PUA Presentation FINAL Current Course Length Use Jul-Sept ...registration.iccrc-crcic.ca/.../PUA_Presentation_FINAL_26May2017.pdf · s.3.2.r, PUA Regulation 13 Planned or Unplanned

Version: 2018-001 July 24, 2018

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Where are we now 3/3

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Planned or Unplanned Absence Course


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By failing to prepare, you are preparing to fail.

Benjamin Franklin


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This course is designed to:

1. Detail what is required in the event of a planned or unplanned absence

2. Demonstrate how to develop a comprehensive Contingency Plan

3. Encourage RCICs to apply risk assessment strategies to their Business Continuity Plan

Course Description

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� This course consists of two modules:

1. Planning for an Absence

2. Business Continuity Planning

� Networking opportunities

Course Overview


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Course Schedule

Module Content/Learning

Objective

Time

Allotted

Morning

Session

Afternoon

Session

Registration Networking Opportunity 15 mins 8:45-9:00 1:15-1:30

Opening Welcome and Course

Overview

10 mins 9:00-9:10 1:30-1:40

#1 Planning for an Absence 90 mins 9:10-10:40 1:40-3:10

BREAK Networking Opportunity 10 mins 10:40-10:50 3:10-3:20

#1 Planning for an Absence 35 mins 10:50-11:25 3:20-3:55

#2 Business Continuity Plan 60 mins 11:25-12:25 3:55-4:55

Closing Wrap-up 5 mins 12:25-12:30 4:55-5:00


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� Course completion

� Attend entire course

� Contribute to learning process

� Member feedback

� Questions are encouraged

� Learning environment

� Interactive

� Undivided attention

� Mutual respect

� Respect diversity

Course Expectations

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1. Do you own a consulting practice (e.g., sole proprietorship, corporation, etc.) or work for an immigration agency?

a. Yes

b. No

Activity

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Poll

2. How many active clients do you currently have?

a. More than 20

b. 7-20

c. 1-6

d. None

Activity

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Poll (cont’d)

MODULE 1: PLANNING FOR AN ABSENCE

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Module 1: Client Records Requirements

At the end of this module, participants will be able to:

� Identify ICCRC’s requirements with respect to various types of

planned and unplanned absences

� Describe the impact of the Planned or Unplanned Absence Regulation on the Code of Professional Ethics and

Regulations

� Relate ICCRC’s Contingency Plan requirements to their current practice and set goals to assist in meeting the requirements

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Module 1 Objectives


At the end of this module, participants will be able to (cont’d):

� Identify scenarios for selecting an Authorized Representative

and/or Responsible Person

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Module 1 Objectives (cont’d)

3. A Planned or Unplanned Absence means:

a. Voluntary closure of practice, death

and incapacity

b. Suspension or revocation

c. Leave of absence, missing person,

or extended travel outside of the

country in which the RCIC

ordinarily resides and/or works

d. All of the above

Activity

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Poll (cont’d)

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“Planned or Unplanned Absence” means voluntary closure of practice, death, Incapacity, suspension or revocation,

leave of absence, Missing Person, or extended travel outside of the country in which the Member ordinarily resides

and/or works

s.3.2.r, PUA Regulation

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Planned or Unplanned Absence Regulation (cont’d)

4. A RCIC who owns an immigration/citizenship consulting practice is required to adhere to the Planned or Unplanned Absence Regulation

a. True

b. False

Activity

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Poll(cont’d)


A Member who owns an immigration/citizenship consulting practice (e.g., sole proprietorship, corporation,

etc.) and a Member working as an employee for an immigration agency is required to adhere to this Regulation

s.4.1, Planned or Unplanned Absence Regulation (PUA Regulation)

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Planned or Unplanned Absence Regulation

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5. Only RCICs who own a consulting practice are required to ensure that client interests are protected in the event of a planned or unplanned absence from the consulting practice

a. True

b. False

Activity

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Poll (cont’d)


All Members are to conduct Client matters in accordance with the Code of Professional Ethics and associated

Regulations and ensure that Client interests are protected in the event of a Planned or Unplanned Absence from the

consulting practice

s.4.2, PUA Regulation

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Planned or Unplanned Absence Regulation (cont’d)

Prepare for a planned/unplanned absence by:

1. Ensuring you are aware of ICCRC’s

requirements, and

2. Informing your staff about these

requirements

Activity

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Activity

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Planned/Unplanned Absence PUA Reg

