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Athabasca University

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Bea Sweet Portfolio

How this Course-based Portfolio Example is Set Up and
How to Read It

With permission of the student-author, we have tailored this portfolio for use as an example of a course-based portfolio for the BMAN3 program. All names and identifying places have been changed in order to respect the writer's confidentiality.

The student sought PLAR credit for 6 courses (18 credits) within the BMAN3 degree. The maximum allowable PLAR credits in said program are 15; however, we often advise course-based PLAR applicants to include an extra course, "just in case."

The learner's "front end" pieces (resume, autobiography, and critical incident learning essay) are reproduced here with the appropriate changes, as mentioned above.

Within the Learning Summary, which forms the central part of the portfolio, however, we have only included the statements pertaining to one course, ADMN 233. Please note that EACH of the other 5 courses followed the same model that you see here. Each of the other courses was identified by and labeled with its own Tab.

Correspondingly, under Supporting Documentation, we have only included the Letters of Attestation and other documentation that pertain to ADMN 233. There were many other supporting documents relevant to the other courses that we have omitted in the interests of space.

What we are providing here as an example of a good course-based portfolio is, therefore, only a fraction of the original document. This portfolio was very thoroughly and meticulously prepared. As a result, the student was successful in gaining the full 15 credits (5 courses) of credit that were sought.

Quick e-Portfolio viewing tip (see link above): If you select the name of the document you will be directed through a download procedure. It is quicker to select the page icon to the left of the document name, which allows you to open without having to download.

Portfolio Declaration Page

Degree Works

Degree Works

Table of Contents

Portfolio Declaration Page  
Program Plan/DegreeWorks worksheet  
Front End Pieces  
Resume Tab 1
Autobiographical Essay Tab 2
Critical Incident Learning Essay Tab 3
Identification and Verification of Learning  
ADMN 232 - Introduction to Management
N/A
ADMN 233 – Writing in Organizations
Tab 4
CMIS 351 – Management Information Systems
N/A
ECOM 320 – Overview of e-Commerce
N/A
FNCE 300 – Financial Economics
N/A
ORGB 386 – Introduction to Human Resource Management
N/A
Supporting Documentation
Letters of Attestation
Mr. Jxxx Rxxx
Tab 5
Mr. Dxxx Hxxx
Tab 6
Mr. Dxxx Wxxx
N/A
Mr. Rxxx Dxxx
N/A
Certificates
N/A
Moving from an Operational Manager to a Strategic Leader and Thinker
N/A
Strategic Execution: Getting It Done
N/A
Supporting Documents per Worksheet
 
ADMN 232 – Introduction to Management
N/A
48 documents
 
ADMN 233 – Writing in Organizations
 
Email to staff Jan /## re: uAS challenges
Tab 7
Email re: Gift in Kind receipting Sept /## (Kxxx)
Tab 8
TAP Business Plan
Tab 9
Email to Dxxx Gxxx Dec /##: uAOC Partnership Program
Tab 10
Email to Axxx Wxxx at bank: Compensation arrangements letter Jan/##
Tab 11
Email to Jxxx Oxxx Aug /##: uAOC wires processing
Tab 12
Email to Dxxx Hxxx re: Director Job Description Dec /##
Tab 13
Engagement Letter Template
Tab 14
Termination letter
Tab 15
Email to Gxxx Bxxx Sept /##: cc Jxxx Rxxx
Tab 16
Email to staff March /## : Accounts Payable deadlines
Tab 17
Letter Outstanding Balance - AR
Tab 18
Salary increase letter to staff
Tab 19
Email to Mxxx Cxxx re: CRM project Sept /##
Tab 20
uAOC Cost Allocation Plan
Tab 21
Disaster Recovery Plan
Tab 22
IT Department Proposal to Lead Team 201#
Tab 23
CMIS 351 – Management Information Systems
N/A
37 documents
 
ECOM 320 – Overview of e-Commerce
N/A
23 documents
 
FNCE 300 – Financial Economics
N/A
15 documents
 
ORGB 386 – Introduction to Human Resource Management
N/A
23 documents
 

Bea Sweet – 1234567 : Pages 1 - 3

Bea Sweet

### #### Xxxx, Central Canada  X#X #X#
(###) ###-#### | B.SWEET@xxxx.org

Experience

200# - Present
Dir of Finance, unspecified Association of Canada (uAOC)

  • Understand all financial aspects of uAOC and recommend effective strategies to ensure financial well being
  • Budget Committee Chair – responsible for strategic short and long-term financial planning
  • Provide financial decision-making services through analytical support
  • Maintain liquidity and capital at sufficient levels
  • Develop and recommend strategies in treasury and balance sheet management to maximize return on Capital for uAOC and Partner entities
  • Actively participate in the uAOC Finance Committee, and all Operational Committees
  • Actively participate in financial management and active Board member of uAOC partner-entity: unspecified Association of Canada (196#) Pension Fund
  • Proactively develop and manage relationship with External Auditors
  • Influence and direct the preparation of statutory government returns
  • Develop and administer financial policies/procedures and administer all contracts involving financial operations
  • Develop effective risk management strategies including policies, procedures, and controls
  • Provide leadership to staff handling accounting functions, establish individual performance targets and complete performance reviews
  • Provide leadership and advise staff on preparation of monthly financial operating results both departmental and consolidated
  • Assess financial performance and best practices of peers and outline actions to improve performance
  • Provide uAOC wide accountability to manage IT systems and infrastructure to ensure that IT support & enhancement processes are efficiently providing the organization with the tools to meet its strategies and objectives, and internal knowledge of critical systems is sustained
  • Directs the IT Operations, and Database and Programming team members in analyzing, reviewing, enhancing, and tailoring existing systems to increase operating efficiency or to adapt to information needs; building new information systems that will provide information, add new feature, and/or improve performance
  • Actively participate in financial management of multiple uAOC partner-entities: The unspecified Financial Services Group Inc. (uFSG)
  • Actively participate in financial management and acting Board member of uAOC partner-entity: unspecified Sub-entity 1

199# - 200#
Dir of Finance, Aid by Air of Canada – Central Canada

  • Maintained and managed financial resources according to generally accepted accounting
  • principles, and the regulations set for charities by CRA
  • Restructured finances of entire aid support system
  • A part of Management Team, involved in major decision making, implementing of policy
  • Presented Financial Reports to Board of Directors semi-annually
  • Prepared for and facilitated annual financial audits
  • Prepared annual budgets, processed payroll

199# - 199#
Aid/Mozambique Program Finance Manager, Aid by Air of Canada

  • Managed finances of Mozambique Program – # bases in # South African countries, # aircraft
  • Setup Program accounting package and trained numerous staff
  • Implemented financial procedures and controls within the Program

199# - 199#
Office Administrator, XXX Planning Consultants Inc.

  • Implemented company’s computer-based accounting system
  • Managed all aspects of the office

197# - 199#
Various Other jobs

  • Bookkeeper, Order Desk, Cashier

Volunteering Experience

201#-Present
Board Member, unspecified Church

  • Leadership to church and its activities

200# - 200#
Board Member/Treasurer, unspecified Church

  • Leadership to church and oversight to all assets
  • Chair of Finance Committee

Education

Athabasca University Athabasca, AB

  • Bachelor of Management program in progress
  • Completed 21 credits

unspecified Correspondence School Central Canada

  • Accounting Program
  • Graduated 2-year diploma

XXXXXX District Secondary School Central Canada

  • Graduated 4-year diploma

Various Other Business-related Training/Courses

Interests

Reading, tennis, volunteering, biking

References

  • Dxxx Hxxxx unspecified Association of Canada
    (###) ###-#### | dhxxxxx@xxxx.xxx
  • Dxxx Wxxx unspecified Association of Canada
    (###) ###-#### | dwxxxxx@xxxx.xxx
  • Lxxx Gxxx unspecified College & Seminary
    (###) ###-#### | lgxxxxx@xxxx.xxx

Bea Sweet – 1234567 : Pages 1 - 8

Autobiography of Bea Sweet

I was born in June 195# in Central Canada and was an only child up until I was 6 when my parents adopted my only sibling, my brother. Not long after his adoption we moved to a potato farm where we worked many long days throughout the summer months getting all the potatoes harvested before the cold weather came. There was always lots of work to be done. We sold potatoes and vegetables at the local market, as well as on our farm. I spent many days helping man the vegetable stand selling produce to customers and keeping the cash balanced. Working with money always came easy for me.

