedtoensureyourconsultingpracticecontinuestooperateeffectively.Thereisspaceforfivecriticalactivitiestobeidentifiedinthechartbelow.Re-usethetemplateasmanytimesasrequiredtoaddressallcriticalactivities.Questions CriticalActivity1:
CriticalActivity2:
CriticalActivity3: CriticalActivity4: CriticalActivity5:
1.ActivityName
2.ActivityDescription
3.Whatisthelosstothefirmifthisactivitycouldnotbeprovided?
a. Lossofrevenue:b. Increasedcosts:c. Staffingimpact:d. Servicedelivery:e. Finesorpenaltiesdue
tomisseddeadlines:f. Legalliability:g. Publicharm:h. Personaldamage:i. Lossofgoodwill:j. Lossofreputation:
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Questions CriticalActivity1:
CriticalActivity2:
CriticalActivity3: CriticalActivity4: CriticalActivity5:
4.Whatisthemaximumamountoftimethisactivitycouldbeunavailable(either100%orpartial)beforethelosseswouldoccur?
a. Hours:b. Days:c. Weeks:d. Months:
5.Doesthisactivityrelyonanyoutsideorthird-partyserviceforitssuccessfulcompletion?
a. No:b. Yes:
6.Onascaleof1to5(1beingMostImportant),wherewouldthisactivityfallintermsofbeingimportanttotheoperationoftheconsultingpractice?
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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3. RiskMitigationStrategiesResource
Topic QuestionstoAsk1. Securingconfidential
information
• Isthefollowinginformationdocumentedandinsafe-keeping:o Clientfiles(includingretaineragreementswithclients)o Employee’sagreementsandarrangementso Clientaccountdetailso Bankandfinancearrangementso Lawyer’snameandcontactdetails
• IsthisinformationaccessibletotheAuthorizedRepresentativeand/orResponsiblePerson?
2.
Insurance • Isthefollowinginsuranceheld:
o Keypersoninsuranceo Propertyinsuranceo Partnership/shareholderinsuranceo Generalliabilityinsurance
3.Financialinstitution • Isthefinancialinstitutionatwhichyoubankpreparedtocontinuewith
theirfinancialarrangement,ifyouwereindebtorwouldtheycalluptheirdebt?
• Doestheconsultingpracticehavesufficientreservestocoverthesituation?
4.
Stafftraining • Havestaffbeentrainedintheirrolesintheeventofaroutineordramatic
event?• HavestaffbeentrainedontheRecoveryPlan?
5.
Proceduresmanual • HasaProceduresManualbeenprepared?• IstheProceduresManualmaintained?• IstheProceduresManualaccessibletotheAuthorizedRepresentative
and/orResponsiblePerson?
6.Jobdescriptions • Havejobdescriptionsbeenprepared?
• ArethejobdescriptionsaccessibletotheAuthorizedRepresentativeand/orResponsiblePerson?
7.Partnershipissues • Iftherearepartnerswithintheconsultingpractice,havetheyclarified
whatwillhappenintheeventoftheirdeathorincapacity?
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Topic QuestionstoAsk8.
Otherbusinessrelationships
• WouldthedeathorincapacitationoftheRCICaffectanyotherbusinessrelationships(e.g.,agents,etc.)?
• IstheinformationaboutotherrelevantbusinessrelationshipsaccessibletotheAuthorizedRepresentativeand/orResponsiblePerson?
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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4. RiskAssessmentTable
Key:
VH: VeryHigh1:VeryHighPriorityDate:______________________________H: High5:LowPriorityM: ModerateL: Low
RiskDescription Likelihood
(VH-L)
Impact
(VH-L)
Priority
(1-5)
PreventativeAction ContingencyPlans
(shorttermandlongterm)
1.
2.
3.
4.
5.
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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5. RiskAssessmentWorksheet
Riskassessmentinvolvesdeterminingtheeventsthatcanadverselyaffectaconsultingpractice,thedamagesucheventscancause,thetimescaleneededtorestorenormalofficeprocessesandthecontrolsthatcanbeimplementedtoreducethepossibilityofimpact.
Legend
Probability: Theprobabilityofaneventoccurring(basedoneitherhistoryoranestimate)thatmayimpactyourconsultingpractice.
o Low:5yearsorlessfrequentlyo Medium:3-5yearso High:within1-3years
Danger: Thelevelofdangertostaff/employees/agents/clients.
o Low:eventoccurrenceunlikelytokillorinjureo Medium:eventoccurrencelikelytocausepossibleinjuryorpossiblydeatho High:eventoccurrencelikelytocausemanyinjuriesandsomefatalities
Resources: Thethreattoresources(otherthanpersonnel).
o Low:minorornodamageo Medium:moderatedamagetomostresourceso High:allormostresourcesseriouslydamagedordestroyed
Services: Theeffectsthehazardmayhaveonthebusinessservices,excludingtheimpactonresourcesorsafety.
Externaleffects:resultoflossofserviceduetohazardimpacttothesurroundingregionorcommunity
Internaleffects:impactsonservicesatspecificworklocations,withoutdamagetoresourcesorpersonnelsafety
o Low:minordisruption,shortperiodicdelaystoserviceso Medium:moderatedisruption,lossofserviceforseveraldayso High:majordisruption,lossofservicefordaysorweeks
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RiskAssessmentfor[insertnameofConsultingPractice]
Note:“0”impliesnotapplicable.
