CCAA Online Filing System

Step-by-step approach for monitors

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.

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