CCAA Online Filing System

Step-by-step approach for monitors

PDF version

Table of contents

  1. Overview
  2. Registering for the CCAA Online Filing System
  3. Logging in to the CCAA Online Filing System
  4. Form 1: Information Pertaining to Initial Order
  5. Form 2: Debtor Company Information Summary
  6. Form 3: Debtor Company Information Summary
  7. Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement
  8. Amending Forms 1–4
  9. File Transfer
  10. Logging Out of the CCAA Online Filing System

Chapters 1 to 3

1. Overview

The CCAA Online Filing System, managed by the Office of the Superintendent of Bankruptcy (OSB), allows monitors and monitor representatives under the Companies' Creditors Arrangement Act (CCAA) to create online filings. Directly inputting filing information into the system improves the accuracy of filings and shortens the turnaround times associated with the filing process.
This step-by-step guide describes what the system can do and explains how monitors can use it, including:

Where to Get Help?

To reach the help desk call (toll-free) 1-877-227-3672. The help desk is open from 8:30 a.m. to 5:00 p.m. (Eastern Standard Time), Monday to Friday.

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2. Registering for the CCAA Online Filing System

2.1 Industry Canada Registration

  1. Obtain a username and password from My Industry Canada Account, if you do not already have them.

2.2 CCAA User Agreement

  1. Read, print and sign the CCAA user agreement (Terms of use—CCAA Online Filing System), which is similar to one you may have signed with your bank to allow online banking.
  2. Forward the signed user agreement to the Designated Assistant Superintendent managing the CCAA program:
    • by fax: 1-877-827-7139
    • by mail:
      Office of the Superintendent of Bankruptcy
      CCAA Program
      300 Georgia Street W, Suite 2000
      Vancouver, British Columbia V6B 6E1
  3. The Office of the Superintendent of Bankruptcy (OSB) will review your signed agreement and notify you by email of confirmation that your user agreement has been accepted.

2.3 CCAA Online Filing System Access

  1. After you receive OSB confirmation that your user agreement has been accepted, go to the CCAA Online Filing System on the OSB website.

    The Login screen is displayed.

    Tip:

    To make logging in simpler the next time, bookmark the CCAA page.

    Figure 1: Login Screen

    Login Screen (the long description is located below the image)
    Description of Figure 1

    This screen, with the title CCAA Online Filing System, is displayed when you first type in the URL or click on a bookmark for the CCAA Online Filing system. It is the screen for logging in.

    Below the Office of the Superintendent of Bankruptcy Canada website banner is a menu to the left and the title, CCAA Online Filing System, to the right of the menu.

    Below the menu is a box with the following note: "Before using the CCAA Online Filing System, the monitor representative must sign and forward the CCAA User Agreement to the Designated Assistant Superintendent managing the CCAA program, and receive confirmation that access has been granted. For more information, see User Agreement and How to Register." The words "User Agreement and How to Register" are displayed as hyperlinked text.

    Below the note is a section labelled Login that has a field for typing in your username, with a field below it for typing in your password. Next to the password field is a Login button to click on after you have typed in the correct username and password.

    Below the Login section is a sentence that asks: "Have you forgotten your password?" with "forgotten your password" displayed as hyperlinked text.

  2. Type in your Industry Canada username and password.

    Note:

    If you forget your username or your password, you can retrieve either one on the My Industry Canada Account page.

  3. Click on the "Login" button. The system automatically displays the CCAA Registration screen.

    Figure 2: CCAA Registration screen

    CCAA Registration screen (the long description is located below the image)
    Description of Figure 2

    This screen, with the title CCAA Registration, is displayed when you typed in your Industry Canada username and password for the first time on the Login screen.

    Below the title is a box with the following note: "Before using the CCAA Online Filing System, the monitor representative must sign and forward the CCAA User Agreement to the Designated Assistant Superintendent managing the CCAA program, and receive confirmation that access has been granted. For more information, see User Agreement and How to Register." The words "User Agreement and How to Register" are displayed as hyperlinked text.

    Below the note the screen says: "You have been successfully authenticated as an Industry Canada user. The information on this page will be used by a CCAA administrator to give you permission to access the system.

    In a new paragraph, it says: "If the following information is not correct, or if this is not you, please update your registration." The word "update" is displayed as hyperlinked text.

    In a new paragraph, it says: "Required fields are indicated by a red asterisk (*)."

    The screen then presents three sections: Personal Information, Monitor Representative Information and Monitor Information.

    The Personal Information section shows the first eleven fields have been completed by the system. These fields are: your Industry Canada username, your first and last name, your company name, your title, your email address, and your street address, city, province/state, postal/zip code and country.

    In the Monitor Representative Information section, the first field is Monitor representative licence and to the right of the label is a box where you type in your monitor representative licence; there is also a "Find" button to the right of where you type in the number. Below the licence number are nine fields that will be completed automatically once you type in your licence number. These fields are monitor representative, street address, suite/ P.O. box/rural route, city, province, country, postal code, telephone number and email address.

    The Monitor Information section contains two fields that will be completed automatically once you type in your licence number: monitor licence and monitor.

    Below the Monitor Information section to the far left, separated by a line, is a button labelled Submit. A button labelled Cancel is on the far right.

    1. Verify that the data in the Personal Information section—taken from your Industry Canada registration—is correct.
    2. If it is not correct, click on the "update" hyperlink and correct any errors.
  4. Type in your monitor representative licence number.
  5. Click on the "Submit" button.
  6. The OSB will review your registration form and notify you by email when your account has been activated. Once you have received this confirmation, you may log on to the system.

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3. Logging in to the CCAA Online Filing System

Note:

You cannot use the CCAA Online Filing System unless you have completed the steps for registration to activate your account.

  1. Go to the CCAA Online Filing System on the Office of the Superintendent of Bankruptcy (OSB) website. The Login screen is displayed.

    Tip:

    To make logging in simpler the next time, bookmark the CCAA page.

    Figure 3: Login screen

    Login screen (the long description is located below the image)
    Description of Figure 3

    This screen, with the title CCAA Online Filing System, is displayed when you first type in the URL or click on a bookmark for the CCAA Online Filing system. It is the screen for logging in.

    Below the Office of the Superintendent of Bankruptcy Canada website banner is a menu to the left and the title, CCAA Online Filing System, to the right of the menu.

    Below the menu is a box with the following note: "Before using the CCAA Online Filing System, the monitor representative must sign and forward the CCAA User Agreement to the Designated Assistant Superintendent managing the CCAA program, and receive confirmation that access has been granted. For more information, see User Agreement and How to Register." The words "User Agreement and How to Register" are displayed as hyperlinked text.

    Below the note is a section labelled Login that has a field for typing in your username, with a field below it for typing in your password. Next to the password field is a Login button to click on after you have typed in the correct username and password.

    Below the Login section is a sentence that asks: "Have you forgotten your password?" with "forgotten your password" displayed as hyperlinked text.

  2. Type in your Industry Canada username and password.

    Note:

    If you forget your username or your password, you can retrieve either one on the My Industry Canada Account page.

  3. Click on the "Login" button.
  4. The system displays the CCAA Online Filing System — dashboard screen, which lists your active files. The left-hand menu lists three main items for different tasks:
    • File New Form 1
    • File New XML Document
    • File Transfer

      At the top, to the right is where you can log out of the system.

      Figure 4: CCAA Online Filing System

      CCAA Online Filing System — Dashboard screen with left-hand menu circled (the long description is located below the image)
      Description of Figure 4

      This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in.

      The left-hand menu is circled to highlight it. It has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

      The screen also shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

Chapter 4

4. Form 1: Information Pertaining to Initial Order

Form 1 is the first form a monitor completes in a filing under the Companies' Creditors Arrangement Act (CCAA). Form 1 must be submitted to the Office of the Superintendent of Bankruptcy (OSB) within one business day of the signing of the initial court order.