Threat Probability Impact Danger Resources Services Total 0-5 0-5 0-5 0-5 0-201. Flooding a. Internal b. External 2. Fire a. Internal b. External 3. Earthquake 4. Windstorm 5. Tornado 6. Snowstorm 7. Icestorm 8. Drought 9. Epidemic(allnaturesof
illness)
10. Explosion 11. Gasleak 12. Structural 13. ITInfrastructure a. Systemsoftware b. Application
software
c. Hardware d. Virus e. Hacking/Intrusion f. Network
connectivity
g. Thirdpartyfailure(vendor)
h. Operationalerrors 14. Utilities a. Sewage b. Water c. Electrical d. Communications
15. Terrorism 16. Sabotage 17. Bombthreat 18. BiologicalThreat 19. NuclearThreat
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Threat Probability Impact Danger Resources Services Total 0-5 0-5 0-5 0-5 0-20
20. ChemicalThreat 21. Criminal a. Theft b. Vandalism c. Espionage d. Bribery
22. Workstoppage 23. Workaction 24. Civildisorder 25. Humanerror 26. Other
Modifiedwithauthor’spermissionAlbertaEmergencyManagementAgency.(2002).RiskAssessment.BusinessContinuityTemplates.Retrievedfrom
http://www.aema.alberta.ca/business-continuity-templates
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J. Stage2:Prepare
1. ConsultingPracticeImpactAnalysisWorksheet
ConsultingPracticeName:
Location(BuildingAddress,City/Town):
EssentialService:
EssentialServiceCategory:Critical–mustbeprovidedwithin24hoursVital–mustbeprovidedwithin72hoursNecessary–mustberesumedwithintwoweeksDesired–couldbedelayedfortwoweeksorlonger
SpecificService:[Providea1-2sentencedescriptionoftheessentialservice.]
InterruptionImpact:[Briefdescriptionofthequalitativeorquantitativeimpactofnotcontinuingtheservice(mayincludedamage/threattosafety/securityofRCIC/staff/employees/clients,assets,reputation,finances,etc.).]
InfluencingFactors:Specificdeadlines?
NO YESDetails:
Regulatoryrequirements? NO YESDetails:NormalStandardStatement:[Provideadetaileddescriptionofhowtheserviceisnormallyprovided,towhomtheserviceisprovided,andwhyifapplicable.]
MinimumStandardStatement:[Statetheminimumstandardatwhichtheservicemustbeperformed.]
HumanResourceRequirements:
Name Position/RoleWorkPhone/CellPhone/HomePhone
RemoteAccess
CapabilityY/N
PrimaryandAlternateE-E-mail
EssentialSkillSet/RequiredCertifications,Accreditations,etc.
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InfrastructureandResourceRequirements:
ITEMDETAIL
(minimumnumber,minimumcapability,minimumcapacity,hoursrequiredperday,minimumsize,etc.)Offices
Furniture Communication
IT(Software/Hardware) Other
VitalRecords:Whatvitalrecords(includingclientfiles)arerequiredtocontinuetoprovidethisservice?
Paper- Electronic- Arethereanyback-upsoftheserecords?
YES NO
Ifyes,where?
Interdependencies:
Theconsultingpracticedependsonthefollowingserviceproviders/governmentagencies: N/AServiceProvider/Government
Agency DescriptionofInterdependency ContactName Phone#
RemoteAccessViability:
Canthefunctionbeperformedremotely?
NO YESDetails:CanVitalRecordsbeaccessedremotely?
NO YESDetails:
ForImpactAssessmentsofNecessaryandDesiredServicesONLY:
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Couldthisservicebevoluntarilysuspended? NO YES MaximumTolerableOutage?
Impactofthevoluntarysuspension?
Availableresourcestoaugmentotherareasduetothissuspension
Type/DescriptionofResource(e.g.staff/employee,laptop,etc.) NumberAvailable
Modifiedwithauthor’spermissionAlbertaEmergencyManagementAgency.(2007).ConsultingPracticeImpactAnalysisWorksheet.BusinessContinuityTemplates.Retrievedfrom
http://www.aema.alberta.ca/business-continuity-templates
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2. LossofTechnologyTemplate
Consideryourtechnologysystemsandthepriorityofthesesystems,yourtoleranceforunavailabilityofthesesystemsandhowregularlyyoubackupdata.