I graduated from high school in 197#, having completed my Grade 12 Diploma. Throughout my high school years I had focused mainly on math and business type courses knowing that I wanted to work in an office someday. Math had always been my strongest course. Upon graduating I was able to find office employment as an Order Desk clerk and remained at that job until I had my first child in 198#.

During my high school years I also took on the role of Youth leader at our local church, which was my first taste at leadership. I held this role for a couple of years until I met my husband Xxxx and we were married in 197#. Even after getting married we both continued to lead the Youth group at our church for the next couple of years.

After the birth of our son in 198#, I stopped working and became a full-time stay at home mom. Our daughter came along two years later in 198#.

In the spring of 198# I began to work part-time again outside the home in a grocery store. I also sold Tupperware for about a year as well.

In the summer of 198# my husband and I moved our family up to the North of our province to help in a church there. We lived there for the next 3 ½ years helping in the church while my husband was able to get his Aircraft Maintenance Engineer’s license. It was in this new location where I was given my first opportunity to use my math skills to volunteer for the church and for the Xxxx Mission doing all of their finances. In 198# I took a job with a local excavating company, responsible for all their finances setting them all up on a new computer program they had purchased. Also while employed with this company I got my Bus license and drove bus for them part-time.

In December 198# we moved our family back South where my husband went back to school for a year and a half while I worked full-time. I was employed at a small Planning firm doing all of their books and secretarial duties. Again, I was given the task of setting their books up on Bedford Accounting.

After my husband completed his schooling in mid-199#, we made application to Aid by Air of Canada (AAC) to become full-time aid workers with them overseas. This organization had approximately ### airplanes in ## countries around the world and they were in desperate need of mechanics at that time. We were accepted by them and charged with the task of raising all of our own support in order to go. The next 8-9 months were spent visiting many of our family and friends and speaking at many community groups, telling them about what we would be doing and what our needs were. I continued to work at the Planning firm during this time, while my husband did contract work.

In February 199# we finally were given the go ahead and took our children with us on our big adventure to Africa. Upon arriving there, we settled in South Africa where my husband maintained their airplane while I volunteered in the office. Soon after we arrived I was taught by their Accountant from Canada how to look after the finances for the entire Program, as their prior Finance Manager had recently left. At that time the finances were spread over three different bases, one in South Africa, one in Mozambique, and the Canada base. They had ### airplanes and about ## families.

A year later in February 199#, the entire team was moved from South Africa to Mozambique where we were to be stationed for the remainder of our term. At this time the Program finances grew from three bases to four and I was given the role of Finance Manager continuing to manage all of them from our home in Mozambique. The Program continued to grow until we had approximately ## families and ### airplanes. I worked with many staff at each base putting processes and procedures in place that would streamline the flow of funds from base to base, as well as keep things secure.

During our first 6 months in Mozambique, we were also immersed in learning the Portuguese language, a new challenge for both of us. It was vital for us to survive there as there was little English spoken on the streets. The challenge of learning a new culture and how to survive in a third world country filled our days, yet we enjoyed all the new experiences we received. A couple years after arriving there I came down with malaria and become deathly ill. Fortunately an airplane was heading out of the country to South Africa that weekend and I was able to get to a hospital and get the medical attention I needed. It took a number of months to recover, but I never got it again.

During our first two years our children were taught on the compound by a teacher from Canada. In 199# our son Xxxx did his Grade 9 by video in our home, and I was his tutor. He was on a stringent schedule and the completed courses and exams had to be mailed back to Canada on a regular basis. During this time I also continued to carry the role of Finance Manager.

The next year, 199# our son decided he’d rather go to Boarding School for his high school as opposed to doing it alone in our living-room. This was a very stretching time for us, having to send our son who was 14 across the continent of Africa for three months at a time. He attended there for two years.

In 199# our daughter reached Grade 8 and she did it by correspondence in our home, as we had moved that year to another base in Mozambique. Again I was kept very busy with home-schooling and looking after the Program finances.

In the summer of 199# our family returned to Canada to have a rest and visit family and friends. It was during this time that we made the decision to remain in Canada and not return to Mozambique. This was a very tough decision to make and a difficult transition to move back where things had changed so drastically since we’d left.

After moving back to Canada I offered to remain on as the Mozambique Program Finance Manager and do it from our home office in South Central Canada. As we had full-time Mozambique staff at each base, I just had to oversee what they were doing and put all the finances together each month into Financial Statements. I did this part-time as well as helped the Accountant on staff at the Home Office re-design their entire financial structure, a 1.5 million dollar budget.

My husband took a job as an AME working in South Central Canada.

In fall of 199# I began recognizing that I needed some formal Accounting training if I wanted to pursue a career in Accounting. I enrolled in a two-year Accounting Diploma program with Xxxx Correspondence Schools and received my Diploma in January 200# having fulfilled this Program with an average grade of 89.6.

In the year 200#, the AAC Accountant and I travelled back to Mozambique to do an audit on the entire Program there. It was great to go back and see everyone, as well as do some basic account training with the girls there – in Portuguese!

Later in 200# I was approached by the CEO of Aid by Air of Canada and asked if I’d work full-time and be their new Dir of Finance as their accountant was leaving. Having been on the other side of the ocean and experienced what their aid workers experienced gave me great insight into the needs that were there and how things needed to be structured back home to meet those needs. Having just recently helped to redesign their entire accounting structure also became a great asset as I was enabled to take them and then setup new policies and procedures that would sustain a clean, healthy set of books.

During the next few years I continued at AAC as their Dir of Finance and learned so much, having to do payroll, prepare for their annual audit, prepare bi-annual reports to their Board, etc. During this time I was able to take various non-credit courses as well, ie. Excel, Budgeting for Professionals, etc.

My husband took a new position as a Quality Specialist at a major Central Canadian airport in 200#.

In the fall of 200# I was nominated at our church to join their Board of Directors. After joining the Board I was approached to take on the role of Treasurer for the church, which held a budget of approximately $1.5 million. This was another new venture for me as I learned a lot about governance of a charity. I carried on in that role for the next two years.

Also in the fall of 200# I had major surgery which didn’t turn out quite as expected leaving me laid up for about three months. During this time, the staff I had trained at AAC continued to keep things rolling. Even with this unexpected amount of time off we were able to fulfill the year-end audit on time and without any problems. The auditor was quite impressed since I had been out of commission for so long leading up to our year-end.

Early into 200# I began to feel somewhat unchallenged at AAC, as we had streamlined things to a point where it felt we were just maintaining. I began to feel the need for a new challenge. I heard about a job opportunity coming open at the Head office of the unspecified Association of Canada (uAOC) for a Dir of Finance. This seemed to be the challenge I was wanting so I applied, was interviewed and hired. I begin in this new role in December 200#. This was a difficult decision to make as I had been with Aid by Air of Canada for 14 years and had given much of my life to their great work.

I started into my new role at uAOC in December 200#, just prior to their year-end and annual audit. It was a steep learning curve as I had moved from managing a budget of $3 million to a budget of $18 million. I also had moved from supervising 2 staff to supervising 5 (1 being a part-time accountant).

Since taking on this role I have also been assigned the task of being a part of the Board of Directors for their Pension Fund, as well as the Treasurer for their Humanitarian arm – unspecified sub-entity.

I sit on their Lead Team with the General Superintendent and Assistant Superintendents, as well as their other Department heads.

Not long after taking on this new role, in early 200# we decided it would be better to move and not have to commute any longer. We started to build a new home and our daughter got engaged, which meant for a very busy year! Learning a new job, building a new house and getting our daughter married off was just a little over the top for one year, but we did it and survived!

We moved to our new home in the fall of 200# away from our kids and dog, and life has slowed down considerably. It is so nice to be living closer to where we work now.

That is why I feel I am ready to take on some more education at this point of my life. I feel it would be most beneficial if I had some recognized Accounting training under me as I hold this title at uAOC.

Bea Sweet - 1234567 : Pages 1-2

Bea Sweet id 1234567
Critical Incident Learning Essay

Moving our young family to Africa when our children were 8 and 10 was certainly a life changing decision for my husband and I. Stepping out of my comfort zone into third world Mozambique forced me to rely on strengths and skills within me that I didn’t even know existed. Looking back on those five years now, I see how the many experiences gained there shaped me into what I am today.