4.1 Completing Initial Form 1

  1. Log in or, if you are already logged in, go to the CCAA Online Filing System — dashboard.
  2. In the left-hand menu, click on File New Form 1.
  3. The Form 1: information pertaining to initial order — step 1 of 4 screen is displayed. Click on the "Add debtor company" button.
    Figure 5: Information Pertaining to Initial Order
    Figure 5: Information Pertaining to Initial Order — step 1 of 4 screen (the long description is located below the image)
    Description of Figure 5

    This screen, with the title Form 1: Information Pertaining to Initial Order, is displayed after you have selected File New Form 1. The form states that required fields are indicated by a red asterisk and that a yellow star indicates the primary debtor.

    Below this is a table called Debtor Companies, marked by a red asterisk. The three column headings are Name of Debtor Company, Carries on Business Names, and Actions. There is a blank line, indicating that no information has been input yet. Below the blank line but still part of the table, to the right, is a button labelled Add Debtor Company.

    Below the table, separated by a line, are three more buttons. To the left is a button labelled Next. To the right are two buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  4. The Add debtor company screen is displayed. Complete at least the required fields (those marked with *). Then click on the "Add address" button.

    Tip:

    You can move from field to field using your cursor or using the Tab key.

    Figure 6: Add debtor company screen
    Figure 6: Add debtor company screen (the long description is located below the image)
    Description of Figure 6

    This screen, with the title Form 1: Information Pertaining to Initial Order and subtitle Add Debtor Company, is displayed after you have clicked on "Add Debtor Company" in the previous Form 1: Information Pertaining to Initial Order screen. The form states that required fields are indicated by a red asterisk and that a head office is indicated by a house icon.

    The screen is presented as a form in two sections: Debtor Company's Information and Addresses.

    In the Debtor Company's Information section, the first field, a required field, is Name of debtor company, with a box to the right showing the example Debtor 1. The second field, also a required field, says "Is this the primary debtor company? with a drop-down menu that has "Yes" selected. The next field says "Names under which the debtor company carries on business, if different from the name set out above," with a box to type in the name. Below that box is a hyperlink to click on that says "Add another name."

    The Addresses section is a table with six columns: street address, city, province/state, postal code, country, and actions. Below the table but still part of the section is a button on the far right labelled Add Address.

    Below the Add Address button, separated by a line, are two buttons to the far right, side by side. Of these two, the one on the left is labelled Add and the one on the right is labelled Cancel.

  5. The Add Debtor Company Address screen is displayed. Complete at least the required fields, and then click on the "Add" button.
    Figure 7: Add Debtor Company Address screen
    Figure 7: Add Debtor Company Address screen (the long description is located below the image)
    Description of Figure 7

    This screen, with the title Form 1: Information Pertaining to Initial Order and subtitle Add Debtor Company Address, is displayed after you have clicked on "Add Address" in the previous Form 1: Information Pertaining to Initial Order screen. The form states that required fields are indicated by a red asterisk.

    The screen is presented in one section, Debtor Company's Address, which has the names of the fields on the left and the fields to complete on the right. The first field, identified as a required field, is name of debtor company. The next field, a required field, is Head office location, with a drop-down menu with "Yes" selected. The next field, also a required field, is street address. The third field is suite/P.O. Box/Rural Route. The fourth field, a required field, is city. The fifth field, a required field, is province, which provides a drop-down menu. Below that, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The next field, a required field, is postal code. The next field, a required field, is telephone number, with a second box to the right for a telephone extension, if necessary. The last field is web site address.

    Below the Debtor Company's Address section, separated by a line, are two buttons to the far right, side by side. Of these two, the one on the left is labelled Add and the one on the right is labelled Cancel.

  6. You are returned to the Add debtor company screen. Click on the "Next" button.
    1. The screen Form 1: information pertaining to initial order – step 2 of 4 is displayed. Complete at least the required fields in the File Information section. (The Addresses, Monitor Representative Information and Monitor Information sections display information already input in the system.)
    2. Complete the Monitor Representative Sign-off section, and then click on "Next."
      Figure 8: Information Pertaining to Initial Order — step 2 of 4 screen
      Information Pertaining to Initial Order — step 2 of 4 screen (the long description is located below the image)
      Description of Figure 8

      This screen, with the title Form 1: Information Pertaining to Initial Order, is displayed after you have clicked on the Add button in Add Debtor Company Address. The screen notes that required fields are indicated by a red asterisk.

      The screen is presented as a form in four sections: File Information, Monitor Representative Information, Monitor Information and Monitor Representative Sign-off. This last section is also set off by its own heading: "Monitor Representative Responsible for Proceedings."

      In the File Information section, the first field, Name of court, is marked as a required field. There is a box to type in the name of the court (12 Ottawa is given as an example), and there is a Verify button beside the field. Below that is Judicial district and Province, both of which the system will complete automatically when you type in the name of the court. The next two fields are also required fields: Court file number (123456 is given as an example) and Date on which order is made (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in. The last field in the File Information section, Web page address created for the proceedings, is not a required field.

      The second section, Monitor Representative Information, lists information that the system obtains from the username you used when you logged in. These fields are the name of the monitor representative; the street address and suite, P.O. box or rural route; city, province, country and postal code, and telephone number and email address.

      The third section, Monitor Information, presents two fields that are already completed: Monitor licence and Name of the monitor. The third field is where you can type in the Web site address (www.monitorcompany.ca is given as an example).

      The fourth section, Monitor Representative Sign-off, is set off by its own subtitle: "Monitor Representative Responsible for Proceedings." The first two fields in this section, Monitor Representative and Monitor Licence, will already be completed. The next two, City and Province, are marked as required fields, with Province providing a drop-down menu. Below Province, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The last field in this section is a required field. It is the Date on which this form was signed by the monitor representative. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

      Below the Monitor Representative Sign-off section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    Tip:

    If you cannot complete a form in a single session, use the "Save as Draft" button.
    When you choose this button, you save all information already entered up to that point. You can add the rest of the information at a later time by selecting the file number from the dashboard, finding the draft form in the file summary screen — in the Form Status column, it will say "Form is in draft mode" — and then clicking on the "Edit a draft form" icon (Icon of pencil and paper to denote edit draft form) in the Actions column. You also have the option to "Delete a draft form" (Icon of paper with red circle with horizontal bar to denote delete a draft form).
    Clicking on "Save as Draft" returns you to the CCAA Online Filing System — dashboard.

    Figure 9: File summary screen showing draft status of Form1 and legend for actions
    File summary screen showing draft status of Form1 and legend for actions (the long description is located below the image)
    Description of Figure

    This sample file summary screen is to show how to amend a draft form for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first row is a yellow circle, indicating it is a draft form. The Date Submitted column is blank for all these forms. The Actions column has two icons for the draft Form 1, showing that the available actions are either editing a draft form or deleting a draft form. It also has an add a form icon for Initial Application and Order and for Form 4, but this column is blank for Forms 2 and 3.

  7. The Form 1: Information pertaining to initial order — step 3 of 4 screen is displayed, which is where you upload supporting documents.

    Note:

    You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.

    Figure 10: Information Pertaining to Initial Order — Attachments screen before any documents uploaded
    Form 1: Information Pertaining to Initial Order — Attachments screen before any documents uploaded (the long description is located below the image)
    Description of Figure 10

    This screen, with the title Form 1: Information Pertaining to Initial Order — Attachments, has the subtitle Supporting Documents, and is displayed after you have clicked on the Next button after completing the Monitor Representative Sign-off section. The screen says "If you have further supporting documents, please upload them here." It also has a note: "The maximum size for each attachment is 20 megabytes."

    The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

    The second section is a table labelled Attached Documents, and the screen shows how it looks before any files have been attached. The table has three columns, under the headings Document Type, Document Description and Document Actions. Below the headings is a blank line in the table, indicating that no files have been attached yet.

    Below the table, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  8. In the Upload Document section, click on the box in the Document Type field to display a drop-down list. From the list, select the type of document you are uploading.
  9. In Document description, type in a description, especially to specify the nature of documents identified as "Other" in Document type.
  10. Click on "Browse" to find and select the necessary document.
    1. Click on "Add Document."
    2. Repeat steps 9–12 for other supporting documents, if required.

      As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen. The Actions column gives you the option of viewing the document (Icon of magnifying glass to denote View a document) or deleting it (Icon of trash can to denote delete a submitted form).