System TolerableOutage TolerableDataLoss1. ClientFileManagement
2. E-mail
3. Fileserver/sharing
4. Financial(bookkeeping)
5. Network(includingremoteaccess)
6. Payroll
7. Phones(landline)
8. Phones(mobile)
9. Website
10. Other
11. Other
12. Other
ResourcemodifiedunderCreativeCommonsAttribution—Non-commerciallicence3.0NewZealand:ImproveIT.(n.d.).RiskAssessment.Businesscontinuityplantemplate.Retrievedfrom
https://improveit.org/understandit/disaster-recovery/business-continuity-plan-template
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3. RecoveryProcessTemplate
System TolerableOutage TolerableDataLoss1. ClientFileManagement
2. E-mail
3. Fileserver/sharing
4. Financial(bookkeeping)
5. Network(includingremoteaccess)
6. Payroll
7. Phones(landline)
8. Phones(mobile)
9. Website
10. Other
11. Other
12. Other
ResourcemodifiedunderCreativeCommonsAttribution—Non-commerciallicence3.0NewZealand:ImproveIT.(n.d.).RiskAssessment.Businesscontinuityplantemplate.Retrievedfrom
https://improveit.org/understandit/disaster-recovery/business-continuity-plan-template
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K. Stage3:Respond
1. IncidentResponseChecklist
IncidentResponse Check(√) ActionsTakenHaveyou:
• Assessedtheseverityoftheincident?
• Evacuatedthesiteifnecessary?
• Accountedforeveryone?
• Identifiedanyinjuriestopersons?
• ContactedEmergencyServices?
• ImplementedyourIncidentResponsePlan?
• Startedaneventlog?
• Activatedstaffmembersandresources?
• Gainedmoreinformationasapriority?
• Briefedstaff/employees/agent(s)ontheincident?
• Allocatedspecificrolesandresponsibilities?
• Identifiedanydamage?
• Identifiedcriticalactivitiesthathavebeendisrupted?
• Understoodandcompliedwithanyregulatoryorcompliancerequirements?
• Initiatedmedia/publicrelationsresponse?
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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L. Stage4:Recover
1. IncidentRecoveryChecklist
Nowthatthecrisisisover,haveyou:IncidentResponse Check(√) ActionsTaken
• Refocusedeffortstowardrecovery?
• Continuedtogatherinformationaboutthesituationasitaffectsyou?
• Assessedyourcurrentpersonalfinancialposition?
• Assessedthecurrentfinancialpositionofyourconsultingpractice?
• Completedcashflowandprofitandlossforecasts?
• Contactedyourinsurancebroker/company?
• Developedfinancialgoalsandtime-framesforrecovery?
• Decidedwhetheryouwillfundthereopeningoftheconsultingpracticefromthepracticeitselforothersources?
• Keptclients,staffandotherstakeholdersinformed?
• Identifiedinformationrequirementsandsourcedtheinformation?
• Setprioritiesandrecoveryoptionsandactions?
• UpdatedtheRecoveryPlan?
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IncidentResponse Check(√) ActionsTaken• Documentedlessonslearnedfromyour
individualandconsultingpracticerecovery?
• Ensuredadequateresources(staff,finances,etc.)tobringtheconsultingpracticeuptoformeroperatinglevels?
• Reviewedexistingdebtfinancingarrangements?
• Consideredwhetheryourconsultingpracticeisstillsituatedintherightlocation,giventhepotentialchangedmarketconditions?
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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2. BusinessRecovery:PriorityforResumptionofConsultingPractice
Inanemergency,ifyouareunabletocontinueallservices,consultingpracticeservicesshouldberesumedinthefollowingorder:
1) Prioritizethemostimportantconsultingpracticeservicesandclientsituations2) Outlineconsultingpracticeresumptionneeds
PowerOutageChecklist
ImmediateSteps Step Check
(√)Comment
1. Makesurebuildingissafetooccupy—evacuateifit’snot
2. Contacttelephoneproviderandforwardbusinessphonestocellphone
3. ContactHydrocompanytodeterminelengthofoutage
4. Getextracashfrombankforcashpurchases
5. Considertemporaryrelocationoutdoors(assessweather,temperature)
6. Considergettingfans/heaterstocontrolofficeclimate
7. Assessgeneratorrentalcostversusexpectedoutage• Ifgeneratorisrequired,contacttoolrentalstore
andrequestthefollowing:□Generatorwithenoughpowerforlightsandcomputer□Standuplightsforworkandofficespace□Powerbarswithsurgeprotection□Extensioncordstoreachfrombackparkinglottofrontofoffice□Gasordieselforgenerator(andcansforstorage)□Oilforgenerator□Setupinstructions,otherrequiredsafetyInformation
Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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3. RecoveryPlanTemplateCriticalActivity Preventative/RecoveryActions Resource
Requirements/OutcomesRecoveryTimeObjective
Responsibility Completed(dd/mm/yyyy)
1.
2.
3.
4.
5.
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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M. BusinessContinuityPlanReview
1. ReviewofRecoveryPlanTemplateRegularlyreviewandupdatetheRecoveryPlantomaintainaccuracyandreflectanychangesinsideoroutsidetheconsultingpractice,includingbynotlimitedto:
• Staff/employee/agentchanges• Changeinthestructureand/orsuppliersoftheconsultingpractice• Aroutineordramaticevent
Updated/ReviewDate ReasonforReview ChangesMade
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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N. BusinessContinuityPlanChecklists
1. ContactandCommunicationsChecklistWritedownthetimeofcallandallimportantinformation.Youwillneedthefollowing:
• EmergencyContactList• Penandpaper
FirstPriority
Task Check(√)
Comment
Call9-1-1ifneeded
Contact(Owner)toadviseofsituationat:
Contactstaff/employeeswhoarenotawareofsituation(SeeContactList)
Calltelephoneserviceprovidertoforwardlandlinetocellphone(s)
Contactpaymentprocessingmachineprovider
Notifylandlordifnotalreadydone,ifappropriate
Contactneighbours,findalternateworkspace
Contactdriverstohelpre-locate(seeContactList)
Contactinsurancecompanytoreportincidentandactivateclaim,asappropriate
Others—identifydependingonscenario(Hydro,Electrician,etc.)