4. Official leave of absence for:

� Family reasons

� Medical reasons

� Full-time studies

� Working for government

� Unemployment

or travel outside of the country in which RCIC resides

and/or works for more than 30 days, during which

time the RCIC does not intend to perform the usual

duties of his/her consulting practice

� s.4.2

� s.4.4.e

� s.7.1

� s.7.2

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Planned or Unplanned Absences



5. Voluntary Closure of consulting practice � s.4.2

� s.5.1

� s.5.2

� s.5.3

� s.5.4

� s.5.5

6. Suspension � s.4.2

� s.6.1

� s.6.2

� s.6.3

� s.6.4

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Planned or Unplanned Absences (cont’d)



7. Incapacity � s.4.2

� s.4.4.e

� s.9.2

8. Missing Person � s.4.2

� s.4.4.f

� s.9.2

9. Death � s.4.2

� s.4.4.f

� s.9.2

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Planned or Unplanned Absences

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Consider the impact of the Planned or Unplanned Absence Regulation on the Code of Professional Ethics and Regulations

Activity

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Activity

You just received word that you have been accepted to volunteer abroad with refugees. Internet access will be very limited. You leave next month for a six-week placement.

What steps do you need to take

between now and then to ensure that

your consulting practice is well managed while you are away?

Activity

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Activity/Discussion

Actively listen to Chetna Vishav’sexperience with a planned absenceActivity

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Planned Absence

Story

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What lessons can be learned from the RCIC’s experience with a planned absence?

Activity

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Activity/Discussion


Winding down versus Succession

Questions to consider when resigning/retiring:

� What is the value of the consulting practice?

� Will the consulting practice be wound down or sold?

� What will happened to staff/employees?

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Voluntary Closure

You are in a severe car accident, which renders you unconscious for two weeks and unable to move/speak for another four weeks

How would you rate the impact of such an absence on your consulting practice (e.g., office processes and client files)?

□ Minimal to no impact

□ Some impact

□ Significant impact

□ Severe impact

Activity

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Activity/Discussion

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Actively listen to the re-told experience with an unplanned absence

Activity

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Unplanned Absence

Story

What lessons can be learned from this experience with an unplanned absence?

Activity

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Activity/Discussion

What is a Contingency Plan?Activity

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Discussion

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What is it?

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Contingency Plan – What

…a written set of instructions that details what steps will be taken either by the Member, and/or by the Member’s Authorized

Representative(s), and/or by the Member’s Responsible Person,

in the event of a Planned or Unplanned Absence, which would allow for the maintenance or winding down of the Member’s

consulting practice s.3.2.j, PUA Regulation


Why is it needed?

� Protects:

� Clients� Staff/Employees

� RCIC’s Family

� RCIC

� Addresses what will occur with RCIC’s consulting practice in

the event of a planned or unplanned absence (s.4.4, PUA Regulation)

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Contingency Plan – Why


Who must have one?

� RCICs who own a consulting practice and RCICs working as

an employee for an immigration agency are required to create

and maintain a Contingency Plan (s.4.1, s.4.4, PUA

Regulation)

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Contingency Plan – Who

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I. Steps for Sole Owner

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Contingency Plan – How

Step 1: Research

Step 2: Document

Step 3: Plan

Step 4: Designate

Step 5: Prepare

Step 6: Review


� Requirements of financial institution for allowing Authorized Representative to access client account (s.4.4.d, PUA

Regulation)

� Process for establishing legal documents, for example: � Power of Attorney (POA) for Personal Assets and POA for

Consulting Practice

� Continuing POA for Personal Assets and Continuing POA for

Consulting Practice (Mandate in Québec)� Last Will and Testament (Will)

� Needs and options for additional insurance coverage

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Contingency Plan – How (cont’d)

Step 1: Research


� Office Procedure Manual

� How client files are created/stored/closed/destroyed

� What reminder systems are used

� Methods of communicating with clients

� Billing processes (s.4.4.b, PUA Regulation)

� See Toolkit for: � Office Procedure Manual Checklist

� Office Procedure Manual Template

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Step 2: Document

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Create Contingency Plan (s.4.4, PUA Regulation), including:

A. System to address emergencies arising on client files in event of planned/unplanned absence (s.4.4.a, PUA Regulation)

� Who will address emergencies?

� How will that person be notified?

