Planned or Unplanned Absence (PUA) TOOLKITregistration.iccrc-crcic.ca/admin/contentEngine/.../PUAtoolitEN.pdf · Planned or Unplanned Absence (PUA) Toolkit | Practice Management Education

Planned or Unplanned Absence (PUA)

TOOLKIT

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.

PLANNEDORUNPLANNEDABSENCETOOLKIT 2017-002

©2017 IMMIGRATIONCONSULTANTSOFCANADAREGULATORYCOUNCILCONSEILDERÉGLEMENTATIONDESCONSULTANTSENIMMIGRATIONDUCANADA

Page2of114

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



Page3of114

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



Page4of114

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)



Page5of114

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



Page6of114

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



Page7of114

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



Page8of114

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



Page9of114

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)



Page10of114

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)



Page11of114

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



Page12of114

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.



Page13of114

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?



Page14of114

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/[email protected]/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



Page15of114

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)



Page16of114

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)



Page17of114

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)



Page18of114

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?



Page19of114

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



Page20of114

2. ContingencyPlanTemplateThepurposeoftheContingencyPlanistoaddresswhatwilloccurwiththeconsultingpracticeintheeventofaplannedorunplannedabsence.Completethetemplatebelow,withasmuchdetailaspossible.Whereappropriate,attachadditionalstand-alonedocuments/manuals,etc.PartA—EmergencySystem

Possibleemergenciesthatmayariseonmyclientfilesare:

•

•

•

•

•

•

•

•

•

• (addmore,asneeded)

Adetaileddescriptionofmysystemforaddressingemergenciesthatmayariseonclientfilesintheeventofaplannedorunplannedabsencefromtheconsultingpractice(s.4.4.a,PlannedorUnplannedRegulation)isasfollows:



Page21of114

PartB—OfficeProcedures

Accurateandup-to-dateinformationonmyofficeproceduresisasfollows(orattachOfficeProcedureManual):

OfficeFunction OfficeProcedure1. Creationofclientfiles

2. Storageofclientfiles

3. Closingofclientfiles

4. Destructionofclientfiles



Page22of114

OfficeFunction OfficeProcedure5. Remindersystems

6. Methodsofcommunicatingwithclients

7. Billingprocesses

8. Other



Page23of114

OfficeFunction OfficeProcedure9. Other

10. Other

11. Other

12. Other



Page24of114

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



Page25of114

AspectofConsultingPractice Information9. OfficeTechnologyandrelevant

information

10. Other

11. Other

12. Other

13. Other

14. Other

15. Other

16. Other



Page26of114

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



Page27of114

PartE—NotifyingtheCouncilinEventofIncapacitation

Intheeventofmyincapacitationorothermedicalcondition(s),theprocessbywhichtheCouncilmightbenotifiedandanappropriateleaveofabsencefrompracticebesoughtisasfollows(NOTE:suchprocessmustincludenotifyingtheRegistrarofthecontactinformation—name,primaryandsecondaryaddress,telephonenumberande-mailaddress—oftheAuthorizedRepresentativeand/orResponsiblePerson):



Page28of114

PartF—NotifyingtheCouncilinEventofDeath/MissingPersonDeclaration

Intheeventofmydeathordeclarationasamissingperson,theprocessbywhichtheCouncilmightbenotifiedisasfollows(NOTE:suchprocessmustincludenotifyingtheRegistrarofthecontactinformation—name,primaryandsecondaryaddress,telephonenumberande-mailaddress—oftheAuthorizedRepresentativeand/orResponsiblePerson):



Page29of114

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)



Page30of114

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)



Page31of114

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



Page32of114

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



Page33of114

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)



Page34of114

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.]



Page35of114

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.



Page36of114

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/



Page37of114

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.



Page38of114


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



Page39of114


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



Page40of114

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



Page41of114


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



Page42of114


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.



Page43of114


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



Page44of114

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:[email protected].

[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]



Page45of114

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]



Page46of114

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: [email protected].[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]



Page47of114

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:



Page48of114

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?



Page49of114

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)



Page50of114

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



Page51of114

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)?