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SecondPriority Task Check
(√)Comment
Postsignageondoorwithnewlocation,websiteandphonenumber
Updatewebsite
Contactclientstoadviseofdelaysandarrangements
Contactsuppliers/deliveries/mailserviceofnewlocation
Postsignageatnewworkspace
Usesocialmediatoadvertisetemporarylocation
CalllocalPoliceDepartmentifneededtodiscusssecurityofevacuatedspace
Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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2. RelocationorEvacuationSuppliesChecklistIfthereistimeanditissafetodosoduringanemergency,thefollowingsuppliesshouldbegathered(if
thereisnottime,thesesuppliesmayhavetobepurchasedorrequestedfromserviceprovider—keepall
receiptsforinsurancepurposes,asapplicable):
□Keys
□Cellphoneandcharger
□Insurancepapers□BusinessContinuityPlan□Laptop□ContactList
□Clientaccountledger/financialdocuments
□Clientfiles,asappropriate□Payrollinformation,ifapplicable
□Powerbarandextensioncords□Other:□Other:□Other:Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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3. EmergencyKitContentsListtheitemscontainedintheemergencykitandwhenitwaslastupdated.EXAMPLE:Theemergencykitwaslastupdatedon:__________________________________
□Packageofpens
□5notebooks
□Flashlight
□Batteries(forflashlightandanythingelserequired)dateforreplacement:______________________
□Powerbar
□Extensioncord
□Cellphonecharger
□PSTandGSTnumbers
□Copyofinsurance
□Copyofbusinesslicense
□EmergencyContactList
□Extrasetofkeys
□FirstAidKit
□Bottledwaterandnon-perishablefooditems
□Anythingelseyouneedtobesafeandkeepworking
Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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4. AlternateLocations
Dependingontheweatherandthesituation,youmightconsiderworkingoutsidetemporarilyoryoumay
needtofindanindoorlocation.Thischecklisthelpschooseoptionsforboth.
NOTES:1)Knowwhatinsurancewillcoverandplanaccordingly.2)Inanemergency,recordinformation
aboutthelocationyouwillmovetoincludingaddress,contactinformation,securityinformation,etc.
IndoorLocationsAsuitableindooralternatelocationmayincludesomeofthefollowing:
□Workingspace
□Officespace(sometaskscouldbedoneoff-site)
□Accesstowater□Accesstopowerandplugs(e.g.,forphone,laptop,etc.)
□Accesstointernet□Washroomaccessforstaff
□Securelocationforofficeequipment,clientfiles,etc.
□AreatopostsignageanddirectclientsPotentialalternatetemporaryindoorlocationsinclude:
□_____________________________________________________□Otherneighbour_______________________________________□Colleagues’office______________________________________□NearbyCommunityCentre
Standardroomrentalrates:Roomsavailable/size/cost
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OutdoorLocationsAsuitableoutdoorlocationshouldhavethefollowing:
□Appropriatelysizedpop-uptent□Accesstowater□Nearbyaccesstosecuritystorage□Signageforclients□Secureareaforclientfiles□Nearbyaccesstointernet(e.g.,coffeeshop,library,etc.)□GeneratorifpowerisnotavailableelsewhereAlternatelocationsinclude:
□Backparkingarea□Frontsidewalk□Otherneighbours□Nearbypark□Other____________________________________□Other____________________________________Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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O. Templates
1. ImportantInformationListTopic InformationConsultingPractice ConsultingPracticeAddress
ConsultingPracticeBusinessNumber
ConsultingPracticePhoneNumber
ConsultingPracticeHours:ServiceHours:StaffonSite:
ConsultingPracticeOwnerContactDetails
ConsultingPracticeEmployees/StaffContactDetails
BuildingLandlord’sNameandContactDetails
HydroCompany’sNameandContactDetails
Plumber’sNameandContactDetails
Electrician’sNameandContactDetails
Handyman’sNameandContactDetails
WebDesigner’sNameandContactDetails
Bookkeeper’s/Accountant’sNameandContactDetails
FinancialInstitution’sNameandContactDetails
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Topic InformationInternetServiceProvider’sNameandContactDetails
InsuranceProvider’sNameandContactDetails
Other
Safety FireExtinguisherLocation
FirstAidKitLocation
EmergencyGrabandGoKitLocation
HotWaterTankLocation
ElectricalBreakerLocation
EmergencyContactListLocation
Other
EmergencyServiceandEquipment Generator/LightRentalContactDetails
Tent
AirConditioner
Other
Neighbours/Networks
Workconsulted:CityofVancouver.(2014).EmergencyandBusinessContinuityPlan.Retrievedfrom
http://vancouver.ca/files/cov/Emergency-Business-Continuity-Plan-Template.pdf
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2. ExternalServicesContactDetailsTemplateKeyContacts Name(s) ContactNumber(s)DesignatedAuthorizedRepresentative(s)
DesignatedResponsiblePerson(s)
Police
EmergencyServices
Ambulance
Medical
Security
Lawyer
InsuranceCompany
BankManager
Landlord
ITSupport
WaterandSewage
Gas
Electricity
Telephone
Internet
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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3. StaffEmergencyContactDetailsTemplatePerson ContactNumber E-mail Responsibilities1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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4. RolesandResponsibilitiesListTemplateRole DesignatedStaffMember Alternate
EmergencyResponsibilities:• • • • • • • • •
Role DesignatedStaffMember Alternate
EmergencyResponsibilities:• • • • • • • • •
ThistextisanextractfromtheGuidetoPracticeManagementforSmall-andMedium-SizedPractices,ThirdEditionoftheSMPCommittee,publishedbytheInternationalFederationofAccountants(IFAC)inDecember2012andisusedwithpermissionofIFAC.ContactPermissions@ifac.orgforpermissiontoreproduce,storeortransmit,ortomakeothersimilarusesofthisdocument.