    Figure 11: Information pertaining to initial order — step 3 of 4 screen showing cover letter as an attached document
    Form 1: Information pertaining to initial order — step 3 of 4 screen showing cover letter as an attached document (the long description is located below the image)
    Description of Figure 11

    This screen shows how the Form 1: Information Pertaining to Initial Order — Attachments screen displays after attachments have been added. It includes the subtitle Supporting Documents and says "If you have further supporting documents, please upload them here." It also has the note: "The maximum size for each attachment is 20 megabytes."

    The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

    The second section is a table labelled Attached Documents, and the screen shows how it looks after files have been attached. The table has three columns, under the headings Document Type, Document Description and Document Actions. Below the heading Document Type, in the first row, are the words Cover letter, indicating that this file has been attached. Under the Document Description heading it presents a date using the four-digit year dash two-digit month dash two-digit day format. Under Actions is a sheet of paper icon indicating that the attached cover letter can be viewed, and a red X icon indicating that the cover letter can be deleted. Below that is a blank line for when the next document is attached.

    Below the table, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    1. When you finish uploading supporting documents, click on "Next" to continue. A Confirmation summary screen displays all the information.
    2. Review the confirmation summary.
    3. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.
  11. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
    Figure 12: Submission Successful screen
    Form 1: Submission Successful screen (the long description is located below the image)
    Description of Figure 12

    This Form 1: Information Pertaining to Initial Order screen has the subtitle Submission Successful. It displays after you have clicked on the Submit button for Form 1. The screen says, "Your submission has been successfully sent to the Office of the Superintendent of Bankruptcy Canada for review." Below that statement, separated by a line and to the right is a button labelled "Ok."

  12. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the form was filed.

    Figure 13: File summary screen showing Form 1 submitted
    File summary screen showing Form 1 submitted (the long description is located below the image)
    Description of Figure

    This sample file summary screen is to show confirmation that you have uploaded Form 1 for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first row is a yellow circle, indicating it is a draft form. The Date Submitted column presents a date using the four-digit year dash two-digit month dash two-digit day format for Form 1, but is blank for all the other forms. The fourth column has two icons for the draft Form 1, showing that the available actions are either editing a draft form or deleting a draft form. The Add a form icon is showing in the Actions column for the other forms, except Form 3, which is blank in the Actions column.

    In the CCAA Online Filing System — dashboard, a file number has now been created, listed under the OSB File Number heading.

    Figure 14: Dashboard screen
    CCAA Online Filing System — Dashboard screen (the long description is located below the image)
    Description of Figure 14

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.
    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

    Note:

    If you have to make any changes or have any additional documents to support Form 1, you can amend the form.

4.2 Initial Application and Order

You must submit the original Initial Application and Initial Order within two business days of receiving them from the court.

  1. In the CCAA Online Filing System — dashboard, click on the OSB file number you want to update.
  2. In the Filed Documents section, click on the "Add a form" icon (Icon of paper with a plus sign to denote Add a form) in the Actions column for "Initial Application and Order."
    Figure 15: File summary screen with Add a form icon circled for Initial Application and Order
    File summary screen with Add a form icon circled for Initial Application and Order (the long description is located below the image)
    Description of Figure 15

    This sample file summary screen is to show how to start the process of filing the Initial Application and Initial Order for Debtor 2, the title at the top, with Debtor 2's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. In the first row, the status column has a green circle and the third column shows the date, so this form has been submitted. The fourth column has two icons for this form, showing that the available actions are either viewing the form or amending and re-submitting it. The second row, Initial Application and Order, has an Add a form icon in the Actions column that is circled to indicate that this is the icon that you need to click on to begin adding the Initial Application and Initial Order. The remaining rows of forms have white circles in the Status column, indicating that they have not been submitted yet, and an Add a form icon in the Actions column for Form 4, but not for Form 2 or Form 3.

    The Form 1: information pertaining to initial order — step 3 of 4 screen is displayed for uploading these documents.

    Figure 16: Initial Application and Order attachments screen showing both documents uploaded
    Initial Application and Order attachments screen showing both documents uploaded (the long description is located below the image)
    Description of Figure 16

    This screen, with the title Initial Application and Order, is displayed when you have selected Initial Application and Order from the file summary screen. The screen says "If you have further supporting documents, please upload them here." It also has a note: "The maximum size for each attachment is 20 megabytes."

    The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

    The second section is a table labelled Attached Documents, and the screen shows how it looks after the Initial Order and Initial Application have been attached. The table has three columns, under the headings Document Type, Document Description and Document Actions. The first row says Initial Order and the second row says Initial Application under Document Type. For both rows, there is a date in the Document description column and a date in the Date submitted column, with both dates using the four-digit year dash two-digit month dash two-digit day format. The Actions column for both rows has two icons, one is a sheet of paper with text and one is a sheet of paper with a red circle in the bottom right corner.

    Below the table, separated by a line, are two buttons. To the left is a button labelled Next. To the right is a button labelled Cancel.

  3. In the Upload Document section, click on the box in the Document Type field to display a drop-down list. From the list, select the type of document you are uploading, in this case, the Initial Application.
  4. In Document description, type in a description, for example, the date of the Initial Application.
  5. Click on "Browse" to find and select the necessary document.
    1. Click on "Add Document."
    2. Repeat steps 3–6 for the Initial Order, as well as for other supporting documents, if required.

      As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen.

      Note:

      You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.

    1. When you finish uploading the Initial Application, the Initial Order and any other supporting documents, click on the "Next" button to continue. A Confirmation summary screen displays the uploaded documents.
    2. Review the confirmation summary to ensure you have uploaded both the Initial Application and the Initial Order.
    3. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.
  6. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
  7. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the form was filed.

Note:

Once you complete and submit these forms, the OSB will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make, which you do by amending the form.

Chapter 5

5. Form 2: Debtor Company Information Summary

Form 2 is the second form a monitor completes under the Companies' Creditors Arrangement Act (CCAA). The monitor must submit it to the Office of the Superintendent of Bankruptcy (OSB) within five business days of the day the monitor receives the Initial Order.

Note:

You can submit Form 2 before receiving OSB approval of your submitted Form 1.

  1. Log in or go to the CCAA Online Filing System — dashboard.

    Figure 17: Dashboard screen showing active files

    CCAA Online Filing System — Dashboard screen showing active files (the long description is located below the image)
    Description of Figure 17

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.

    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

  2. In the All Active Files section, click on the file number of the file you want. The debtor company's file summary screen is displayed.
  3. In the Filed Documents section, click on the "Add a form" icon (Icon of paper with a plus sign to denote Add a form) in the Actions column for Form 2.

    Figure 18: File summary screen with "Add a form" icon circled for Form 2

    File summary screen with "Add a form" icon circled for Form 2 (the long description is located below the image)
    Description of Figure 18

    This sample file summary screen is to show how to start the process of filing Form 2 for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first two rows are green circles, so these forms have been submitted. The third column shows the date these forms were submitted, using the four-digit year dash two-digit month dash two-digit day format. The fourth column has two icons for these forms, showing that the available actions are either viewing the forms or amending and re-submitting them. The third row, Form 2, has an Add a form icon that is circled to indicate that this is the icon that you need to click on to begin adding Form 2. The remaining rows of forms have white circles in the Status column, indicating that they have not been submitted yet, and an Add a form icon in the Actions column for Form 4, but not for Form 3, which is blank.

  4. The Form 2: debtor company information summary — step 1 of 7 screen is displayed. Complete at least the required fields (those marked with *), and then click on the "Next" button.

    Figure 19: Form 2: Debtor Company Information Summary — Step 1 of 7 screen

    Form 2: Debtor Company Information Summary — Step 1 of 7 screen (the long description is located below the image)
    Description of Figure 19

    This screen, with the title Form 2: Debtor Company Information Summary — Step 1 of 5, has the subtitle Information Respecting Debtor Company, and is displayed when you have selected Form 2 from the file summary screen. The screen says that required fields are indicated by a red asterisk.

    A box has the following note: Please note that in order to proceed with any change(s) to the name(s) of the debtor company or affiliated debtor companies, an amended Form-1 must first be filed to ensure that such change(s) is/are duly reflected in the public records maintained pursuant to subsection 26(1) of the Companies' Creditors Arrangement Act.