One of my employees recently mentioned that they appreciate how I think outside of the box and investigate new ideas. This was certainly formed in those days of living in a foreign culture. Everything was new, there was no box! I had to shape my life and adjust to whatever each day would bring. We started each day with very few expectations, and were pleasantly surprised if we were able to get anything accomplished! Flexibility was the only way to survive.

Working closely with our Mozambique co-workers was so rewarding. As I was teaching them accounting principles, they were teaching me Portuguese. Having to teach bookkeeping skills imbedded strong accounting skills into me. I gained considerable understanding on how financials flow through the bookkeeping cycle of all three AAC bases, and developed strong analytical skills as I compiled the consolidated statements of the Program monthly. Certainly building in proper internal controls became key as well, policies and procedures that remained for many years.

Holding the role of Finance Manager of the Mozambique Program allowed me the privilege of being a part of the management team for the Program. I gained considerable insight into the processes around managerial planning and decision making, and thoroughly enjoyed it.  Living and operating aircraft in a third world environment certainly had its multiple challenges, and this is where I shone. Whenever there was a challenge, I seemed to rise to the occasion and loved the innovative thinking with the team to come up with a solution. Thinking through organizational structure and design was where I preferred to spend my time, letting others look after the day-to-day activities.

Being part of the AAC Mozambique Team became a very important aspect of survival while living in Mozambique. The various personalities and dynamics could either destroy you or make you stronger. I had to learn to be an effective participant, pulling my weight where necessary, and also coming alongside those struggling. This is where I believe my team building skills were born. I am a very optimistic person, and enjoy working with others toward a common goal or project.

Looking back on my five years in Mozambique, I can clearly see where many of my skills used today were birthed there. This period in my life was key to shaping my career and path toward organizational leadership.

Bea Sweet – 1234567 : Pages 1 - 7

Course-based Learning Portfolio

Administration (ADMN 233): Writing in Organizations
Course learning outcomes Learning Statements Origin of Learning Supporting Documents

Apply a systematic process to plan, organize and revise business messages.

Determine the purpose of the message by defining what the reader needs to know and understand so the message will be delivered with clarity and completeness.

uAOC
200#-Present

TAB 7
Email to staff dated Jan /## re:  uAS challenges

Arrange the key information points of a message by grouping them into similar themes within short paragraphs to help the flow and readability of the message.

TAB 7
Email to staff dated Jan /## re:  uAS challenges

Compose a concise message by sticking to the point being made and keeping it brief in order to bring the intent of the message to the forefront of the communication and to respect the reader’s time to review the message.

TAB 8
Email dated Sept /## to Kxxxx:  Gift in Kind receipting

Gather the required information to address the reader’s question by carefully researching the request to ensure answer will be accurate and adequate.

TAB 8
Email dated Sept /## to Kxxxx: Gift in Kind receipt

Review message content for accuracy and proof draft for grammar and spelling errors to finalize an error-free message which supports the professional image of the organization.

TAB 9
TAP Business Plan

Create a logical communication piece ensuring all points are connected and relevant to the main topic being conveyed in order to relay the message in a coherent fashion.

TAB 10
Email to Dxxx Gxxx dated Dec /## uAOC Partnership Program

TAB 5
Letter of attestation
Mr. Jxxx Rxxx page 2

Inspect the message for consistent tone to ensure it is not switching back and forth between formal and informal wording so the communication flows coherently.

TAB 11
Email dated Jan /## to Axxx Wxxx at bank:  Compensation arrangements letter

Articulate the response in a clear succinct way being careful to structure the message in paragraphs using concisely linked sentences to ensure the reader understands the message and it doesn’t leave them with questions.

TAB 12
Email to Jxxx Oxxx dated  Aug /##:  uAOC wires processing

Create the message so it is friendly, open, and honest keeping the reader's viewpoint in mind and showing empathy to their needs so the message is not taken wrong or misinterpreted.

TAB 13
Email dated Dec /## to Dxxx Hxxx: Director Job Description

Express an idea to the reader using language that is natural and simple so they can easily understand the message.

TAB 13
Email dated Dec /## to Dxx Hxxx:  Director Job Description

Write routine messages to answer a reader’s specific needs and that conform to established rules of writing.  Such messages include: email messages, memos and faxes

Create a new hire template including all relevant information needing to be conveyed to new staff members to allow consistency in form completion when filling in the applicable information specific to each individual in order to save time when a new letter is required.

uAOC
200#-Present

TAB 14
Engagement Letter template

Recognize the confidential nature of information needing to be conveyed and choose a letter format for the message rather than email so personal information is not put at risk.

TAB 15
Termination letter

Demonstrate email message etiquette by addressing it to the individual you require an action item from and cc others whom you wish to be informed only to ensure clarity on who is required to respond to the message.

TAB 12
Email to Jxxx Oxxx dated  Aug /##:  uAOC wires processing

Prepare an email message that accommodates several recipients by using cc in the email to keep the appropriate parties informed of matters communicated to others but relevant to their information needs.

TAB 16
Email to Gxxx Bxxx dated Sept /##

Use a memo style announcement when sharing general information to a broad audience without having to show specific names attached to it.

TAB 17
Email to staff dated March /##:  Accounts Payable Deadlines

Write more demanding messages such as:   uAOC
200#-Present
 
routine letters and goodwill messages, Compose a reminder letter to a customer with an outstanding balance on account clearly indicating what is owing and when payment is expected in order to encourage immediate payment. TAB 18
Letter re outstanding balance (AR letters)
Create a goodwill message to staff to express appreciation for their efforts over the past year affirming their good work in order to encourage them and ensure they feel valued. TAB 19
Salary increase letter to staff
persuasive and sales messages, and Compose a proposal message by clearly presenting the need and stating the facts using a direct tone to achieve important buy-in and agreement. TAB 20
Email dated Sept /## to Mxxxx:  CRM upgrade project
Design a persuasive message by analyzing the situation and the audience, gathering the appropriate compelling information and making concise statements using formal tone so the author’s attitude and emotion is clear.

TAB 11
Email dated Jan /## to Axxx Wxxx at bank:  Compensation arrangements letter

TAB 6
Letter of attestation
Mr. Dxxx Hxxx page 6

Compose a concise message to co-workers keeping it brief and using informal tone while including a “call to action” so the message is well received and action is taken. TAB 7
Email to staff dated Jan /## re:  uAS challenges
Design a message using simple language and support it with facts while being objective and displaying good intentions in order to persuade the reader in a non-argumentative way. TAB 11
Email dated Jan /## to Axxx Wxxx at bank:  Compensation arrangements letter
-negative (bad news) messages. Compose a termination letter in the third person point of view being careful to use longer sentences and no abbreviations and ensuring each main point is introduced, elaborated and concluded in order to set the formal tone of the communication being presented. TAB 15
Termination letter
Recognize the formal nature of a termination letter by printing it on company letterhead and ensuring that HR receives a copy for the employee’s file and senior management is aware of it for legal purposes. TAB 15
Termination letter

Plan and prepare to write complex messages such as business reports and proposals and formal reports.

Construct a business report using formal tone starting with an executive summary outlining the key points being conveyed in the report followed by the introduction and key findings and ending with the risks and conclusion summarizing the key findings to convey a clear business plan to Management.

uAOC
200#-Present

TAB 9
TAP Business Plan

Create a business proposal document outlining the purpose, the approach and process for a proposed business function in order to establish clear understanding and buy-in from the readers.

Tab 21
uAOC Cost Allocation Plan

TAB 6
Letter of attestation
Mr. Dxxx Hxxx page 7

Create a comprehensive document having multiple authors by arranging that all the authors complete a prepared template and compiling all the templates into one consolidated document to provide a consistent, clear messaging tool across multiple departments.

TAB 22
Disaster Recovery Plan

TAB 6
Letter of attestation
Mr. Dxxx Hxxx page 7

Design a complex proposal to senior management being careful to extract only the essential information and communicating this in a logical way using familiar pictures and graphs so to keep the audience’s attention until the intended point is brought forward.

TAB 23
IT Department Proposal to Lead Team 201#

Bea Sweet – 1234567 : Pages 1 - 4

LETTERHEAD

Received by Centre for Learning Accreditation
201#.05.09 14:06:39 – 06’00’

Centre for Learning Accreditation
Athabasca University
1 University Drive
Athabasca AB T9S 3A3

April 27, 201#

Attn: Learning Accreditation Director

I am pleased to write this Letter of Attestation for Bea Sweet. I have worked with her closely for eight years and know her work quality to be of the highest standard. The following is a list of learning statements provided to me by Bea and my comments on her related skills and knowledge. Please contact me if there is need for additional information or clarification on what has been written.