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P. Samples
1. BusinessContinuityTableofContentsSampleTableofContents
1. Introduction
2. Prioritiesandresponsibilitiesfor[organization’sname]
3. Keyrisksandminimisationmeasures3.1 Assumptions3.2 Disasterevents3.3 Lossoftechnology
4. Rolesandresponsibilities
5. Emergencyrecoveryprocess5.1 ActivatetheEmergencyEvacuationProcedures5.2 ActivatetheBusinessContinuityPlan5.3 Managestaff’simmediateconcerns(duringbusinesshours)5.4 Lettingstaffknowabouttheemergency(outsidenormalbusinesshours)
6. Businessrecoveryprocess6.1 Setupthebusinessrecoveryoffice(temporaryoff-sitelocation)6.2 Communicationprioritiesandprocesses6.3 Reinstateservicesattheoffice
7. BusinesscontinuityplansforInformationandCommunicationTechnology(ICT)7.1 Payroll7.2 E-mail7.3 Network(includingfile&print)&remoteaccess7.4 Phones–landlines7.5 Phones–mobile7.6 Bookkeepingandaccountingsystems7.7 Website
8. Contactlists8.1 Staff/employeecalltree8.2 Staff/employee,stakeholderandemergencycontactlists
DocumentControl—RevisionHistoryRevision Date Author Reasonforchange
ResourcemodifiedunderCreativeCommonsAttribution—Non-commerciallicence3.0NewZealand:ImproveIT.(n.d.).Businesscontinuityplan.Businesscontinuityplantemplate.Retrievedfrom
https://improveit.org/understandit/disaster-recovery/business-continuity-plan-template
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2. BusinessContinuityPlanSample
ABCConsulting
BusinessContinuityPlan(BCP)PreparedbyShaniceDixon,Owner
UpdatedJanuary10,2017
I. AuthorizedRepresentativeand/orResponsiblePerson
AuthorizedRepresentativeName: SuzyMurphyMailingAddress: 500MainStreet,Burlington,ONL7L8R9E-mailAddress: s.murphy@gmail.comTelephoneNumber: 905-289-1000ResponsiblePersonName: AsafaJackson MailingAddress: 50WashingtonBlvd,Kingston,Jamaica,JMAAW04E-mailAddress: malikjackson@yahoo.comTelephoneNumber: +1876-754-2000
II. ABCConsulting’sPolicy
ABCConsulting’spolicyistorespondtoaSignificantBusinessDisruption(SBD)bysafeguardingstaff/employees’livesandconsultingpracticeproperty(includingclientfiles/property,clientaccountrecords,etc.),makingafinancialandoperationalassessment,quicklyrecoveringandresumingoperationsandavoidingprejudicetoourclients.IntheeventwedetermineweareunabletocontinueABCConsulting,wewillcommunicatewithclientsandinitiateappropriatewithdrawalofserviceprocesses(seeArticle11oftheCodeofProfessionalEthics).
A. SignificantBusinessDisruptions(SBDs)
TheBCPplananticipatestwokindsofSBDs,internalandexternal.InternalSBDsaffectonlyABCConsulting’sabilitytocommunicateanddobusiness,suchasafireinoneofourbuildings.ExternalSBDspreventtheoperationoftheimmigrationconsultingindustryoranumberofbusinessesinageographiclocation,suchasaterroristattack,acityflood,awide-scale,regionaldisruption,etc.OurresponsetoanexternalSBDreliesmoreheavilyonotherorganizationsandsystems,especiallyfortheprocessingofdocumentsandapplications.
B. ApprovalandExecutionAuthority
ShaniceDixon,theownerofABCConsulting,isresponsibleforcreatingandapprovingtheplanandforreviewingtheplanonanannualbasis,orsoonerasneeded.ShaniceDixonandAsafJackson(employeeatLocation#2)havetheauthoritytoexecutethisBCP.
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C. PlanLocationandAccess
ABCConsultingwillmaintaincopiesoftheBCPandtheannualreviews.Anelectroniccopyofourplanislocatedonserver_name*.example.org;intheBCPPlanfolder.III. ABCConsultingDescription
ABCConsultingassistsclientswithcompletingandsubmittingLMIAandworkpermitimmigrationapplications.Weareamedium-sizedpracticethatassistsclientscurrentlyresidingintheCaribbeanwhowishtoworkinCanada.IV. OfficeLocations
ABCConsultinghasofficeslocatedinBurlington,OntarioandKingston,Jamaica.