    Below the box is a legend indicating that a star icon indicates the primary debtor.

    The screen then presents three sections: Debtor Company's Industry Types, Debtor Company's Head Office Address and Debtor Company's Information.

    The Debtor Company's Industry Types section is indicated as a required field. It is a table with three columns: Name of Debtor Company, NAICS (which stands for North American Industry Classification System), and Actions. There are two rows of data below the headings. In the first column they are Debtor 1 (in the example, identified as the primary debtor) and Debtor 2. In the NAICS column, four-digit numbers are listed (1111 and 1112 are the examples given for Debtor 1 and 1113 is the example for Debtor 2). The Actions column for each row has a pencil icon and a sheet of paper icon.

    The Debtor Company's Head Office Address section has the following fields already completed: Street address, Suite/P.O. Box/Rural Route, City, Province, Country, Postal Code, Telephone number. In the example, Web site address is blank, but would be filled in if the information had been input for the debtor company when submitting Form 1. The only field that can be completed in this section is Notes, at the bottom.

    In the Debtor Company's Information section, the first field is marked as a required field. It says: "The debtor company is:" and is followed by a drop-down menu to choose from. The example shows "a not-for-profit body corporate." Below it says "If other, specify" and there is a box where you type in an explanation if you selected "other" in the previous field. The next part is identified as a required field and is called "Names and titles of directors and officers." This part shows three rows, in two columns. Under the Title column, the screen presents drop-down menus to select titles. The examples given are Director in the first row and Officer in the second row. No one is specified for the third row, so the example says "Select." In the Names column, the examples given are Director 1 and Officer 1. Immediately below that is a hyperlink to click on that says "Add another director or officer."

    The next part says "Any other names used by the debtor company during the 24-month period before the making of the order on the initial application, including names under which the company carried on business. The screen then presents "Other company name(s)" with a box to the right where you can type in the name or names. Immediately below that is a hyperlink to click on that says "Add another company."

    Below the Debtor Company's Information section, separated by a line, are three buttons. To the far left is a button labelled Next. To the far right are two buttons: the left button is labelled Save as Draft and the right button is labelled Cancel.

    Tip

    If you cannot complete a form in a single session, use the "Save as Draft" button.
    When you choose this button, you save all information already entered up to that point. You can add the rest of the information at a later time by selecting the file number from the dashboard, finding the draft form in the file summary screen — in the Form Status column, it will say "Form is in draft mode" — and then clicking on the "Edit a draft form" icon (Icon of pencil and paper to denote edit draft form) in the Actions column. You also have the option to "Delete a draft form" (Icon of pencil and paper to denote edit draft form).
    Clicking on "Save as Draft" returns you to the CCAA Online Filing System — dashboard.

    Figure 20: File summary screen showing draft status of Form1 and legend for actions

    File summary screen showing draft status of Form1 and legend for actions (the long description is located below the image)
    Description of Figure 20

    This sample file summary screen is to show how to amend a draft form for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first row is a yellow circle, indicating it is a draft form. The Date Submitted column presents a date using the four-digit year dash two-digit month dash two-digit day format for Form 1, but is blank for all the other forms. The Actions column has two icons for the draft Form 1, showing that the available actions are either editing a draft form or deleting a draft form. It also has an add a form icon for Initial Application and Order and for Form 4, but this column is blank for Forms 2 and 3.

  5. The Form 2: debtor company information summary — step 2 of 7 screen is displayed. Complete at least the required fields, and then click on "Next."

    Figure 21: Form 2: Debtor Company Information Summary — Step 2 of 7 screen

    Form 2: Debtor Company Information Summary — Step 2 of 7 screen (the long description is located below the image)
    Description of Figure 21

    This screen, with the title Form 2: Debtor Company Information Summary — Step 2 of 5, has the subtitle Information Respecting Debtor Company — Continued, and is displayed when you have selected Next from the Step 1 of 5 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in four sections: Previous Proceedings, Publicly Traded Shares, Incorporation Information, and Affiliated and Subsidiary Companies.

    In the Previous Proceedings section, the first field is identified as a required field. It says: "under the Bankruptcy and Insolvency Act" with a drop-down menu that has "No" selected. The next field says "If yes, estate number" with a short box to fill in, a dash, and then a longer box to fill in. The next field, also identified as a required field, says "Under the Companies' Creditors Arrangement Act" with a drop-down menu that has "No" selected. The next part says "If yes, name of court, judicial district and court file number." This part has a field to complete for Name of court that has a drop-down menu showing "Select" and a button to the right that says Verify. It then shows that if one were selected, it would present the Judicial district and Province. The last field in this part is Court file number, with a box to type in the number. The next field, also identified as a required field, says "Foreign proceedings" with a drop-down menu that has "No" selected. The next part says "If yes, country, name of court, judicial district and court file number." This part has a field to complete for Country that has a drop-down menu showing "Select." It has fields to be completed for Name of court, Judicial district and Court file number.

    In the Publicly Traded Shares section, the first field is identified as a required field. It says: "Are debtor company's shares or units publicly traded?" with a drop-down menu with "No" selected. The next part says "If yes, index symbol and country," as a heading for a field to be completed for Index symbol and a field with a drop-down menu to select the country.

    The Incorporation Information section has seven fields. The first field is where you type in the federal incorporation number. The second field has a drop-down menu where you select the federal incorporation type. The third field says "If other federal incorporation type, specify" where you type in an explanation of why you selected "Other" in the previous field. The fourth field is where you type in the provincial/territorial corporation number and the fifth field is a drop-down menu where you select the province or territory. The sixth field is a drop-down menu for other corporation number. The last field says "If other corporation number, specify," with a box to type in an explanation if you selected "other" in the previous field.

    In the Affiliated and Subsidiary Companies section, the first field is identified as a required field. It says: "Are there companies that are affiliated with or subsidiaries of the debtor company?" with a drop-down menu that has "No" selected. Below that it says: "If yes, name of affiliated and subsidiary companies" with a box to the right to type in the name. Immediately below it is a hyperlink to click on that says "Add another company."

    Below the Affiliated and Subsidiary Companies section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

top of page

  1. The Form 2: debtor company information summary — Step 3 of 7 screen is displayed. Complete at least the required fields, and then click on "Next."

    Figure 22: Form 2: Debtor Company Information Summary — Step 3 of 7 screen

    Form 2: Debtor Company Information Summary — Step 3 of 7 screen (the long description is located below the image)
    Description of Figure 22

    This screen, with the title Form 2: Debtor Company Information Summary — Step 3 of 5, has the subtitle Information Respecting Debtor Company — Continued, and is displayed when you have selected Next from the Step 2 of 5 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in five sections: Financial Statements, Assets, Liabilities, Prescribed Pension Plans and Debtor Company's Legal Counsel.

    In the Financial Statements section, the first field is identified as a required field. It says: "The financial statements are" with a drop-down menu that has "Unaudited" selected. The next field says "If audited, name of auditor" with a field to type in the name. The next field, also identified as a required field, says "Date of the most recent consolidated financial statements" and the example uses the four-digit year dash two-digit month dash two-digit day format. To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    The Assets section has one field, which is identified as a required field. It says: "Book value of total assets as set out in the most recent consolidated financial statements of the debtor company." The example presented is $100,000,000 with no commas.

    The Liabilities section has five fields, all of which are required fields. The first field says "Book value of total liabilities as set out in the most recent consolidated financial statements of the debtor company." The example presented is $100,000,000 with no commas. The second field is Secured, with the example $50,000,000 (no commas). The third field is Unsecured, with the example $50,000,000 (no commas). The fourth field is trust claims, with the example $0. The final field is "Book value of total liabilities referred to in the item above that are contingent" with the example $100,000,000 with no commas.

    In the Prescribed Pension Plans section, the first field is identified as a required field. It says: "Does the debtor company participate in any prescribed pension plans for the benefit of its employees?" with a drop-down menu that has "No" selected. Below that it says: "If yes, give name of each plan and indicate whether it is a defined benefit or defined contribution plan. Below that is Add a plan type, with a drop-down menu that you can use to select the type of plan. To its right is Add a plan name, with a box where you type in the name of the plan. To the right of that is a hyperlink to click on that says "Add another plan."