The attestor then outlined his extensive education and career accomplishments. In so doing he confirmed his unique ability to identify and support, or attest to, our student’s experiential learning. This information has been withheld to safeguard the identities of both our student and her attestor.

In my current capacity for the last 8 years, I have served as the executive director of unspecified sub-entity (uSE2) which administers up to $60,000,000 worth of mortgages for unspecified Association of Canada (uAOC) chapters from sea to sea. As the Dir of Finance for the uAOC, Bea has worked closely with me in supplying monthly financial statements. These have been both accurate and timely in their delivery. As well, Bea and I have worked on negotiating partnership agreements with businesses that are patronized by uAOC chapters and constituents. One of these partnership agreements was in search of a merchant service provider with the best service and transaction fees for donations from uAOC chapter members to their chapters. We polled all of the tier one banks across Canada. In order to do this, Bea managed an extensive spread sheet for each of the services providers. Through her work, we were able to quickly ascertain which bank best served our needs. Bea and I have just finished negotiating with a partner for mobile branded solutions for our chapters.

Learning statements Attestation
ADMN 232 – Introduction to Management
Create an analysis to evaluate and compare costs of various merchant service providers by comparing costs of the main banks, in order to negotiate a competitive rate for electronic donations to offer all uAOC chapters and partners. In her role as the Dir of Finance for the unspecified Association of Canada, Bea worked with me in evaluating a variety of merchant service providers with the goal of selecting one to service our chapters for donations by constituents. In order to make an effective assessment of the six different providers, Bea formulated a comprehensive spread sheet with the different categories such as the various fees which each of the banks charged. By taking a complex issue and reducing it to the basic questions, Bea allowed us to quickly survey a multiplicity of possibilities and come up with the most advantageous option. Her research has been vindicated in the years following our decision as to which merchant service provider was the most desirable.
ADMN 233 – Writing in Organizations
Create a logical communication piece ensuring all points are connected and relevant to the main topic being conveyed in order to relay the message in a coherent fashion. Bea has excellent skills in formulating logical communication pieces. These pieces coherently and succinctly communicate the necessary information with the appropriate amount of necessary information.
FNCE 300 – Financial Economics
Create a report to show management the current cash reserves by reporting the known cash inputs and outputs for the upcoming months to enable managers to make important investment decisions with surplus operational cash. On a monthly basis, Bea formulates a summary of the cash inputs and outputs of three entities at The unspecified Association of Canada. These reports are formulated in a timely basis. Further, these reports are both easily understood and accurate which significantly help the three entities in making decisions.
Manage the risk level management wishes to take on in the mortgage investment portfolio by establishing a set of policies and procedures to be followed outlining requirements of potential mortgagee such as: loan to value ratio; ratio of debt to cash; appraisals; and insurance requirements. These are all required when considering and entering into new mortgage contract agreements to ensure the assets of the organization are protected and at minimal risk. Bea has a good knowledge of risk level management with regard to the mortgage investment portfolio. This portfolio which has risen to $60,000,000 has not seen any losses for the myriad of investors who are largely members in uAOC chapters. This knowledge of risk level management allows her to make recommendations concerning the alteration of this policy.
Organize and prepare pertinent quarterly information relevant to performance of investments and areas of potential liquidity risk to enable management to quickly assess and take appropriate action where required. This profitability report is provided in a timely basis each quarter. It clearly and succinctly projects liquidity risk which in turn allows decisions which are aimed at reducing this risk. The stability of the portfolio is partially a result of the accuracy of these profitability reports.
ECOM 320 – Overview of e-Commerce
Negotiate an economical partnership agreement with a company offering a robust mobile giving solution by comparing the functionalities and costs being offered with similar organizations in order to engage a strong partnership that will enhance and support uAOC chapters. In negotiating for this robust mobile giving solution, there needed to be combined a concern for high product capability plus a concern for reasonable costs because chapters with limited resources were the end users. Bea was able to successfully bring together these two concerns without them being mutually exclusive.
HRMT/ORGB 386 – Introduction to Human Resource Management
Inform all staff and employers on who to bring their concerns to in regards to health and safety, by reviewing all health and safety matters annually in a staff seminar, and by posting pertinent information centrally so staff and employers have access, to ensure all are adequately informed and aware of these important matters. In an area that could be considered by some to be very mundane, Bea is able to conscientiously organize and communicate information in an effective way. Awareness of health and safety matters has been raised in an effective but not overbearing manner in our office.

In summary, I feel that I can speak to Bea Sweet’s skills, knowledge and work personality in a fair and objective manner. As evidenced by this letter, her work is of superb quality. Her positive contributions to the organization and her longstanding commitment to helping people achieve their potential make her an ideal employee.


Please contact me if you require any other information.

Sincerely,

Jxxx Rxxx

Mr. Jxxx Rxxx
Executive Director

Bea Sweet – 1234567 : Pages 1 - 17

LETTERHEAD

Received by Centre for Learning Accreditation
201#.08.11 10:44:389 – 06’00’

Centre for Learning Accreditation
Athabasca University
1 University Drive
Athabasca AB T9S 3A3

August 10, 201#

Dear Sir or Madam:

Over the past 10 years I have had the privilege of working directly with Bea Sweet as her immediate supervisor. Bea brings a wealth of experience to her role as the Dir of Finance for the unspecified Association of Canada (uAOC) and has been very instrumental in seeing our organization not only grow, but move toward significant health. Bea has our full support as a candidate for the CPA program.