A. OfficeLocation#1:Burlington,Ontario
OurLocation#1Officeislocatedat500MainSt.,Burlington,ON,L7L8R9.Itsmaintelephonenumberis905-289-3000.Ouremployeesmaytraveltothatofficebymeansofcar,bus,train.Weengageinapplicationprocessingatthislocation.
B. OfficeLocation#2:KingstonJamaica
OurLocation#2Officeislocatedat50WashingtonBlvd,Kingston,Jamaica,JMAAW04.Itsmaintelephonenumberis+1876-754-2000.Ouremployeesmaytraveltothatofficebymeansoffoot,car,bus,etc.Weengageinclientrecruitmentatthislocation.V. AlternativePhysicalLocation(s)ofStaff/Employees
IntheeventofanSBD,wewillmoveourstaff/employeesasfollows(provideditissafetodoso):Location#1: OurCommunityCaresCentre 702SurreyLn,Burlington,ONL7T3S6 905-681-2777Location#2: KingstonYMCA 21HopeRd,Kingston,Jamaica
+1876-754-9034VI. DataBack-UpandRecovery(HardandSoftCopy)
ABCConsultingmaintainsitsprimaryhardcopyclientaccountrecordsandclientfilesat500MainSt.,Burlington,ON,L7L8R9anditselectronicrecordsofthesameusingalocallyhostedserver.ShaniceDixon(905-289-3000)isresponsibleforthemaintenanceoftheserecords.ABCConsultingmaintainsitsback-upsoftcopyclientaccountrecordsandclientfilesusingiCloudtechnology.ShaniceDixon[905-289-3000]isresponsibleforthemaintenanceoftheseback-uprecords.ABCConsultingbacksupourrecordsdailybyanautomatedprocess.
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IntheeventofaninternalorexternalSBDthatcausesthelossofourhardcopyrecords,wewillrecoverthemfromoursoftcopyback-up.Ifourprimarysiteisinoperable,wewillcontinueoperationsfromourback-upsiteoranalternatelocation.Forthelossofelectronicrecords,wewilleitherphysicallyrecoverthestoragemediaorelectronicallyrecoverdatafromourback-upsite,or,ifourprimarysiteisinoperable,continueoperationsfromourback-upsiteoranalternatelocation.VII. OperationalandFinancialAssessments
A. OperationalRisk
IntheeventofanSBD,wewillimmediatelyidentifywhatmeanswillpermitustocommunicatewithourclients,staff/employees,financialinstitution,governmentagenciesandregulator.AlthoughtheeffectsofanSBDwilldeterminethemeansofalternativecommunication,thecommunicationsoptionswewillemploywillincludeourwebsite,telephonevoicemail,securee-mail,etc.Inaddition,wewillretrieveourkeyactivityrecordsasdescribedinthesectionabove,DataBack-UpandRecovery(HardandSoftCopy).
B. FinancialRisk
IntheeventofanSBD,wewillassessouremergencysurplusandevaluateourabilitytocontinuetooperate.Wewillconsiderwhetheranyefficienciesneedtobemadeintheshortorlong-terminordertoremainoperational.Wewillalsocommunicatewithourinsurertoactivateanyclaimsonadditionalinsurancecoveragewemayhaveprocuredinadvance.VIII. MissionCriticalSystems
ABCConsulting’s“missioncriticalsystems”arethosethatensurepromptandaccurateprocessingofimmigrationapplications.Morespecifically,thesesystemsinclude:
• ClientFileManagementsystem• ClientAccountmanagementsystem(includingreceiptofclientfunds,performingmonthly
reconciliations,maintainingtheliabilityaccount,etc.)• Communicationsystemwithclients(includingupdatingclientsatallnecessarystages)• Communicatingsystemwithgovernmentagencies
Wehaveprimaryresponsibilityforestablishingandmaintainingourbusinessrelationshipswithourclientsandhavesoleresponsibilityforourmissioncriticalfunctions.
Seeattachmentforcomprehensivedescriptionofeachoftheaforementionedmissioncriticalsystems.
IX. AlternateCommunicationsBetweenABCConsultingandClients,Staff/Employees/Agent(s)
andRegulator
A.Clients
Wenowcommunicatewithourclientsusingthetelephone,e-mail,ourwebsite,Canadianmailandin-personvisitsatourJamaicanoffice.IntheeventofanSBD,wewillassesswhichmeansofcommunicationarestillavailabletous,andusethemeansclosestinspeedandform(writtenororal)to
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themeansthatwehaveusedinthepasttocommunicatewiththeotherparty.Forexample,ifwehavecommunicatedwithapartybye-mailbuttheInternetisunavailable,wewillcallthemonthetelephoneandfollowupwherearecordisneededwithpapercopyintheCanadianmail. B.Staff/Employees/AgentsWenowcommunicatewithourstaff/employeesusingtelephone,e-mail,andinperson,etc.IntheeventofanSBD,wewillassesswhichmeansofcommunicationarestillavailabletous,andusethemeansclosestinspeedandform(writtenororal)tothemeansthatwehaveusedinthepasttocommunicatewiththeotherparty.WewillalsoemployacalltreesothatseniormanagementcanreachallemployeesquicklyduringanSBD.Thecalltreeincludesallstaffhomeandofficephonenumbers.Wehaveidentifiedpersons,notedbelow,wholiveneareachotherandmayreacheachotherinperson:Thepersontoinvokeuseofthecalltreeis:ShaniceDixon
Caller CallRecipients[e.g.,PersonA PersonB,PersonC,PersonDPersonC PersonE,PersonF,PersonG.]