Page52of114

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.



Page53of114

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)



Page54of114

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)



Page55of114

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?



Page56of114

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.)?



Page57of114

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?



Page58of114

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)



Page59of114

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?



Page60of114

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.



Page61of114

Ihavesignedthiscontinuingpowerofattorneyforpropertyundersealthis1stdayofJune2017,inthepresenceofthewitnesseswhosenamesappearbelow.

SignedundersealbytheGrantor,JOSEPHSMITH,asandfortheGrantor’sContinuingPowerofAttorneyforProperty,inthepresenceofthewitnessesnamedbelow.NeitherofthewitnessesisanAttorney,aspouseorpartnerofanAttorney,achildoftheGrantororapersonwhomtheGrantorhasdemonstratedasettledintentiontotreatasachild,apersonwhosepropertyisunderguardianshiporwhohasaguardianoftheperson,orwhoisundertheageofeighteenyears.

JOSEPHSMITH

SignatureofWitness SignatureofWitness

Name(pleaseprint) Name(pleaseprint)

Address Address



Page62of114

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.



Page63of114

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



Page64of114

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.)?



Page65of114

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?



Page66of114

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



Page67of114

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



Page68of114

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



Page69of114

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



Page70of114

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



Page71of114

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



Page72of114

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



Page73of114

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:



Page74of114

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?




Page75of114

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?



Page76of114

Topic QuestionstoAsk8.

Otherbusinessrelationships

• WouldthedeathorincapacitationoftheRCICaffectanyotherbusinessrelationships(e.g.,agents,etc.)?

• IstheinformationaboutotherrelevantbusinessrelationshipsaccessibletotheAuthorizedRepresentativeand/orResponsiblePerson?




Page77of114

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.




Page78of114

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



Page79of114

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



Page80of114

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




Page81of114

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.



Page82of114

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:



Page83of114

Couldthisservicebevoluntarilysuspended? NO YES MaximumTolerableOutage?

Impactofthevoluntarysuspension?

Availableresourcestoaugmentotherareasduetothissuspension

Type/DescriptionofResource(e.g.staff/employee,laptop,etc.) NumberAvailable

Modifiedwithauthor’spermissionAlbertaEmergencyManagementAgency.(2007).ConsultingPracticeImpactAnalysisWorksheet.BusinessContinuityTemplates.Retrievedfrom




Page84of114

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



Page85of114

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




Page86of114

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?




Page87of114

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?



Page88of114

IncidentResponse Check(√) ActionsTaken• Documentedlessonslearnedfromyour

individualandconsultingpracticerecovery?

• Ensuredadequateresources(staff,finances,etc.)tobringtheconsultingpracticeuptoformeroperatinglevels?

• Reviewedexistingdebtfinancingarrangements?

• Consideredwhetheryourconsultingpracticeisstillsituatedintherightlocation,giventhepotentialchangedmarketconditions?




Page89of114

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



Page90of114

3. RecoveryPlanTemplateCriticalActivity Preventative/RecoveryActions Resource

Requirements/OutcomesRecoveryTimeObjective

Responsibility Completed(dd/mm/yyyy)

1.

2.

3.

4.

5.




Page91of114

M. BusinessContinuityPlanReview

1. ReviewofRecoveryPlanTemplateRegularlyreviewandupdatetheRecoveryPlantomaintainaccuracyandreflectanychangesinsideoroutsidetheconsultingpractice,includingbynotlimitedto:

• Staff/employee/agentchanges• Changeinthestructureand/orsuppliersoftheconsultingpractice• Aroutineordramaticevent

Updated/ReviewDate ReasonforReview ChangesMade




Page92of114

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.)