Learning statements Evidence (Attestor completes)
ADMN 232 – Introduction to Management
Propose a business plan to assist chapters with receiving electronic donations by assessing the required processes and costs to provide them with a preauthorized giving mechanism in order to enhance the giving to chapters unable to implement IT structures necessary for this type of giving platform. Bea was instrumental in proposing a service we could provide for the uAOC chapters unable to support an electronic monthly donation option for their members. She worked with the accounting team to create promotional materials and engaged a small number of chapters to pilot the service initially. This service has provided increased annual donations to chapters using it.
Design a user friendly chapter portal by capturing the ongoing requests and needs in order to provide them with dynamic, transparent reporting and a self-servicing platform for forms and documents. Bea has spearheaded the staff discussions on how to keep the chapter portal user friendly and informative serving both English and French chapters over the past number of years.
Propose a CRM software implementation project for the organization by scoping out the various business function needs for constituent engagement, creating a budget and establishing an agreed upon timeline, in order to enable the organization to meet its strategic objective to improve customer engagement in all areas. As chair of the IT Steering Committee of uAOC, Bea has provided excellent leadership working with the committee to scope out the organization’s business needs and assess the various software solutions available to determine the best fit and most cost effective solution for uAOC at this time.
Assemble a project Steering Committee by seeking out key stakeholders of the organization who will be impacted by software implementation in order to create buy-in at key levels and ensure they have adequate voice in the decision making and their functional requirements are met. Bea is chair of the IT Steering Committee made up of a small group of key stakeholders of the organization. She provided valuable insight into who should sit on this committee with her as she holds a clear understanding of the organization and who best will represent each functional area.
Create a PIPEDA audit schedule by assigning members to audit areas affecting each section of the PIPEDA Policy to ensure staff are aware of processes and adhering to them. Bea is uAOC’s Privacy Director and chairs the PIPEDA Committee. She provides excellent leadership to this committee and in ensuring the organization is adhering to the privacy policy each year.
Manage an IT Operations team representing all business functions by meeting regularly to discuss current projects and establish annual strategic objectives and actions required to ensure current and future IT needs of the organization are being met. As the Dir of IT for the organization, Bea oversees all aspects of IT Operations. She ensures the organization is well served in this area keeping abreast of the ever changing IT environment.
Manage an interview process by gathering a few key managers to assist me in interviewing potential candidates for the first interview using a suggested list of interview questions, then deciding on the best two or three for a second interview where we use more focused questions to what their role will be, and then deciding on the candidate most qualified for the position and best fit for the organization. Bea is responsible for the hiring processes within the Accounting department. She discusses a staffing change/need with me and together we determine what steps to take. She manages the hiring process from there keeping me informed of the decision.
Conduct a thorough interview process to select a strong department Manager ensuring the candidate has sufficient training and experience in managing people as well as appropriate organizational skills enabling them to manage a group of administrative staff efficiently and fairly. See above.
Propose a document outlining the potential spending limits for the Executive Director and bring it as a recommendation to the Board of Directors for approval in order to establish clear policy in this regard. Bea drafted this document for the Pension Fund as there was not yet something in place that would set the boundaries of spending for the Executive Director.
Solve acceptable Canadian charitable practice inquiries from staff by applying Canada Revenue Agency’s charitable regulations in various situations and ensuring these are adhered to in all areas of the charity’s operations. Bea’s job description requires that she keep herself well informed and up to speed on all CRA’s charitable regulations so she is equipped to manage and set policy in these areas of the organization.
Create an atmosphere of greater disclosure by sharing the positive things happening within the organization as well as the struggles so stakeholders feel well informed and consider the organization trustworthy. During her years with uAOC Bea has brought the organization to much greater clarity than it had before. She continues to ensure informative analysis and reporting is provided for all aspects of the business.
Develop a staff policy handbook outlining effective risk management policies, procedures and controls by first gaining an understanding of regulatory requirements in each area and establishing clear policy statements within those requirements, in order to ensure staff are adequately cared for and sufficient management controls are in place. As part of the Lead Team of the organization, Bea has a voice at the table where these policies are set and controlled. These policies are followed by all supervisors in the management of their staff.
Appraise various vendor RFP’s with the DSC Committee while comparing these to the benefits and costs of our current service contract to aid in the establishing of the most economical and efficient service contract for the next two years. Bea manages the Document Services Centre (DSC) contract held with an outside vendor. She was instrumental in establishing this relationship 10 years ago. It has served the organization well.
Collaborate with functional teams as they prepare their annual budgets proposing cost allocations to aid in the best alignment to their departmental objectives while meeting the organizational bottom line. Bea drives the annual budgeting process for the organization, working with the members of the Lead Team to establish and finalize the departmental budgets which roll up to the consolidated budget.
Compose a chapter in the Giving Generously book describing the outstanding generosity of the charity over many generations and how it has enabled the organization to achieve great accomplishments and be a leader in sustainable effectiveness worldwide. I asked Bea to write a chapter in this book I was editing for our leadership. She did a superb job capturing what we wanted to say to each reader.
Prepare the organization for major change during an upcoming ERP implementation by working alongside Project Manager to hold a kick-off meeting with key stakeholders and walking them through the various aspects of the project so everyone is adequately informed and able to prepare their staff accordingly. Bea is the Project Sponsor for our upcoming ERP implementation project. She is working alongside the IT Steering Committee and Project Manager.
Design accounting department structure to provide centralized processing for business functions and entities to eliminate redundant and duplicated functions. Bea has created a very efficient, smoothly running Accounting department for the organization while keeping the costs to a minimum.
Design organizational structure so that key functional departments are setup and shared by the various aid departments, in order to increase efficiencies. As Dir of Finance Bea manages the shared services costs within the organization and negotiates these with each department leader each year.
Lead a cross-functional department in annually setting organizational strategy and monitoring progress to ensure all business functions within the organization are equipped and being serviced adequately. Each year Bea presents the annual strategic plan of the Accounting department to the Lead Team for discussion and approval.
Assemble a strong team of individuals to staff a department by identifying the required roles of each position to ensure all necessary functions of the department are accomplished. Bea has created a very efficient, smoothly running Accounting department for the organization while keeping the costs to a minimum.
Recruit and hire individuals through an interviewing process where applicants are evaluated to ensure their skills and experience match the requirements of the role. Bea is responsible for the recruitment and hiring of all staff for the accounting department. She assists in the hiring process of other roles within the organization from time to time as well.
Perform an annual review process with staff to discuss whether they are being sufficiently challenged, motivated and are developing in their respective roles to ensure each staff member is feeling fulfilled in their role and is adequately equipped to fulfill their responsibilities. As a member of the Lead Team, Bea ensures all staff within the Accounting department have their annual review and that these are kept in the Human Resources files.
Design a day away for staff by creating an agenda that will encourage discussion on a topic of interest to them while also allowing them unstructured time together in order to build a strong, healthy team environment within the organization. Each year we arrange for a day of professional development outside the office for the staff. Bea has been instrumental in the planning of these times.
FNCE 300 – Financial Economics
Understand the importance of accounting information for management in decision making by distributing monthly reporting to each departmental leader showing the recent activities of each function within the business in order to achieve the objectives of the entire organization and measure how it is currently performing compared to proposed budget and previous periods. As mentioned already above, Bea has brought great financial clarity to the organization by providing timely and accurate reporting to all areas.
Determine the return on investment (ROI) of a new service being provided to assist chapters by analyzing the costs to get it launched versus the potential service fees to be gained by approving the business plan in order to decide whether the new service will be self-sustaining and not a drain on the company. Bea was instrumental in proposing a service we could provide for the uAOC chapters unable to support an electronic monthly donation option for their members. She worked with the accounting team to create promotional materials and engaged a small number of chapters to pilot the service initially. This service has provided increased annual donations to chapters using it.
Prepare annual Audited Financial Statements being careful to organize the information in a reader friendly way while abiding by the required accounting principles understanding the importance of all uAOC chapters and members being well informed about the organization and assured of strong fiscal management. In her role as Dir of Finance Bea is responsible for all aspects of the annual audits. She works alongside the auditors to ensure the financial matters of the organization are updated and clearly presented by the Financial Statements.
Measure the financial risks annually by assessing: the organization and its environment; the general controls of the organization; and the internal controls of the organization in order to provide management with an extensive report annually highlighting action items required. Bea has created a Risk Assessment document that has proven to be an invaluable tool to management and the organization. The final document is presented and discussed with the Audit Review Committee each year keeping them informed of where the organization is at in mitigating risks.
Manage the Budget Committee by guiding them through an annual budgeting process, taking responsibility for the strategic short and long-term financial planning for the organization. Bea drives the annual budgeting process for the organization, working with the members of the Lead Team to establish and finalize the departmental budgets which roll up to the consolidated budget.
Protect the surplus cash of the organization from being improperly managed by establishing a set of Board approved objectives and guidelines outlining the investment expectations of these in order to fulfill the fiduciary responsibility of management. Bea is aware of and follows the guidelines laid out in the Statement of Investment Policies and Procedures as determined by the Board of Directors.