C.Regulator
WearecurrentlymembersoftheImmigrationConsultantsofCanadaRegulatoryCouncil(ICCRC).Wecommunicatewithourregulatorusingtelephone,e-mail,Canadianmail,etc.IntheeventofanSBD,wewillassesswhichmeansofcommunicationarestillavailabletous,andusethemeansclosestinspeedandform(writtenororal)tothemeansthatwehaveusedinthepasttocommunicatewiththeotherparty.X. CriticalGovernmentAgencies,FinancialInstitution
A. GovernmentAgencies
Wehavecontactedcriticalgovernmentagencies(agenciesuponwhichwerelyfordocumentationinsupportofimmigrationapplicationsandagenciesuponwhichwerelyforprocessingimmigrationapplications)anddeterminedtheextenttowhichwecancontinueoperatinginlightoftheinternalorexternalSBD.
B. FinancialInstitution
WehavecontactedourfinancialinstitutiontodeterminehowbesttoaccessclientfundsintheclientaccountintheeventofaninternalorexternalSBD.WehavealsomadearrangementsforourdesignatedAuthorizedRepresentativetoaccessclientfunds,asrequired,intheeventtheownerofABCConsulting,ShaniceDixon,isunavailabletodoso.
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Thefinancialinstitutionmaintainingourclientaccountis:TDCanadaTrust,450ApplebyLine,Burlington,ONL7L2Y2,905-639-3561.Thebankmanager’snameisCelineMorrison.XI. RegulatoryReporting
ABCConsultingissubjecttoregulationby:ImmigrationConsultantsofCanadaRegulatoryCouncil(ICCRC).WefileanannualcomplianceauditwithICCRCusingtheInternet.IntheeventofanSBD,wewilldeterminewhetherwecanstillfileusingtheInternetandimmediatelycontactICCRCifalternatearrangementsneedtobemade.ICCRC’sContactInformation:ImmigrationConsultantsofCanadaRegulatoryCouncil5500NorthServiceRoad,Suite1002,BurlingtonOntario,L7L6W6Phone:289-348-0422Tollfree:1-877-836-7543Fax:1-877-315-9868E-mail:info@iccrc-crcic.caXII. UpdatesandAnnualReview
ABCConsultingwillupdatethisplanwheneverwehaveamaterialchangetoouroperations,structure,businessorlocation.Inaddition,ABCConsultingwillreviewthisBCPannually,onMay1,tomodifyitforanychangesinouroperations,structure,businessorlocation.XIII. SeniorManagerApproval
IhaveapprovedthisBCPasreasonablydesignedtoenableourfirmtomeetitsobligationstoclientsintheeventofanSBD.Signed: ShaniceDixonTitle: OwnerofABCConsultingDate: May1,2017Modifiedwithauthor’spermission:FinancialIndustryRegulatoryAuthority.(2010).SmallFirmBusinessContinuityPlanTemplate.
Retrievedfromhttp://www.finra.org/industry/small-firm-business-continuity-plan-template
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3. BusinessContinuityPlansforInformationandCommunicationTechnologySample
A. PayrollCharacteristicofinterruption Shorttermresponse(upto
[TIMEFRAME])Longtermresponse(morethan[TIMEFRAME])
NoaccesstobuildingandnoaccesstoPayrollsystem
Arrangewith[financialinstitution]toprocessthesamepaymentsasthepreviouspayrun
TechnologyadvisortoarrangeforPayrollsoftwareandbackupstobeinstalledonastandalonePC
AccesstobuildingbutnoaccesstoPayrollsystem
Arrangewith[financialinstitution]toprocessthesamepaymentsasthepreviouspayrun
TechnologyadvisortoarrangeforPayrollsoftwareandbackupstobeinstalledonastandalonePC
B. E-mail
Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
NoaccesstobuildingandExchangeserverdown
Accountswillbeset-upforaccessinge-mailviawebmailiftheoutageisextendedUselaptopsandPCsathometoaccesswebmailaccounts
Collectbackuptapesfromoff-sitestoragePurchase/borrowserverandrebuild
AccesstobuildingbutExchangeserverdown
Accountswillbeset-upforaccessinge-mailviawebmailiftheoutageisextended
Collectbackuptapesfromoff-sitestorageMaychooseto“POP”e-maildirecttolaptopsandPCsifdelaysgettingreplacementserverrunningRepairexistingorpurchasenewserverandrebuild
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Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingandfirewalldown—E-mail,Internetaccessunavailable
Accountswillbeset-upforaccessinge-mailviawebmailiftheoutageisextendedUselaptopsandPCsathometoaccesswebmailaccounts
Iffirewalldestroyed,purchaseandsetupnewfirewallTheimplementationofthenewfirewallwillhavetowaituntilaccesstothebuildinghasbeenrestored
Accesstobuildingbutfirewalldown—E-mail,Internetaccessunavailable
ContactITsuppliertoinstallatemporaryreplacementfirewall
Repairexistingorpurchasenewfirewallandrebuild
C. Network(includingfileandprint)andremoteaccess
Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingbutserversoperating
ITsuppliertoprovidesupportremotelyITtoassiststaff/employees/agentsaccessnetworkremotely
Workoff-siteTemporaryITsystemswillbearrangedatrecoveryofficeifnecessary