Page93of114

SecondPriority Task Check

(√)Comment

Postsignageondoorwithnewlocation,websiteandphonenumber

Updatewebsite

Contactclientstoadviseofdelaysandarrangements

Contactsuppliers/deliveries/mailserviceofnewlocation

Postsignageatnewworkspace

Usesocialmediatoadvertisetemporarylocation

CalllocalPoliceDepartmentifneededtodiscusssecurityofevacuatedspace





Page94of114

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




Page95of114

3. EmergencyKitContentsListtheitemscontainedintheemergencykitandwhenitwaslastupdated.EXAMPLE:Theemergencykitwaslastupdatedon:__________________________________

□Packageofpens

□5notebooks

□Flashlight

□Batteries(forflashlightandanythingelserequired)dateforreplacement:______________________

□Powerbar

□Extensioncord

□Cellphonecharger

□PSTandGSTnumbers

□Copyofinsurance

□Copyofbusinesslicense

□EmergencyContactList

□Extrasetofkeys

□FirstAidKit

□Bottledwaterandnon-perishablefooditems

□Anythingelseyouneedtobesafeandkeepworking





Page96of114

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



Page97of114

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




Page98of114

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



Page99of114

Topic InformationInternetServiceProvider’sNameandContactDetails

InsuranceProvider’sNameandContactDetails

Other

Safety FireExtinguisherLocation

FirstAidKitLocation

EmergencyGrabandGoKitLocation

HotWaterTankLocation

ElectricalBreakerLocation

EmergencyContactListLocation

Other

EmergencyServiceandEquipment Generator/LightRentalContactDetails

Tent

AirConditioner

Other

Neighbours/Networks





Page100of114

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




Page101of114

3. StaffEmergencyContactDetailsTemplatePerson ContactNumber E-mail Responsibilities1.

2.

3.

4.

5.

6.

7.

8.

9.

10.




Page102of114

4. RolesandResponsibilitiesListTemplateRole DesignatedStaffMember Alternate

EmergencyResponsibilities:• • • • • • • • •

Role DesignatedStaffMember Alternate

EmergencyResponsibilities:• • • • • • • • •




Page103of114

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




Page104of114

2. BusinessContinuityPlanSample

ABCConsulting

BusinessContinuityPlan(BCP)PreparedbyShaniceDixon,Owner

UpdatedJanuary10,2017

I. AuthorizedRepresentativeand/orResponsiblePerson

AuthorizedRepresentativeName: SuzyMurphyMailingAddress: 500MainStreet,Burlington,ONL7L8R9E-mailAddress: [email protected]: 905-289-1000ResponsiblePersonName: AsafaJackson MailingAddress: 50WashingtonBlvd,Kingston,Jamaica,JMAAW04E-mailAddress: [email protected]: +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.



Page105of114

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.



Page106of114

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



Page107of114

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.



Page108of114

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:[email protected]. 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



Page109of114

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



Page110of114



Noaccesstobuildingandfirewalldown—E-mail,Internetaccessunavailable

Accountswillbeset-upforaccessinge-mailviawebmailiftheoutageisextendedUselaptopsandPCsathometoaccesswebmailaccounts

Iffirewalldestroyed,purchaseandsetupnewfirewallTheimplementationofthenewfirewallwillhavetowaituntilaccesstothebuildinghasbeenrestored

Accesstobuildingbutfirewalldown—E-mail,Internetaccessunavailable

ContactITsuppliertoinstallatemporaryreplacementfirewall

Repairexistingorpurchasenewfirewallandrebuild

C. Network(includingfileandprint)andremoteaccess



Noaccesstobuildingbutserversoperating

ITsuppliertoprovidesupportremotelyITtoassiststaff/employees/agentsaccessnetworkremotely

Workoff-siteTemporaryITsystemswillbearrangedatrecoveryofficeifnecessary

NoaccesstobuildingandTerminalServernotrunningTherewillbenoaccesstoshareddrivesorprintservices

ITsuppliertoprovidesupportremotelyIftheservercannotbefixedremotely,thereisnoaccesstoshareddrivesorprintservices

TheimplementationorrepairoftheTerminalServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredIfallserversarerunningexcepttheTerminalServer,atsomestageadecisionmaybemadetopurchaseandset-upallservicesattherecoveroffice



Page111of114



AccesstobuildingbutTerminalServernotrunningTherewillbenoaccesstoshareddrivesorprintservices

ITsupplierstoattemptrepairofserverUntiltheservercanbefixedorreplaced,configurethestandbyservertorunterminalservicesITassiststaff/employees/agentsinaccessingthenewconfiguration