    In the Debtor Company's Legal Counsel section, the names of the fields are to the left and the fields to complete are to the right. The first field, identified as a required field, is name of the legal counsel. The next field, also a required field, is street address. The third field is suite/P.O. Box/Rural Route. The fourth field, a required field, is city. The fifth field, a required field, is province, which provides a drop-down menu. Below that, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The next field, a required field, is postal code. The next field, a required field, is telephone number, with a second box to the right for a telephone extension, if necessary. The next field, a required field, is email address. The last field is web site address.

    Below the Debtor Company's Legal Counsel section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  2. The Form 2: Debtor Company Information Summary — step 4 of 7 screen is displayed. Complete at least the required fields, and then click on "Next."

    Figure 23: Form 2: Debtor Company Information Summary — Step 4 of 7 screen

    Form 2: Debtor Company Information Summary — Step 4 of 7 screen (the long description is located below the image)
    Description of Figure 23

    This screen, with the title Form 2: Debtor Company Information Summary — Step 4 of 5, has the subtitle Information Respecting Monitor, and is displayed when you have selected Next from the Step 3 of 5 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in two sections: Monitor Information and Monitor's Legal Counsel.

    In the Monitor Information section, the first field is monitor's toll free number for the proceedings. The second field is monitor's webpage created for the proceedings.

    In the Monitor's Legal Counsel section, the names of the fields are to the left and the fields to complete are to the right. The first field, identified as a required field, is name of the legal counsel. The next field, also a required field, is street address. The third field is suite/P.O. Box/Rural Route. The fourth field, a required field, is city. The fifth field, a required field, is province, which provides a drop-down menu. Below that, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The next field, a required field, is postal code. The next field, a required field, is telephone number, with a second box to the right for a telephone extension, if necessary. The next field, a required field, is email address. The last field is web site address.

    Below the Monitor's Legal Counsel section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    1. The Form 2: debtor company information summary — step 5 of 7 screen is displayed. If there is a foreign proceeding associated with the file, complete the Foreign Proceedings and Foreign Representative sections.
    2. Complete at least the required fields in the Monitor Representative Sign-off section (you do this even if no foreign proceeding is associated with the file), and then click on "Next."

    Figure 24: Form 2: Debtor Company Information Summary — Step 5 of 7 screen

    Form 2: Debtor Company Information Summary — Step 5 of 7 screen (the long description is located below the image)
    Description of Figure 24

    This screen, with the title Form 2: Debtor Company Information Summary — Step 5 of 5, has the subtitle Information Respecting Foreign Proceedings, and is displayed when you have selected Next from the Step 4 of 5 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in three sections: Foreign Proceedings, Foreign Representative and Monitor Representative Sign-off.

    The first field in the Foreign Proceedings section says "Indicate whether the proceeding is" with a drop-down menu to select the response. The second field says "Date of first order in foreign proceeding" with a box where you can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    The first field in the Foreign Representative section is Name. The second field says "If International, please specify country," with a drop-down menu. The next field is Name of court, followed by Judicial district and then by Court file number.

    The Monitor Representative Sign-off section is set off by its own subtitle: "Monitor Representative Responsible for Proceedings." The first two fields in this section, Monitor Representative and Monitor Licence, will already be completed. The next two, City and Province, are marked as required fields, with Province providing a drop-down menu. Below Province, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The last field in this section is a required field. It is the Date on which this form was signed by the monitor representative. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    Below the Monitor Representative Sign-off section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  3. The Form 2: debtor company information summary — step 6 of 7 screen is displayed, which is where you upload supporting documents, if required.

    Note:

    You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.

    Figure 25: Form 2: Debtor Company Information Summary — step 6 of 7 screen before any documents uploaded

    Form 2: Debtor Company Information Summary — step 6 of 7 screen before any documents uploaded (the long description is located below the image)
    Description of Figure 25

    This screen, with the title Form 2: Debtor Company Information Summary — Attachments, has the subtitle Supporting Documents, and is displayed when you have selected Next from the Step 5 of 5 screen. The screen says "If you have further supporting documents, please upload them here." It also has a note: "The maximum size for each attachment is 20 megabytes."

    The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

    The second section is a table labelled Attached Documents, and the screen shows how it looks before any files have been attached. The box includes a table with three columns, under the headings Document Type, Document Description and Document Actions. Below it, but still in the box, is a blank line, indicating that no information has been input yet.

    Below the table, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  4. In the Upload Document section, click on the box in the Document type field to display a drop-down list. From the list, select the type of document you are uploading.
  5. In Document description, type in a description, especially to specify the nature of documents identified as "Other" in Document type.
  6. Click on "Browse" to find and select the necessary document.
    1. Click on "Add Document." The document is now displayed in the Attached Documents section.
    2. Repeat steps 10–13 for other supporting documents, if required.

      As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen.

    1. When you finish uploading supporting documents, click on "Next" to continue. A Confirmation summary screen displays all the information.
    2. Review the confirmation summary.
    3. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.
  7. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
  8. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the form was filed.

Note:

Once you complete and submit this form, the OSB will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make, which you do by amending the form.

Chapters 6–7

6. Form 3: Debtor Company Information Summary

Form 3 records the outcome of proceedings under the Companies' Creditors Arrangement Act (CCAA). The monitor must submit it within five business days of the day the court makes an order discharging the monitor.

  1. Log in or go to the CCAA Online Filing System — dashboard screen.

    Figure 26: CCAA Online Filing System — Dashboard screen showing active files

    CCAA Online Filing System — Dashboard screen showing active files (the long description is located below the image)
    Description of Figure 26

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.

    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

  2. In the All Active Files section, click on the file number of the file you want. The debtor company's file summary screen is displayed.
  3. In the Filed Documents section, click on the "Add a form" icon (Icon of paper with a plus sign to denote Add a form) in the Actions column for Form 3.

    Figure 27: File summary screen with Add a form icon circled for Form 3

    File summary screen with Add a form icon circled for Form 3 (the long description is located below the image)
    Description of Figure 27

    This sample file summary screen is to show how to start the process of filing Form 3 for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first three rows are green circles, so these forms have been submitted. The third column shows the date these forms were submitted, using the four-digit year dash two-digit month dash two-digit day format. The fourth column has two icons for these forms, showing that the available actions are either viewing the forms or amending and re-submitting them. The fourth row, Form 3, has an Add a form icon that is circled to indicate that this is the icon that you need to click on to begin adding Form 3. The remaining row, Form 4, has a white circle in the Status column, indicating that it has not been submitted yet, and an Add a form icon in the Actions column.

  4. The Form 3: debtor company information summary — step 1 of 5 screen is displayed. Complete at least the required fields (those marked with *, and then click on the "Next" button.

    Figure 28: Form 3: Debtor Company Information Summary — Step 1 of 5 screen

    Form 3: Debtor Company Information Summary — Step 1 of 5 screen (the long description is located below the image)
    Description of Figure 28

    This screen, with the title Form 3: Debtor Company Information Summary — Step 1 of 3, has the subtitle Information Respecting Debtor Company, and is displayed when you have selected Form 3 from the file summary screen. The screen says that required fields are indicated by a red asterisk.

    A box has the following note: Please note that in order to proceed with any change(s) to the name(s) of the debtor company or affiliated debtor companies, an amended Form-1 must first be filed to ensure that such change(s) is/are duly reflected in the public records maintained pursuant to subsection 26(1) of the Companies' Creditors Arrangement Act.

    Below the box is a legend indicating that a star icon indicates the primary debtor and a house icon indicates head offices.

    The screen then presents two main sections, using the examples Debtor 1 and Debtor 2. The Debtor 1 main section, which identifies Debtor 1 as the primary debtor, has two subsections: Names Under Which the Debtor Company Carries on Business and Addresses.

    In the Debtor 1 subsection Names Under Which the Debtor Company, there is a heading Carries on Business Names, and in the field where you type in the name, are Other Name 1, Other Name 2, together on one line.

    In the Debtor 1 subsection Addresses, there are headings for Street Address, City, Province/State, Postal Code, Country and Action. The Street Address column lists an example, with this address identified as the head office. The other headings have sample text inserted, and under action is a sheet of paper icon.