NoaccesstobuildingandTerminalServernotrunningTherewillbenoaccesstoshareddrivesorprintservices
ITsuppliertoprovidesupportremotelyIftheservercannotbefixedremotely,thereisnoaccesstoshareddrivesorprintservices
TheimplementationorrepairoftheTerminalServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredIfallserversarerunningexcepttheTerminalServer,atsomestageadecisionmaybemadetopurchaseandset-upallservicesattherecoveroffice
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Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
AccesstobuildingbutTerminalServernotrunningTherewillbenoaccesstoshareddrivesorprintservices
ITsupplierstoattemptrepairofserverUntiltheservercanbefixedorreplaced,configurethestandbyservertorunterminalservicesITassiststaff/employees/agentsinaccessingthenewconfiguration
IftheTerminalServerisunrepairable,purchaseanewserverImplementthenew/repairedTerminalServer
D. Phones—landlines
Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingandphonesystemdown
ContactphonesystemsuppliersPhonesystemsupplierstoattemptremoterepairbutunlikelyasphonesystemmustberunningforremoteaccesstoworkArrangefordiversionsofmainnumbertoamobilephoneortoalandlineintherecoveryoffice
Ifphonesystemisunrepairable,purchaseanewsystemTheimplementationorrepairofthephonesystemwillhavetowaituntilaccesstothebuildinghasbeenrestoredArrangeforremovalofphonediversions
Accesstobuildingbutphonesystemdown
ContactphonesystemsuppliersPhonesystemsupplierstoattemptrepairInstallatemporaryphonesystem;callswillautomaticallydiverttotheredemergencyanaloguephoneatreception
Ifphonesystemisunrepairable,purchaseanewsystemImplementthenew/repairedphonesystemArrangeforremovalofphonediversions
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E. Phones—mobileCharacteristicofinterruption Shorttermresponse(upto
[TIMEFRAME])Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingandmobilephonesnotworking
ContactmobilesuppliertoaccessextentofissueArrangefordiversionsofmobilenumbertorecoveryofficeortostaff/employee/agenthomephonesifpossible
ContactmobilesuppliertoaccessextentofissueArrangeforremovalofdiversions
Accesstobuildingbutmobilephonesnotworking
ContactmobilesuppliertoaccessextentofissueArrangefordiversionsofmobilenumbertorecoveryofficeortostaff/employee/agenthomephonesifpossible
ContactmobilesuppliertoaccessextentofissueArrangeforremovalofdiversions
F. ClientAccountBookkeepingSystem
Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingandclientaccountbookkeepingsystemnotworking
ContactITsuppliersITsupplierstoattemptremoterepairofSQLServer
IfSQLServerisunrepairable,purchaseanewserverCollectbackuptapesfromoff-sitestorageTherepairoftheSQLServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredorimplementanew/borrowedserverintherecoveryoffice
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Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Accesstobuildingbutclientaccountbookkeepingsystemnotworking
ITsuppliertoattemptrepairofSQLServer IfSQLserverisunrepairable,purchaseanewserverImplementclientaccountbookkeepingsystemonnewserver
G. ClientFileManagementSystem
Characteristicofinterruption Shorttermresponse(upto[TIMEFRAME])
Longtermresponse(morethan[TIMEFRAME])
Noaccesstobuildingandclientfilemanagementsystemnotworking
ContactITsuppliersITsupplierstoattemptremoterepairofSQLServer
IfSQLServerisunrepairable,purchaseanewserverCollectbackuptapesfromoff-sitestorageTherepairoftheSQLServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredorimplementanew/borrowedserverintherecoveryoffice
Accesstobuildingbutclientfilemanagementsystemnotworking
ITsuppliertoattemptrepairofSQLServer IfSQLserverisunrepairable,purchaseanewserverImplementclientaccountbookkeepingsystemonnewserver
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H. WebsiteCharacteristicofinterruption Shorttermresponse(upto
[TIMEFRAME])Longtermresponse(morethan[TIMEFRAME])
Websitenotworking
ContactwebsitesuppliersWebsitesupplierstoattemptrepairofwebsite
Ifwebsiteisunrepairable,workwithcurrentornewsupplierstorecreatewebsitefrombackupsorredevelop
ResourcemodifiedunderCreativeCommonsAttribution—Non-commerciallicence3.0NewZealand:ImproveIT.(n.d.).Businesscontinuityplan.Businesscontinuityplantemplate.Retrievedfrom
https://improveit.org/understandit/disaster-recovery/business-continuity-plan-template
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notes:
Planned or Unplanned Absence (PUA) | Practice Management Education (PME)
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