IftheTerminalServerisunrepairable,purchaseanewserverImplementthenew/repairedTerminalServer

D. Phones—landlines



Noaccesstobuildingandphonesystemdown

ContactphonesystemsuppliersPhonesystemsupplierstoattemptremoterepairbutunlikelyasphonesystemmustberunningforremoteaccesstoworkArrangefordiversionsofmainnumbertoamobilephoneortoalandlineintherecoveryoffice

Ifphonesystemisunrepairable,purchaseanewsystemTheimplementationorrepairofthephonesystemwillhavetowaituntilaccesstothebuildinghasbeenrestoredArrangeforremovalofphonediversions

Accesstobuildingbutphonesystemdown

ContactphonesystemsuppliersPhonesystemsupplierstoattemptrepairInstallatemporaryphonesystem;callswillautomaticallydiverttotheredemergencyanaloguephoneatreception

Ifphonesystemisunrepairable,purchaseanewsystemImplementthenew/repairedphonesystemArrangeforremovalofphonediversions



Page112of114

E. Phones—mobileCharacteristicofinterruption Shorttermresponse(upto


Noaccesstobuildingandmobilephonesnotworking

ContactmobilesuppliertoaccessextentofissueArrangefordiversionsofmobilenumbertorecoveryofficeortostaff/employee/agenthomephonesifpossible

ContactmobilesuppliertoaccessextentofissueArrangeforremovalofdiversions

Accesstobuildingbutmobilephonesnotworking

ContactmobilesuppliertoaccessextentofissueArrangefordiversionsofmobilenumbertorecoveryofficeortostaff/employee/agenthomephonesifpossible

ContactmobilesuppliertoaccessextentofissueArrangeforremovalofdiversions

F. ClientAccountBookkeepingSystem



Noaccesstobuildingandclientaccountbookkeepingsystemnotworking

ContactITsuppliersITsupplierstoattemptremoterepairofSQLServer

IfSQLServerisunrepairable,purchaseanewserverCollectbackuptapesfromoff-sitestorageTherepairoftheSQLServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredorimplementanew/borrowedserverintherecoveryoffice



Page113of114



Accesstobuildingbutclientaccountbookkeepingsystemnotworking

ITsuppliertoattemptrepairofSQLServer IfSQLserverisunrepairable,purchaseanewserverImplementclientaccountbookkeepingsystemonnewserver

G. ClientFileManagementSystem



Noaccesstobuildingandclientfilemanagementsystemnotworking

ContactITsuppliersITsupplierstoattemptremoterepairofSQLServer

IfSQLServerisunrepairable,purchaseanewserverCollectbackuptapesfromoff-sitestorageTherepairoftheSQLServerwillhavetowaituntilaccesstothebuildinghasbeenrestoredorimplementanew/borrowedserverintherecoveryoffice

Accesstobuildingbutclientfilemanagementsystemnotworking

ITsuppliertoattemptrepairofSQLServer IfSQLserverisunrepairable,purchaseanewserverImplementclientaccountbookkeepingsystemonnewserver



Page114of114

H. WebsiteCharacteristicofinterruption Shorttermresponse(upto


Websitenotworking

ContactwebsitesuppliersWebsitesupplierstoattemptrepairofwebsite

Ifwebsiteisunrepairable,workwithcurrentornewsupplierstorecreatewebsitefrombackupsorredevelop

ResourcemodifiedunderCreativeCommonsAttribution—Non-commerciallicence3.0NewZealand:ImproveIT.(n.d.).Businesscontinuityplan.Businesscontinuityplantemplate.Retrievedfrom


________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ ____________________________________________________________________________________________________________________________________________________________________________________

notes:

Planned or Unplanned Absence (PUA) | Practice Management Education (PME)

[email protected]

Planned or Unplanned Absence (PUA) TOOLKITregistration.iccrc-crcic.ca/admin/contentEngine/.../PUAtoolitEN.pdf · Planned or Unplanned Absence (PUA) Toolkit | Practice Management Education

Documents