Prepare a report to organizational Board and membership highlighting the current revenue and expense activities in comparison to prior years, to provide a clear understanding of the organization’s financial performance. A financial report to the membership of the organization is given every two years at our General Conference. Bea assists in the creation of this report providing clear, concise information gleaned from the annual Audited Statements.
ADMN 233 – Writing in Organizations
Design a persuasive message by analyzing the situation and the audience, gathering the appropriate compelling information and making concise statements using formal tone, so the author’s attitude and emotion is clear. Bea’s written communication is always well done. She understands the audience and knows when to be more formal in her statements.
Create a business proposal document outlining the purpose, the approach and process for a business function in order to establish clear understanding and buy-in from the readers. Any business proposals I’ve received from Bea have always been clear in what she is asking. She knows how to keep it concise and to the point.
Create a comprehensive document having multiple authors by arranging that all the authors complete a prepared template and compiling all the templates into one consolidated document to provide a consistent, clear messaging tool across multiple departments. See above
ECOM 320 – Overview of e-Commerce
Manage the organization’s banking through a secure internet platform that allows full access to all bank account information, statements, and balances by giving key staff login permissions that will enable processing of timely information, transfers between accounts and payment of invoices on-line. As Dir of Finance Bea is responsible for making sure proper internal controls are in place limiting certain staff only to have access to the organizations banking websites.
Recognize that winning e-commerce deploys crowd-sourced content to make a site “sticky” for potential buyers/donors by encouraging them to share their opinions on items like books and CDs using twitter or facebook in order to attract new potential customers to the site. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Recognize that Mobile commerce is growing at a rate of over 130 percent annually and offer mobile-accessible services such as real-time notifications, maps and product/giving information to potential customers/donors. Same as above
Create an ecommerce plan by carefully considering how the following important areas will be accommodated: know potential market, marketing content, pricing & inventory, logistics, service & support, budget, payment & refund/returns, security & PCI compliance. This will ensure the e-commerce plan will be adequately staffed and able to thrive in this ever changing environment. In the managing our IT department Bea also worked with Xxxxcom to setup an e-commerce website that is well planned out and secure. She also manages the staffing behind the scenes that service and support the orders originating from the site.
Evaluate the effectiveness of current website regularly by meeting with core web developers to determine what areas need to be updated and improved in order to keep it relevant and attracting new potential customers/donors. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Analyze the various metrics relating to
e-commerce within the organization: web analytics, customer involvement (social media), financial (average purchase amount), channel used to purchase product. These will assist in determining what areas are working best and where improvements can be achieved.
Bea has established and chairs the Metrics/Reporting Committee for the organization. This group is responsible for the creation of all analysis and reporting as required by the various departments.
Develop an e-commerce donation site which provides additional value to potential donors, such as videos, lots of visuals and social media platforms allowing personal contact with aid workers in order to compel them to donate to uAOC aid programs. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Develop a customer centric organization by orienting all its functions and divisions to be responsive to internal and external constituents understanding the customers and their needs, preferences and donating behaviour from the perspective of electronic and digital media. The Lead Team of the organization is well aware of the internal and external customers of the organization and is consistently improving the business processes that will enhance these relationships that are core to our business. Bea is part of this team.
Design a parallel e-marketing strategy to traditional channels, understanding the potential on-line donor/customer’s expectations as to speed and convenience of transaction and competitiveness on-line to other comparable organizations in order to ensure website is convenient and holds potential donors attention. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Understand the legal requirements to protect customer information by: establishing a PIPEDA Committee to set policy and procedures for governing the organization’s Privacy Policy; training employees on the laws and policies that affect customer data and the actions required to keep it safe; use strict written protocols and policies to reinforce and encourage employees to adhere to mandated security practices, all of which will ensure protection of all customer information by the organization as required by the Privacy Commissioner of Canada. Bea is uAOC’s Privacy Director and chairs the PIPEDA Committee. She provides excellent leadership to this committee and in ensuring the organization is adhering to the privacy policy each year.
Design an e-commerce system where the security and completion of financial transactions are confidential and fully secure by: ensuring the e-commerce platform administration panel is inaccessible to attackers and only available on our internal network completely removed from public facing servers, and has a secondary authentication that authenticates users with our internal Windows network; using SSL certificates to authenticate the identity of our business and encrypt the data in transit with a payment gateway that uses live address verification services right on our checkout; ensuring all customer sensitive credit card data is not stored on site; and by layering security starting with firewalls and adding extra layers of security to the website and applications such as contact forms, login boxes and search queries. This gives customers a high level of protection from fraudulent activities as they make their payments/donations to the organization. Bea and her accounting team are well aware of the risks presented by e-commerce financial transactions. They partner with the IT staff to make sure all systems are functioning 24/7 for potential donors/customers while remaining fully secure.
Adopt and follow the Privacy Policy of the organization by developing a set of guidelines and procedures for employees to follow while managing customer data in their day to day duties and performing quarterly audits of employee adherence to these procedures to ensure all customer information is secure and free from fraudulent activities both internally and externally. Bea is uAOC’s Privacy Director and chairs the PIPEDA Committee. She provides excellent leadership to this committee and in ensuring the organization is adhering to the privacy policy each year.
HRMT/ORGB 386 – Introduction to Human Resource Management
Highlight to management the large percentage of leadership retiring within the next 10 years, to encourage strategic initiatives around the changing labour force composition of the organization. Having systems now that track important data to the organization, we are able to present reports to leadership that will encourage strategic decision making. Bea and the Metrics Committee have been instrumental here.
Create HR policy for the organization according to the equity theory, ensuring all employees are treated equitably and fairly and thus motivated to keep the fairness maintained within the relationships of their co-workers and the organization. As part of the Lead Team of the organization, Bea has a voice at the table where the HR policies are set and controlled. These policies are followed by all supervisors in the management of their staff.
Establish an annual performance review process for the organization by first understanding the intended goal of this process (to take time out from the daily business grind to discuss longer-range issues and plans), to allow leaders to spell out their expectations from employees, establish goals, and hear feedback from them. As a member of the Lead Team, Bea ensures all staff within the Accounting department have their annual review and that these are kept in the Human Resources files.
Gather and analyze information about expected demand on a service department’s HR based on the organization's future plans and the supply and availability of staff internally and externally to meet these demands, to determine the required human resources for the future priorities and strategic initiatives. In her role as Dir of Finance Bea has needed to make adjustments to the Accounting department staffing levels based on greater customer demand while maintaining efficiencies within the department.
Design a healthcare program for global workers that is sustainable and fully covers all their medical and life insurance needs while outside of Canada by working with an insurance broker to find the most robust, cost-effective coverage available, in order to provide exemplary care of staff while under our employ. Bea works alongside her colleagues in the Overseas Aid department to provide healthcare coverage for our overseas staff.
Apply employment standards daily as per the Ontario Ministry of Labour and according to the Employment Standards Act, 2000 in dealings with HRM activities throughout the organization. As a supervisor of the organization Bea is well aware of these standards and adheres to them when necessary.
Operate an active social committee within the organization that holds four to five themed events for the entire staff throughout the year to encourage greater staff interaction and build morale. The Social Committee has been very instrumental in bringing the various departments together at various times in the year, and report to the Lead Team as required.
Identify whether the fulfillment of a position will require hired staff or a contract position by determining who will control the work to be done, who will provide the tools to complete the work, who carries the financial risk and how integrated the work is to the entire organization, in order to mitigate any risks of Canadian Revenue Agency claiming the role to be that of an employee and not a contract worker in the future. In her role Bea is required to make decisions from time to time in this regard and is well aware of the CRA rules regulating these types of decisions.
Evaluate benefits package annually comparing coverage to what other similar organizations are providing, to ensure an attractive benefit package to current and future employees. As a supervisor of the organization Bea sits on a committee that evaluates the staff benefits package annually.
Compose a plan that builds leaders within the organization by selecting key individuals currently on staff, and investing in them through robust training and development in order to retain them and see them developed into future leaders of the organization. Bea has taken the initiative from time to time and invested into potential leaders within the organization. She has a keen eye for those whom she feels are able to fill greater roles than they currently fill.
Evaluate sufficiency of current IT roles within the organization by comparing level of expertise with similar sized organizations, to better understand where organization could be at risk to being competitive. Bea and evaluated the IT roles and IT spending within our organization in comparison to similar larger charities to establish where some current gaps are in our IT structures.
Design a proposal to management building a strong case for increasing IT resources, beginning with a clear context of why the need (ie current IT servicing demands, comparison of costs to other similar sized organizations), then articulating the changes required along with next steps, and closing with the benefits of these changes in reaching the organizational goals. Bea presented this proposal to the Lead Team following our evaluation of uAOC’s IT above. It was well received by the Team and facilitated some key decisions being made to enhance IT staffing in order to implement a new ERP within uAOC.