� How will client consent be obtained?

� How will emergencies be prioritized?

� What information must be made accessible (e.g., active client list, deadlines, etc.)?

� How will that information be made accessible?

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Step 3: Plan


Create Contingency Plan (s.4.4, PUA Regulation), including

(cont’d):

B. Accurate and up-to-date information on office procedures

(s.4.4.b, PUA Regulation)

� Review office procedures to maximize efficiency and accessibility

� Update Office Procedure Manual

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Step 3: Plan (cont’d)


Create Contingency Plan (s.4.4, PUA Regulation), including (cont’d):

C. Accurate and up-to-date information on consulting practice (s.4.4.c, PUA Regulation), including location of and access to:

� Active and closed client files

� Current list of active clients

� Bookkeeping records (e.g., current client liability account and client list, etc.)

� Important contacts (e.g., accountant, landlord, software and technology used, etc.)

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(cont’d):

D. Steps taken to facilitate the stepping in of Authorized

Representative/Responsible Person, including:

� Create checklist for maintaining the operation of the consulting practice

� Confirm financial institution’s requirements

� Ensure sufficient funds available to cover office expenses for period of time (s.4.4.d, PUA Regulation)

� Draft letters to notify clients and seek direction

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Create Contingency Plan (s.4.4, PUA Regulation), including (cont’d):

E. Process to notify ICCRC and seek leave of absence in event of incapacitation or medical condition (s.4.4.e, PUA Regulation), including:

� Notifying Registrar of contact information (name, primary and secondary address, telephone number, e-mail address) of Authorized Representative/Responsible Person

� Detailing who notifies ICCRC

� Detailing what triggers the notification process

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(cont’d):

F. Process to notify ICCRC in event of death or declaration of

missing person (s.4.4.f, PUA Regulation), including:

� Notify Registrar of contact information (name, primary and secondary

address, telephone number, e-mail address) of Authorized Representative/Responsible Person

� Detailing who notifies ICCRC

� Detailing what triggers the notification process

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Break

Assess your current Contingency Plan and identify gaps and goals

See Toolkit for: � Contingency Planning

Questions� Contingency Plan Template

Activity

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Activity


� Select and approach Authorized Representative and/or Responsible Person(s) (s.4.5, PUA Regulation)

� Identify the needs of your consulting practice—consider key

responsibilities and tasks

� Determine who is qualified and able to address these needs in an

emergency

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Step 4: Designate

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What is an Authorized Representative?

What is a Responsible Person?

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Authorized Representative/Responsible Person

Means an individual who can offer immigration/citizenship advice and/or service for a fee or other consideration. An Authorized Representative

includes a Member in good standing with a Canadian provincial or territorial law society (including paralegals within their authorized scope of

practice), the Chambre des notaires du Québec or ICCRC. s.3.2.b, PUA Regulation

Means an individual over the age of majority who has immediate access to the jurisdiction where the Member’s office is located. The Responsible

Person is not an Authorized Representative and as such, must not perform tasks which may only be performed by an Authorized Representative.

s.3.2.u, PUA Regulation

When would you designate an Authorized Representative for your consulting practice?

When would you designate a Responsible Person for your consulting practice?

Activity

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Discussion


� Select and approach Authorized Representative and/or Responsible Person(s) (s.4.5, PUA Regulation)

� Identify the needs of your consulting practice—consider key responsibilities and tasks

� Determine who is qualified and able to address these needs in an emergency

� Consider:

� Ability to communicate well with your clients/ICCRC/other parties

� Availability—business and family commitments

� Accessibility—location of candidate

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Step 4: Designate (cont’d)

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� Review Contingency Plan and responsibilities with Authorized

Representative and/or Responsible Person(s) (s.4.8, PUA

Regulation)

� Sign Designation of an Authorized Representative or

Responsible Person Form (Designation Form)

� Complete separate Designation Form for each appointed Authorized Representative and Responsible Person (s.4.6-4.7,

PUA Regulation)

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� Submit Designation Form to Registrar by e-mailing [email protected]

� Existing RCICs: by May 1, 2018

� New RCICs: within 90 calendar days of being registered as an RCIC

� Confirm this information annually (July 1) via compliance audit

s.4.6-4.7, PUA Regulation

� Consider signing an additional agreement with Authorized Representative to detail expectations and compensation

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� Ensure surplus funds available to cover overhead expenses and compensation for a period of time

� Ensure Contingency Plan and Office Procedure Manual are

accessible to relevant parties

� Create POA, Continuing POA and Will

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Step 5: Prepare

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What is the value of preparing a Power of Attorney for consulting practice?