    The Debtor 2 section has seven subsections: Names Under Which the Debtor Company Carries on Business, Addresses, Debtor Company, Financial Statements, Assets, Liabilities, and Prescribed Pension Plans.

    In the Debtor 2 subsection Names Under Which the Debtor Company, there is a heading Carries on Business Names with a field where you type in the name.

    In the Debtor 2 subsection Addresses, there are headings for Street Address, City, Province/State, Postal Code, Country and Action. The Street Address column lists an example, with this address identified as the head office. The other headings have sample text inserted, and under action is a sheet of paper icon.
    In the Debtor 2 Debtor Company subsection, the first field, identified as a required field, is "Name of the debtor company at the time of monitor's discharge," with a box to the right for typing in the name. The next field is File number assigned by the Superintendent of Bankruptcy, which is completed by the system.

    In the Debtor 2 Financial Statements subsection, the first field is identified as a required field. It says: "The financial statements are" with a drop-down menu that has "Unaudited" selected. The next field says "If audited, name of auditor" with a field to type in the name. The next field, also identified as a required field, says "Date of the most recent consolidated financial statements" and the example uses the four-digit year dash two-digit month dash two-digit day format. To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    The Debtor 2 Assets subsection has one field, which is identified as a required field. It says: "Book value of total assets as set out in the most recent consolidated financial statements of the debtor company." The example presented is $100,000,000 with no commas.

    The Debtor 2 Liabilities subsection has five fields, all of which are required fields. The first field says "Book value of total liabilities as set out in the most recent consolidated financial statements of the debtor company." The example presented is $100,000,000 with no commas. The second field is Secured, with the example $50,000,000 (no commas). The third field is Unsecured, with the example $50,000,000 (no commas). The fourth field is trust claims, with the example $0. The final field is "Book value of total liabilities referred to in the item above that are contingent" with the example $100,000,000 with no commas.

    In the Debtor 2 Prescribed Pension Plans subsection, the first field is identified as a required field. It says: "Does the debtor company participate in any prescribed pension plans for the benefit of its employees?" with a drop-down menu that has "No" selected. Below that it says: "If yes, give name of each plan and indicate whether it is a defined benefit or defined contribution plan. Below that is Add a plan type, with a drop-down menu that you can use to select the type of plan. To its right is Add a plan name, with a box where you type in the name of the plan. To the right of that is a hyperlink to click on that says "Add another plan."

    Below the Debtor 2 Prescribed Pension Plans subsection, separated by a line, are three buttons. To the far left is a button labelled Next. To the far right are two buttons: the left button is labelled Save as Draft and the right button is labelled Cancel.

    Tip

    If you cannot complete a form in a single session, use the "Save as Draft" button.
    When you choose this button, you save all information already entered up to that point. You can add the rest of the information at a later time by selecting the file number from the dashboard, finding the draft form in the file summary screen — in the Form Status column, it will say "Form is in draft mode" — and then clicking on the "Edit a draft form" icon (Icon of pencil and paper to denote edit draft form) in the Actions column. You also have the option to "Delete a draft form" (Icon of paper with red circle with horizontal bar to denote delete a draft form).
    Clicking on "Save as Draft" returns you to the CCAA Online Filing System — dashboard.

    Figure 29: File summary screen showing draft status of Form1 and legend for actions

    File summary screen showing draft status of Form1 and legend for actions (the long description is located below the image)
    Description of Figure 29

    This sample file summary screen is to show how to amend a draft form for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first row is a yellow circle, indicating it is a draft form. The Date Submitted column presents a date using the four-digit year dash two-digit month dash two-digit day format for Form 1, but is blank for all the other forms. The Actions column has two icons for the draft Form 1, showing that the available actions are either editing a draft form or deleting a draft form. It also has an add a form icon for Initial Application and Order and for Form 4, but this column is blank for Forms 2 and 3.

  5. The Form 3: debtor company information summary — step 2 of 5 screen is displayed. Complete at least the required fields, and then click on "Next."

    Figure 30: Form 3: Debtor Company Information Summary — Step 2 of 5 screen

    Form 3: Debtor Company Information Summary — Step 2 of 5 screen (the long description is located below the image)
    Description of Figure 30

    This screen, with the title Form 3: Debtor Company Information Summary — Step 2 of 3, has the subtitle Information Respecting Debtor Company, and is displayed when you have selected Next from the Step 1 of 3 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in two sections: Interim Financing and Compromise or Arrangement.

    In the Interim Financing section, the first field is identified as a required field. It says: "Was interim financing granted by court order under section 11.2 of the Act?" with a drop-down menu that has "No" selected. The next field says "If yes, give the amount of interim financing granted by court order" with a box to fill in the amount. The next field says "If yes, give the amount drawn."

    In the Compromise or Arrangement section, the first field is identified as a required field. It says: "Was a compromise or arrangement sanctioned by the court?" with a drop-down menu with "No" selected. The next field says "If yes, give the date the compromise or arrangement was sanctioned by court." To the right of the field is a calendar icon that you can click on to select the date instead of typing it in. The next field says "If yes, was the compromise or arrangement approved by the creditors before the initial application was made?" with a drop-down menu to select a response. The last field says "If yes, was the compromise or arrangement completed?" with a drop-down menu to select a response.

    Below the Compromise or Arrangement section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    1. The Form 3: debtor company information summary — step 3 of 5 screen is displayed. If there is a foreign proceeding associated with the file, complete the Foreign Proceedings and Foreign Representative sections.
    2. Complete at least the required fields in the Monitor Representative Sign-off section (you do this even if no foreign proceeding is associated with the file), and then click on "Next."

    Figure 31: Form 3: Debtor Company Information Summary — Step 3 of 5 screen

    Form 3: Debtor Company Information Summary — Step 3 of 5 screen (the long description is located below the image)
    Description of Figure 31

    This screen, with the title Form 3: Debtor Company Information Summary — Step 3 of 3, has the subtitle Information Respecting Foreign Proceedings, and is displayed when you have selected Next from the Step 2 of 3 screen. The screen says that required fields are indicated by a red asterisk.

    The screen is presented as a form in three sections: Foreign Proceedings, Foreign Representative and Monitor Representative Sign-off.

    The first field in the Foreign Proceedings section says "Indicate whether the proceeding is" with a drop-down menu to select the response. The second field says "Date of first order in foreign proceeding" with a box where you can type in the date. To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    The first field in the Foreign Representative section is Name. The second field is country, with a drop-down menu. The next field is Name of court, followed by Judicial district and then by Court file number.

    The Monitor Representative Sign-off section is set off by its own subtitle: "Monitor Representative Responsible for Proceedings." The first two fields in this section, Monitor Representative and Monitor Licence, will already be completed. The next two, City and Province, are marked as required fields, with Province providing a drop-down menu. Below Province, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The last field in this section is a required field. It is the Date on which this form was signed by the monitor representative. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    Below the Monitor Representative Sign-off section, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

  6. The Form 3: debtor company information summary — step 4 of 5 screen is displayed, which is where you upload supporting documents, if required.

    Note:

    You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.

  7. In the Upload Document section, click on the box in the Document type field to display a drop-down list. From the list, select the type of document you are uploading.
  8. In Document description, type in a description, especially to specify the nature of documents identified as "Other" in Document type.
  9. Click on "Browse" to find and select the necessary document.
    1. Click on "Add Document."
    2. Repeat steps 8–11 for other supporting documents, if required.

    As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen.

    Figure 32: Form 3: Debtor Company Information Summary – step 4 of 5 screen before any documents uploaded

    Form 3: Debtor Company Information Summary – step 4 of 5 screen before any documents uploaded (the long description is located below the image)
    Description of Figure 32

    This screen, with the title Form 3: Debtor Company Information Summary — Attachments, has the subtitle Supporting Documents, and is displayed when you have selected Next from the Step 3 of 3 screen. The screen says "If you have further supporting documents, please upload them here." It also has a note: "The maximum size for each attachment is 20 megabytes."

    The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

    The second section is a table labelled Attached Documents, and the screen shows how it looks before any files have been attached. The box includes a table with three columns, under the headings Document Type, Document Description and Actions. Below it, but still in the box, is a blank line, indicating that no information has been input yet.