Set up a contracted print and mail facility within the organization by engaging a print/mail expert to fulfill all operations (ie, hiring of staff, training, purchasing, equipment maintenance, budgeting, hours of operation), enabling the organization to retain technical expertise in this ever changing area of business at a fixed cost annually. Bea manages the Document Services Centre contract held with an outside vendor. She was instrumental in establishing this relationship 10 years ago. It has served the organization well.
Recognize the importance of having competitive pay and benefit packages as an incentive to attract new employees to the organization, by continually monitoring these and adjusting as required in order to stay comparable to the current market. As Dir of Finance Bea is very aware of the current salary levels of the organization and discusses these annually with the Executive Officers making recommendations where needed.
Evaluate Overseas Office values by providing staff a forum for peer to peer discussion on these giving opportunity for them to affirm or critique, in order to summarize their important feedback and score into key areas of priority. The Lead Team takes the initiative to establish and monitor the Overseas Office values. From time to time throughout the year these are affirmed with the staff.
Select the appropriate severance package based on legislative severance and common law allowances, to ensure employee is treated fairly and within the labour laws and organization is not at risk of litigation concerning this employee in the future. As a supervisor of the organization Bea is well aware of the Employment Standards Act and adheres to these when necessary. She has had to terminate staff in the past years and has been careful to follow the legislation in this regard.
CMIS 351 – Management Information Systems
Transform data by directing technical staff through a process of applying computer programs and judgements that will highlight key data for each business stakeholder, to enable business functions to measure key performance indicators in reaching their strategic objectives. Bea has established and chairs the Metrics/Reporting Committee for the organization. This group is responsible for the creation of all analysis and reporting as required by the various departments.
Analyze arrangement of data in internal systems by referencing the needs of management to establish parameters for a key set of metrics, to determine fields required for the dataset or data query. Same as above.
Approve cloud solutions for the organization that have the highest level of data center seal (CICA 5970, Type II SSAE16SOC1, ISAE3402 Cert), strong support is available, and a strong Privacy Policy comparable to PIPEDA standards is in place, to ensure the greatest protection and mitigate any potential risks. Bea directs the IT department and ensures IT policies and procedures are in place to protect the organization from security threats.
Bea is uAOC’s Privacy Director and chairs the PIPEDA Committee. She provides excellent leadership to this committee and in ensuring the organization is adhering to the privacy policy each year.
Identify the legislative requirements for protecting personal information within the organization by researching the Personal Information Protection and Electronic Documents Act (PIPEDA), in order to create and set policy for the organization. Same as above.
Evaluate adherence of IT acceptable use policy and procedures in day to day operational activities by ensuring staff read through these policies annually, to surface areas needing further staff training and/or regulating. The IT acceptable use policy and procedures is a part of the HR policy handbook and is required to be signed off by staff annually. Bea directs the IT staff in making sure these policies are adequate for the organization.
Implement financial enterprise resource planning (ERP) software allowing organization to use a system of integrated applications to manage the business and automate many of the back office functions related to technology, services and human resources, in order to run the entire business in real time and streamline applications across all business functions. Bea is the Project Sponsor for our upcoming ERP implementation project. She is working alongside the IT Steering Committee and Project Manager.
Use data collected to assemble a set of key performance indicators by pulling data from the system that will equip management to make informed business decisions. Bea has established and chairs the Metrics/Reporting Committee for the organization. This group is responsible for the creation of all analysis and reporting as required by the various departments.
Measure progress on strategic plans by using information systems to set benchmarks and measure progress, enabling the organization to monitor whether it is meeting its strategic objectives. Same as above.
Evaluate current business processes by requiring staff to complete a questionnaire outlining key technological solutions used in daily operations to provide insight into business demands and potential process improvements within the organization. As chair of the IT Steering Committee Bea led the committee through an extensive evaluation process to determine the key technology requirements as part of the preparation for the ERP project.
Enhance overseas staff business management by creating an external facing information portal where they have real time access to reports pertaining to their donor base and budget activities, to provide tools necessary for overseas aid programs. The global worker portal is an extremely important tool used by overseas aid programs to provide their staff with real time information. Bea works alongside staff to ensure information being shown on the portal is always accurate and current.
Analyze the cost savings of electronic commerce comparing the annual costs for cheque processing to electronic donations processing, to show management the efficiencies gained by electronic donations. Bea is always working with her Accounting team to encourage our chapters to use electronic means to send their donations to uAOC instead of cheques.
Ensure privacy of information concerns are alleviated by developing a robust privacy policy and publishing it on the website to reassure potential donors and customers that their information will be protected. Bea is uAOC’s Privacy Director and chairs the PIPEDA Committee. She provides excellent leadership to this committee and in ensuring the organization is adhering to the privacy policy each year.
Appreciate the value that mobile computing has brought to businesses today whereby customers are accessible anytime anywhere providing greater opportunity for organization to engage with them relationally and financially through a mobile friendly website. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Determine Lxxx for Business to be the best telecommunications infrastructure for the organization after evaluating two to three other platforms for cost and integration ability with backend systems so business is able to move forward with enhanced telecommunication enabling improved business operations. In directing the IT department Bea oversees the major decisions to be made and brings the appropriate recommendations to Lead Team for approval.
Understand the strategic objectives of the organization and build a database template that will enable staff to capture key data required to measure progress and engagement of constituents. Bea has established and chairs the Metrics/Reporting Committee for the organization. This group is responsible for the creation of all analysis and reporting as required by the various departments.
Understand the core database tables within the ERP required to enable the creation of a dataset that will equip reporting staff to be able to provide reports giving key performance indicators to various departmental leads. Same as above.
Understand the importance of having a clean core database for all business functions to use and establish a core database team and policies to address all additions, deletions and edits in order to maintain a database free from errors and trustworthy. Following the last ERP implementation Bea pulled together a core database team to manage the database. This team has done a tremendous job keeping the database clean.
Perform a thorough evaluation of organizational use of information by gathering specific data from each staff member to determine the key functional requirements needed in building the new information system for the organization. As chair of the IT Steering Committee Bea led the committee through an extensive evaluation process to determine the key technology requirements as part of the preparation for the ERP project.
Thoroughly evaluate potential information systems by considering what each solution could bring to the organization and at what cost to implement and maintain to determine the best fit for the organization. As chair of the IT Steering Committee of uAOC, Bea has provided excellent leadership working with the committee to scope out the organization’s business needs and assess the various software solutions available to determine the best fit and most cost effective solution for uAOC at this time.
Schedule a monthly Web meeting where overseas staff are able to attend by phoning in, in order to keep pertinent staff informed and included in decision making processes. Bea sits on the Overseas Operations Committee and is a part of the monthly meeting where international staff join by Web.
Create an environment of mobility for staff by equipping them with VPN access to key business solutions and information, enabling them to work flexible hours and around specific family needs. Bea works from home from time to time and has full access to all business solutions she would have when in the office. She is fully aware of this type of thinking.
Recognize the rapidly increasing need for the organization’s website to be mobile friendly by prioritizing developer time to design a responsive website that adapts to any mobile device or computer screen, so to engage customers anytime, anywhere. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Manage security of donation processing to mitigate fraud by designing a secure payment gateway connected to a reputable payment processor, to ensure customer information is always protected. Bea and her accounting team are well aware of the risks presented by e-commerce financial transactions. They partner with the IT staff to make sure all systems are functioning 24/7 for potential donors/customers while remaining fully secure.
Compose donation pages on the website that require additional authentication prior to payment, by adding a captcha to protect site from fraudulent activities. Same as above.
Recognize the elevated customer expectations related to e-commerce and design a strong donor care environment by reallocating staff workloads so sufficient resources are available to meet increasing demands. In managing the Accounting department Bea is well aware of the donor care needs and ensures adequate staff are in place.
Assess relevancy of organizational website by comparing to others in a similar market, to ensure web strategy is current and fresh. Bea is chair of the organization’s Web Committee. She leads this committee in ensuring the donation pages of our website are relevant, mobile friendly and comparable to other charitable organizations similar to ours.
Evaluate Payment Card Industry (PCI) compliance requirements for our organization by conferring with our Merchant Services provider to determine current transactional volumes and what steps will need to be taken in to ensure compliance. Bea understands the Payment Card Industry compliance requirements and is in continual conversation with bank Merchant Services regarding uAOC’s requirements in this regard.
Re-design processes for e-commerce transacting eliminating the storing of any credit card information on internal systems, to ensure high level security. Bea and her accounting team are well aware of the risks presented by e-commerce financial transactions. They partner with the IT staff to make sure all systems are functioning 24/7 for potential donors/customers while remaining fully secure.
Establish a redundancy strategy for the organizations’ information technology by locating a centre where IT structures are replicated and available for use in the event of an emergency. An IT disaster recovery strategy is in place and Bea monitors this annually for adequacy and required testing.