What is the value of preparing a consulting practice Will?

Activity

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Discussion


� Regularly review and update Contingency Plan

� Confirm commitment of Authorized Representative and/or

Responsible Person(s) at least annually (s.4.6-4.7, PUA

Regulation)

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Step 6: Review


II. Steps for Multiple Owners

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Step 1: Research

Step 2: Document

Step 3: Plan

Step 4: Designate

Step 5: Prepare

Step 6: Review

• RCIC partners designated as Authorized Representatives, consider

need for Responsible Person(s)

• Obtain input from all RCIC partners

• Ensure all RCIC partners have access to client account

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Module 2: Record Keeping SYstems

� Closing Down your Consulting Practice Checklist

� Voluntary Closure of Consulting Practice Checklist

� Sale of Consulting Practice Checklist

� Succession Planning Questions

� Suspension Checklist

� Client Account Office Procedures Sample

� Client Files Office Procedures Sample

� Sample Letter to Client Informing of Unplanned Absence

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Toolkit


� Sample Letter to Client Announcing Planned Succession of Consulting Practice

� Sample Letter to Client in the Event of Death of RCIC

� Topics to Discuss with Authorized Representative Checklist

� Facilitation of Transition to Authorized Representative Checklist

� Authorized Representative’s Checklist

� Will and Power of Attorney Checklist

� Sample Continuing Power of Attorney for Consulting Practice Property

� Sample Last Will and Testament for Consulting Practice

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Toolkit (cont’d)


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Questions

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MODULE 2: BUSINESS CONTINUITY PLANNING

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At the end of this module, participants will be able to:

• Assess the level of risk in specific situations and prepare a

Business Continuity Plan to address these risks

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Module 2 Objective

There is a forced evacuation and you are unable to return to your home and/or office for four weeks

How do you rate your current level of

preparedness to manage your

consulting practice?

□ Exceptionally well prepared

□ Mostly prepared

□ Somewhat prepared

□ Not at all prepared

Activity

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Activity/Discussion

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Actively listen to Sue Donovan’s experience with a dramatic eventActivity

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Dramatic Event Story

What lessons can be learned from the RCIC’s experience with a dramatic event?

Activity

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Activity/Discussion


What is it?

A Business Continuity Plan (BCP) helps RCICs:

� Respond quickly

� Formalize tasks so they are not forgotten

� Ensure clients are not prejudiced

� Recover quickly

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Business Continuity Plan — What

A written set of procedures that would enable a Member to respond to routine or dramatic events (e.g., natural disasters, extreme weather

conditions, prolonged power or communication failure, robbery or

criminal activity, civil unrest, terrorist acts, etc.) that would threaten to hinder or stop normal office processes (s.3.2.c, PUA Regulation)

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Why is it needed?

� Protect:

� Clients

� Staff/Employees

� RCIC’s Family

� RCIC

� A Member shall develop a Business Continuity Plan to deal

with events that would stop normal office processes as a result

of either routine or dramatic events… (s.4.10, PUA Regulation)

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Business Continuity Plan — Why


Routine events may include:

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Business Continuity Plan — Why (cont’d)

Disruption of phone/internet service Work action/stoppage

Illness of staff/employee Vacation of staff/employee

Loss of data Loss of clients

Loss of staff/employees Loss of suppliers/delivery services

Human error Other


Dramatic events may include:

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Business Continuity Plan — Why (cont’d)

Gas leak Prolonged power failure Civil unrest

Sabotage Epidemic Structural failure

Natural disaster (fire, earthquake, flood)

Terrorist act (bomb threat, biological/nuclear/chemical)

Explosion

Criminal activity (theft, vandalism, espionage,

bribery)

Fire (internal/external) and/or smoke damage

Utilities (water main break, sewage, electrical,

communications)

Extreme weather (windstorm, tornado,

snow storm, ice storm, drought)

IT Infrastructure (system/application software,

hardware, virus, hacking, network connectivity, third

party failure)

Other

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Developing a BCP:

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Business Continuity Plan — How

1. Prevent

2. Prepare

3. Respond

4. Recover


� Identify and prioritize your essential services, including

supporting resources

� Identify and mitigate risks to those essential services

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Business Continuity Plan — How (cont’d)


� Prioritize risks to essential services, consider impact on:

1. People - health and safety; required skills

2. Premises - physical assets and client files

3. Processes - activities which generate the essential service

4. Providers – government agencies; ICCRC

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� Document immediate actions to be taken in response to likely

incidents, including:

� Activate evacuation procedures

� Activate BCP (what are the triggers?)