    Below the table, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    1. When you finish uploading supporting documents, click on "Next" to continue. A Confirmation summary screen displays all the information.
    2. Review the confirmation summary.
    3. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.
  10. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
  11. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the form was filed.

Note:

Once you complete and submit this form, the Office of the Superintendent of Bankruptcy (OSB) will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make, which you do by amending the form.

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7. Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement

Form 4 is used under the Companies' Creditors Arrangement Act (CCAA) to give notice to the other parties of an agreement of a debtor company's intention to disclaim or resiliate an agreement. File this form only if the Office of the Superintendent of Bankruptcy (OSB) requests it.

  1. Log in or go to the CCAA Online Filing System — dashboard screen.

    Figure 33: Online Filing System — dashboard screen showing active files

    Online Filing System — dashboard screen showing active files (the long description is located below the image)
    Description of Figure 33

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.
    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

  2. In the All Active Files section, click on the file number of the file you want. The debtor company's file summary screen is displayed.
  3. In the Filed Documents section, click on the "Add a form" icon (Icon of paper with a plus sign to denote Add a form) in the Actions column for Form 4.

    Figure 34: File summary screen with Add a form icon circled for Form 4

    File summary screen with Add a form icon circled for Form 4 (the long description is located below the image)
    Description of Figure 34

    This sample file summary screen is to show how to start the process of filing Form 4 for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first four rows are green circles, so these forms have been submitted. The third column shows the date these forms were submitted, using the four-digit year dash two-digit month dash two-digit day format. The fourth column has two icons for these forms, showing that the available actions are either viewing the forms or amending and re-submitting them. The fifth row, Form 4, has an Add a form icon that is circled to indicate that this is the icon that you need to click on to begin filing Form 4.

  4. The Form 4: notice by debtor company to disclaim or resiliate an agreement — step 1 of 3 screen is displayed. Complete at least the required fields (those marked with *), and then click on the "Next" button.

    Figure 35: Form 4 – Notice by Debtor Company to Disclaim or Resiliate an Agreement — step 1 of 3

    Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement — step 1 of 3 screen (the long description is located below the image)
    Description of Figure 35

    This screen, with the title Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement, is displayed when you have selected Form 4 from the file summary screen. The screen says that required fields are indicated by a red asterisk.

    The screen then presents five sections: Notice Given To, Proceedings Details, Agreement Details, Debtor Company Sign-off, and Monitor Approval and Sign-off.

    The Notice Given To section starts with Monitor, a field already completed by the system. The next field, a required field, is Parties to the agreement, with three spaces provided to type in the names of the parties; the example says Member 1 on the first line, Member 2 on the second line and leaves the third line blank. Below the blank line is a hyperlink to click on that says "Add another name."

    The Proceedings Details section has two required fields: Name of debtor company and Proceedings commencement date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    In the Agreement Details section, the first field is marked as a required field. It says: "Details to identify agreement(s) that the debtor intends to disclaim or resiliate," with a box to type in the details. The second field is also a required field and says "Disclaimer or resiliation date: being 30 days after the date of the notice, if no application is made for an order that the agreement is not to be disclaimed or resiliated. The example uses the four-digit year dash two-digit month dash two-digit day format. To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    Between the Agreement Details section and the Debtor Company Sign-off section is a paragraph that says: "Pursuant to subsection 32(2) of the Act, within 15 days after the day on which this notice is given, any party to the agreement may, with notice to the other parties to the agreement and to the monitor, apply to court for an order that the agreement is not to be disclaimed or resiliated."

    The fourth section, Debtor Company Sign-off, starts with two required fields: City and Province, with Province providing a drop-down menu. Below Province, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The last field in this section is a required field. It is the Date on which this form was signed by the debtor company. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    The fifth section, Monitor Approval and Sign-off, is set off by its own subtitle: "Monitor Representative Responsible for Proceedings." The first field in this section, a required field, says "Monitor approves proposed disclaimer or resiliation," with a drop-down menu that shows "Yes" selected. The next two fields, Monitor Representative and Monitor Licence, will already be completed. The next two, City and Province, are marked as required fields, with Province providing a drop-down menu. Below Province, it says: "If other, please specify Province/State and Country" with a field for Other Province/State. The next field is Country, with a drop-down menu that has Canada selected. The last field in this section is a required field. It is the Date on which this form was signed by the monitor representative. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    Below the Monitor Approval and Sign-off section, separated by a line, are three buttons. To the far left is a button labelled Next. To the far right are two buttons: the left button is labelled Save as Draft and the right button is labelled Cancel.

    Tip

    If you cannot complete a form in a single session, use the "Save as Draft" button.
    When you choose this button, you save all information already entered up to that point. You can add the rest of the information at a later time by selecting the file number from the dashboard, finding the draft form in the file summary screen — in the Form Status column, it will say "Form is in draft mode" — and then clicking on the "Edit a draft form" icon (Icon of pencil to denote edit draft form) in the Actions column. You also have the option to "Delete a draft form" (Icon of trash can to denote delete a draft form).
    Clicking on "Save as Draft" returns you to the CCAA Online Filing System — Dashboard.

    Figure 36: File summary screen showing draft status of Form1 and legend for actions

    File summary screen showing draft status of Form1 and legend for actions (the long description is located below the image)
    Description of Figure 36

    This sample file summary screen is to show how to amend a draft form for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows the first row is a yellow circle, indicating it is a draft form. The Date Submitted column is blank for all the forms. The Actions column has two icons for the draft Form 1, showing that the available actions are either editing a draft form or deleting a draft form. It also has an add a form icon for Initial Application and Order and for Form 4, but this column is blank for Forms 2 and 3.

  5. The Form 4: notice by debtor company to disclaim or resiliate an agreement ― step 2 of 3 screen is displayed, which is where you upload supporting documents, if required.

    Note:

    You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.

  6. In the Upload Document section, click on the box in the Document type field to display a drop-down list. From the list, select the type of document you are uploading.
  7. In Document description, type in a description, especially to specify the nature of documents identified as "Other" in Document type.
  8. Click on "Browse" to find and select the necessary document.
    1. Click on "Add Document."
    2. Repeat steps 6–9 for other supporting documents, if required.

      As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen.

      Figure 37: Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement — step 2 of 3 screen

      Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement — step 2 of 3 screen (the long description is located below the image)
      Description of Figure 37

      This screen, with the title Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement, has the subtitle Supporting Documents, and is displayed when you have selected Next from the previous Form 4: Notice by Debtor Company to Disclaim or Resiliate an Agreement screen. The screen says "If you have further supporting documents, please upload them here." It also has a note: "The maximum size for each attachment is 20 megabytes."

      The first section of the screen is a box labelled Upload Document. It has three fields. The first field is Document Type, and it provides a drop-down menu that you can use to select the type of document you want to upload. The second field is where you type in the document description. The third field is where you type in the filename of your document or use the Browse button to the right of the field to look through the files on your computer to select the correct file. The bottom right corner of that section is a button labelled "Add Document."

      The second section is a table labelled Attached Documents, and the screen shows how it looks before any files have been attached. The box includes a table with three columns, under the headings Document Type, Document Description and Document Actions. Below it, but still in the box, is a blank line, indicating that no information has been input yet.

      Below the table, separated by a line, are four buttons. To the far left is a button labelled Previous, with a button labelled Next to its immediate right. To the far right are two more buttons side by side. Of these two, the one on the left is labelled Save as Draft and the one on the right is labelled Cancel.

    1. When you finish uploading supporting documents, click on "Next" to continue. A Confirmation summary screen displays all the information.
    2. Review the confirmation summary.
    3. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.
  9. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
  10. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the form was filed.

Note:

Once you complete and submit this form, the OSB will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make, which you do by amending the form.

Chapters 8 to 10

8. Amending Forms 1–4

After a form has been submitted, the monitor may be required to amend it, for example, if the Office of the Superintendent of Bankruptcy (OSB) requests changes or if there are changes during the administration of the file.

  1. Log in or go to the CCAA Online Filing System — dashboard.

    Figure 38: CCAA Online Filing System — dashboard

    Graph of CCAA Online Filing System — Dashboard screen showing an active file (the long description is located below the image)
    Description of Figure 38

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.
    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

  2. In the All Active Files section, click on the file number of the file you want. The debtor company's file summary screen is displayed.
  3. In the Filed Documents section, click on the "Amend and re-submit a form" icon (Icon of a completed form to denote Amend and re-submit form) in the Actions column for the form you are amending.

    Figure 39: CCAA Online Filing System — dashboard

    Graph of File summary screen showing all forms submitted with View a form and Amend and re-submit a form icons in Actions column for all forms (the long description is located below the image)
    Description of Figure 39

    This sample file summary screen is to show how to amend a form that has already been submitted for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line.

    Below that is a legend for the table at the bottom of the screen. The left column of the legend identifies the icons for three types of status. The first status icon is a white circle, which indicates that a form has not been submitted yet. The second status icon is a yellow circle, which indicates that a form is in draft mode. The third status icon is a green circle, which indicates that a form has been submitted.

    The right column of the legend identifies the icons for five types of actions. The first action icon, a sheet of paper with a green circle in the lower right corner, indicates Add a form. The second action icon, a sheet of paper with a magnifying glass in the lower right corner, indicates View a form. The third action icon, a sheet of paper with a pencil on top, indicates Edit a draft form. The fourth action icon, a sheet of paper with a red circle in the lower right corner, indicates Delete a form. The fifth action icon, a sheet of paper with a green arrow in the lower right corner, indicates Amend and re-submit a form.

    Below the legend is a table labelled Filed Documents. It has four columns under the headings Status, List of Forms, Date Submitted and Actions. There are five rows under the headings, identified in the second column as Form 1, Initial Application and Order, Form 2, Form 3, and Form 4, under the heading List of Forms. The status column shows a green circle for all forms, indicating that they have all been submitted. The Date Submitted column presents a date for each form using the four-digit year dash two-digit month dash two-digit day format. The Actions column has two icons for each form, showing that the available actions are either viewing a form or amending and re-submitting a form.

  4. After you click on the icon, the same screens are displayed as for originally completing the form. Review each section and update the fields that need to be updated. Add additional supporting documents, if necessary.
  5. a. Once you have finished making the required changes, click on the "Next" button. A Confirmation Summary screen displays the entire form, showing all the changes that you have made to the information.

    b. Review the confirmation summary.

    c. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.

  6. When you are satisfied, click on the "Submit" button. A Submission successful message is displayed.
  7. Click on the "Ok" button to accept. The file summary screen is displayed.

    The Date Submitted column in the Filed Documents section shows the date the amended form was filed.

Note:

Once you complete and submit an amended form, the OSB will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make.

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9. File Transfer

When the court orders a new monitor in a Companies' Creditors Arrangement Act (CCAA) file that's been filed online, the former monitor representative needs to transfer the file to the OSB.

Note:

If you have not used the CCAA Online Filing System before, you need to complete the steps for registration to activate your account before you can log in.
  1. Log in or go to the CCAA Online Filing System — dashboard screen.
  2. In the left-hand menu, click on "File Transfer."

    Figure 40: CCAA Online Filing System — dashboard

    Graph of CCAA Online Filing System — Dashboard screen (the long description is located below the image)
    Description of Figure 40

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you log in or go to the Dashboard in the left-hand menu.

    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1, which is circled to highlight that you click here to begin the process of filing Monitor Substitution Form 1. The final menu item is Logout.

    The screen shows a table to the right of the menu. The table is labelled All Active Files, with three columns under the headings OSB File Number, Debtor Company Name and Date of First OSB Submission. In the examples, there are two active files, with the file numbers in the first column displayed as hyperlinks. They are identified as Debtor 1 and Debtor 2 in the example, and show the date of first OSB submission using the four-digit year dash two-digit month dash two-digit day format.

  3. The OSB file transfer screen is displayed. Complete the required fields (those marked with *), and then click on the "Next" button.

    Figure 41: CCAA Online Filing System — dashboard

    Graph of OSB file transfer screen (the long description is located below the image)
    Description of Figure 41

    This screen, with the title Court Ordered Monitor Substitution and subtitle Form 1 Submission, is displayed after you have selected Monitor Substitution Form 1. The form states that required fields are indicated by a red asterisk.

    The screen is presented as a form in three sections: Verify OSB File Information, Monitors, and Confirmation by the Substituted Monitor.

    In the Verify OSB File Information section, the first field is OSB File Number, a required field. There is a box to type in the number and a button labelled Verify to the right of the box. The rest of the fields in this section have already been completed by the system: Name of debtor company (the example lists two), Former monitor representative, Court file number, and Date of proceedings.

    In the Monitors section, the first two fields have already been completed by the system: Former monitor and Substituted monitor representative. The last field, a required field, is Date of the court order substituting the monitor. You can type in the date (the example uses the four-digit year dash two-digit month dash two-digit day format). To the right of the field is a calendar icon that you can click on to select the date instead of typing it in.

    In the Confirmation by the Substituted Monitor section, the only field is a required field with a box, marked with a checkmark in the example. Beside the box, it says: "By checking this box it is confirmed that this form is being submitted subsequent to a court ordered monitor substitution in this proceeding."

    Below the Confirmation by the Substituted Monitor section, separated by a line, are two buttons. To the far left is a button labelled Next. To the far right is a button labelled Cancel.

  4. The OSB file transfer — supporting documents screen is displayed, which is where you upload supporting documents.

    Note:

    You cannot upload a document that exceeds 20 Mb. Divide large files into smaller ones less than 20 Mb.
  5. In the Upload Document section, click on the box in the Document type field to display a drop-down list. From the list, select the type of document you are uploading.
  6. In Document description, type in a description, especially to specify the nature of documents identified as "Other" in Document type.
  7. Click on "Browse" to find and select the necessary document.
  8. a. Click on "Add Document."

    b. Repeat steps 5–8 for other supporting documents, if required.
    As each supporting document is uploaded, it is displayed in the Attached Documents section of the screen.

  9. a. When you finish uploading supporting documents, click on "Next" to continue. A Confirmation Summary screen displays all the information.

    b. Review the confirmation summary.

    c. If you need to change something, click on the "Previous" button until you reach the page with the error and correct it. Then click on "Next" until you reach the confirmation summary again.

  10. When you are satisfied, click on the "Submit" button. A Submission Successful message is displayed.

    Click on the "Ok" button to accept. The file summary screen is displayed.

    Note:

    Once you complete and submit this form, the OSB will review the information. If there is anything incorrect or missing, the OSB will notify you by email of what changes to make.

    Once approved, you will have access to this file in the system.

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10. Logging Out of the CCAA Online Filing System

When you have finished submitting forms, uploading documents or saving forms as drafts, you are returned to either the CCAA Online Filing System — dashboard or the debtor file summary screen. You may log out from either of these pages.

  1. In the top-right-hand corner of the dashboard, click on the "Logout." hyperlink.

    Figure 42: CCAA Online Filing System — dashboard

    Graph of CCAA Online Filing System — Dashboard screen with Logout circled in top right menu (the long description is located below the image)
    Description of Figure 42

    This screen, with the title CCAA Online Filing System — Dashboard, is displayed when you go to the Dashboard in the left-hand menu.

    The left-hand menu has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is File New Form 1 The next item is Monitor Substitution Form 1. The final menu item, Logout, is circled to highlight that you click here to log out.

    The screen also shows an All Active Files table to the right of the menu.

    Figure 43: CCAA Online Filing System — dashboard

    Graph of File summary screen with Logout circled in top right menu (the long description is located below the image)
    Debtor File Summary Screen
    Description of Figure 43

    This sample file summary screen for Debtor 1, the title at the top, with Debtor 1's OSB file number listed on the second line, is to show how to log out from the file summary screen.

    The left-hand menu displays on the file summary screen. It has the heading CCAA Management, and then Dashboard is the first item. The next item in the menu is the OSB file number (in the example, it is 0045831-2-1-ON), which is darker than the rest of the menu to indicate that this is the page showing. The next item is File Summary. The final menu item is Logout, and it is circled to indicate that you click here to log out of the CCAA Online Filing System.

    The rest of the screen shows the legend and the filed documents table.

  2. The Login screen is displayed.
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