� Manage staff/employee’s concerns

� Set up recovery office (temporary offsite location)

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� Document actions to be taken to quickly recover from

incidents with minimal disruption

� What does “business as usual” look like?

� How long can you go without an essential service before quality

of service is compromised?

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Additional considerations:

� Share BCP with everyone affected

� Provide training, as needed

� Conduct disaster drills to test BCP

� Assess results of training and drills

� Revise BCP, as needed

� Review and update BCP regularly

Works consulted:Alberta Emergency Management Agency. (2002). Risk Assessment. Business Continuity Templates. Retrieved from

http://www.aema.alberta.ca/business-continuity-templatesGovernment of Alberta. (2014). Business Continuity Guide. Retrieved from

http://www.aema.alberta.ca/documents/Business_Continuity_Guide_2014_-_Final.pdfIFAC. (2012). Guide to Practice Management for Small- and Medium-Sized Practices, Third Edition. Retrieved from

https://www.ifac.org/publications-resources/guide-practice-management-small-and-medium-sized-practicesLaw Society of Alberta. (n.d.). Safeguarding Your Practice. Retrieved from http://www.lawsociety.ab.ca/docs/default-source/practice-

advisors/safeguarding-your-practice.pdf

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� Business Continuity Planning (BCP) Questions

� Business Continuity Plan (BCP) Checklist

� Essential Services Worksheet

� Critical Activities Template

� Risk Mitigation Strategies Resource

� Risk Assessment Table

� Risk Assessment Worksheet

� Consulting Practice Impact Analysis Worksheet

� Loss of Technology Template

� Recovery Process Template

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Toolkit/Workbook


� Incident Response Checklist

� Incident Recovery Checklist

� Business Recovery: Priority for Resumption of Consulting Practice

� Recovery Plan Template

� Review of Recovery Plan Template

� Business Continuity Table of Contents Sample

� Business Continuity Plan Sample

� Business Continuity Plans for Information and Communication Technology Sample

� Important Information List

� Contact and Communications Checklist

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Toolkit/Workbook (cont’d)


� External Services Contact Details Template

� Staff Emergency Contact Details Template

� Roles and Responsibilities List Template

� Relocation or Evacuation Supplies Checklist

� Emergency Kit Contents

� Alternate Locations

� Resource List (Appendix A—Workbook)

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Toolkit/Workbook (cont’d)

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Activity

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Group Activity

Conduct a risk assessment and address the identified risks through the BCP

What does the PUA Regulation require?

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Final Summary

Create and maintain

contingency plan

Review contingency

plan with each designate

Sign Designation

Form with each

designate

E-mail signed Designation

Form(s) to records-documents @iccrc-crcic.ca

What does the PUA Regulation require? (cont’d)

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Final Summary (cont’d)

Create and maintain

business continuity plan

Review business continuity plan

with each affected

individual

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Let our advance worrying become advance thinking and planning.

Winston Churchill

Questions

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Member Feedback Survey

� Feedback for ICCRC on course and instructor

� Online survey – link e-mailed to you today

� Anonymous – be honest and constructive

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Wrap-up

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Webinar Invitation

� Optional

� Online session – audio and data

� Headset with built-in microphone required

� E-mail questions on planned or unplanned absence in advance

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Wrap-up (cont’d)

Member Support

� E-mail your instructor with PME course-related questions

� [email protected] for all other queries

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Wrap-up (cont’d)

Module 3: Shared practice

Thank you!

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©2018 Immigration Consultants of Canada Regulatory Council. No part of this publication may be used or reproduced in

any manner whatsoever without the prior written permission of the Council, except in the case of non-commercial use

of brief quotations accompanied by proper citation.

Documents

PUA Presentation FINAL Current Course Length Use Jul-Sept ...registration.iccrc-crcic.ca/.../PUA_Presentation_FINAL_26May2017.pdf · s.3.2.r, PUA Regulation 13 Planned or Unplanned