Thank you for considering Bea’s application. Please do not hesitate to contact me if I can assist in providing additional information for you.

Yours very truly,

Signature

Mr. Dxxx Hxxx
Executive Director

Bea Sweet – 1234567 : Pages 1 - 1

From: Bea Sweet
Sent: Friday, January 9, 20## 9:26 AM
To: Staff List
Subject: Attention all uAS Users!

Good morning,

As you are all very much aware, unspecified Accounting System (uAS) use is escalated at this time of year as all users are finalizing their year‐end activities. Along with the year‐end added use, we have also added a few new users to uAS as well. I want to remind everyone that we currently have 15 concurrent user licenses for uAS, and it is important that we log out of it when we are not using it to allow others to be able to log in.

Understanding there is greater need in the building to access the database, the IT Team is looking at solutions to expand our user capacity, with a plan to have this resolved in the coming months. Your cooperation in this regard is so appreciated during this high demand time.

Have a good day!

Bea

Bea Sweet – 1234567 : Pages 1 - 3

From: Bea Sweet
Sent: Friday, September 26, 20## 11:40 AM
To: Kxxx Hxxx
Subject: RE: Gift-in-kind receipt for $2,000 XXXX

Hi there,

Wow…these tough ones just keep coming, don’t they…

Here’s what is required:

  1. Establish if the gift in kind is something the charity can use? DONE
  2. Establish who is going to pay to ship this donation to the intended location? DONE
  3. Establish the value of the gift. This is where it gets complicated. Here’s what my CCCC handbook says:

“If no public market exists for the gift‐in‐kind, or if the property value is greater than $1,000, an appraisal should be obtained from a person competent and qualified to do so. If the property value is greater than $1,000 the appraiser should be both qualified and independent of both the donor and the charity”

So, it sounds like the donor and his accountant have drafted up a value for these books. However, we need a third‐party to do an appraisal on this library, someone who is knowledgeable in used books valuation. Also, who is going to be responsible for the cost to get this appraisal?

Once we have this appraisal, we can then issue the receipt.

I hope this helps!

Bea


From: Kxx Hxx
Sent: Thursday, September 25, 20## 4:21 PM
To: Bea Sweet
Cc: Vxxx Pxxx
Subject: FW: Gift‐in‐kind receipt for $2,000 XXXX

Hi Bea,

Being my resident “gift in kind” guru, can you help with Vxxx’s question below?

Thanks,

Kxxx

Kxxx
Hxxx
uAOC
Overseas
Aid Programs


From: Vxxx Pxxx
Sent: Thursday, September 25, 20## 10:54 AM
To: Kxxx Hxx
Cc: Mxxx Cxxx
Subject: Gift-in-kind receipt for $2,000 XXXX

Kxxx,

I am wondering if Mxxx may have talked with you about this offer from XX District of a library for Xxxx, West Africa? I offered to do the closing of the deal, so now I’ll need your input. I just spoke with the person coordinating the donation at the XX office, and we plan to connect with the donor next Thursday.

You’ll see from Exxx Kxxx’s email below that the donor is requesting a gift-in-kind tax receipt from us. He is requesting $25 per book for 7500 books, with the possibility of including another set of 1500 books at a lesser cost. It comes to about $2,000. Is that do-able?

The donor and the XX district are willing to cover the $3,000 cost of shipping the books, and the details have been worked out with Dxxx Dxxx and the school for shipping details. I would love a ‘coach’ on the shipping details, however. Are you able to coach me on that?

I’m available for the next hour if a conversation would be best, or in the office next Wednesday. (###.###.####).

Vxxx Pxxx
uAOC
Overseas Aid
Programs

Begin forwarded message:


From: Mxxx Cxxx
Subject FW: Library donation
Date September 11, 20## at 10:29:38 PM EDT
To: Sxxx Cxxx, Pxxx Mxxx, Dxxx Bxxx
Cc: Vxxx Pxxx

Hello Gentlemen and Vxxx

Please read the email below and offer any suggestions you might have.

One of my first thoughts is Xxxx, West Africa. They lost a lot in the war and are English Speaking.

But open to suggestions.

Please consider the potential of import duty costs.

Thanks,

Mxxx Cxxx
uAOC Overseas Aid Programs

-----Original Message-----
From: Exxx Kxxx
Sent: Thursday, August 21, 20## 5:03 PM
To: Mxxx Cxxx
Subject: Library donation

Hi Mxxx:

We have a credential holder in unspecified province who loves books and who has accumulated a significant library over the years. He is in a position where he would like to get rid of these books now.

  1. He would like to donate the books in exchange for a "Gift in Kind" tax receipt. He has worked with an accountant experienced in CRA and with a lawyer for preliminary information for such a donation.
  2. He has two categories: about 1,500 books in what he terms a Local Collection - this would not be novels - more commentaries, etc. and secondly about 7,500 books in what he calls a liberal arts collection. Attached are two bibliographies - they are NOT complete but he feels they are representative of what is in each collection (if you can read his handwriting!).
  3. He is willing to pay some shipping costs and Jxxx Dxxx has offered that the XX District would help in this as well as an investment in aid programs.

Are you aware of an aid program college/s that could benefit from such a donation and would the Aid Programs Department be open to giving a Gift-in-kind receipt for a donation of this size. In this man's documentation, he is valuing some books at $25/book and the liberal arts books at $10/book. I personally think that is a bit high but he has worked with an accountant.. (see the attached document for more details)

We would certainly work with you in getting these books to where they could be best used. The donor has them stored in "3 cube boxes" - approximately 80-85 boxes.

Let me know your thoughts.
Exxx Kxxx
Administrator
uAOC XX District
#### XXXX XXXX
XXXX, XX X#X #X#
###-###-####
fax: ###-###-####
exxx.uAOC@xxx.net

Bea Sweet – 1234567 : Pages 1 - 13

Statement of Purpose for Primary Source Documentation (Artifacts)

Document/Artifact: TAP Business Plan

Course and page number Criteria addressed Application of artifact to criteria My role in creation/management of artifact Relevant Dates
ADMN 232 Page 1 Describe introductory management theory according to its three basic functions:
‐ how it makes things happen;
This formal business plan was presented to management to show them the feasibility of the Accounting department of the overseas Office providing a preauthorized giving mechanism that all uAOC chapters can use, enabling smaller chapters to see giving growth leveraging IT platforms they could never afford otherwise. As I became more and more aware of the rapidly changing landscape of giving technologies/trends and how this was affecting our smaller chapters, I began to research how uAOC as a charity could leverage its current technology and accounting processes to assist our chapters. This business plan was created to show the thought processes that I went through prior to the decision to proceed with the rollout of the TAP program. Created June/## - Feb/##

Presented to leadership April/##
FNCE 300 Page 2 Have a good command of the basic principles and theory of finance as a discipline. This business plan was created for management to show the potential return on investment (ROI) of this business opportunity, and that the revenues would eventually exceed the annual operating expenses over time. See above See above
ADMN 233 Page 6 Plan and prepare to write complex messages such as business reports and proposals and formal reports. This document was created by researching how to create a business plan and then organizing the relevant information for the TAP program into the business plan format and editing the grammar and wording until it was concise and professional. See above See above

Commentary on outcomes or effectiveness of artifact (if appropriate):

This TAP Business Plan was proposed to uAOC leadership from the various Districts across Canada. Approval was given by them to proceed with rolling it out to our 400 chapters. Since launching this program with 5 pilot chapters in 201#, the program has grown to 57 chapters now using this service.


Tap Program Business Plan


Table of Contents

  1. Executive Summary
  2. The Team
  3. Business Environment
  4. Marketing Plan
  5. Operations
  6. Finance
  7. Risks & Conclusions

  1. Executive Summary
  2. The TAP Program is a preauthorized transfer service being offered by uAOC to all its chapters. This service was initiated to fulfill the important need facing chapters today to accommodate electronic giving to all their members.

    Giving to the chapter has drastically changed over the past ten years, and the chapter today must consider how it will now offer electronic giving options to its members. New trends are showing:

    • Today’s society for the most part does not carry much cash, and many people do not carry or own a cheque book. They are familiar with doing all financial transactions electronically.

    • 30% of chapter member are unable to attend regular meetings. Sickness, family commitments, sports, vacations, out of town trips, etc. will keep many people away from regular meetings. Most people that miss a meeting will also miss giving, because the chapter has limited their opportunity to give to a few minutes during regular meetings.

    • Electronic giving is a growing trend that chapter leaders must respond to. As a growing number of people depend on electronic methods to manage their finances, chapter must come along side their people to help them be faithful and generous givers.

    The costs for technology needed to accommodate these e-giving options can be insurmountable for small to mid-size chapters, yet they cannot afford to ignore these new giving trends.

    uAOC is offering this new preauthorized giving service (TAP) to come alongside these chapters and support them.

  3. The Team
  4. The TAP Team includes the following roles:

    TAP Sponsor

    The TAP program has been approved by the General Executive of the uAOC, and is sponsored by The Superintendent for Xxxx.

    TAP Manager

    The TAP program will be managed by uAOC’s Dir of Finance. This role will be responsible for all reporting, marketing and ongoing operations of the Program.

    TAP Coordinator

    The TAP Coordinator will be the face of TAP to the chapters, facilitating and coordinating the initial setup, and the ongoing monthly services and reporting provided by the TAP Program.The TAP Coordinator will report to the TAP Manager.

    These roles are currently being filled part-time by uAOC accounting staff. As the TAP Program begins to grow, these roles will be evaluated and a dedicated TAP Coordinator may be needed.

  5. Business Environment
  6. The uAOC was incorporated in 19## and has grown to 400 chapter locations functioning weekly throughout Canada. Each chapter is unique and functions under its own governing body. In addition, eight District offices have been established, supporting those chapters within each specific region of Canada.

    The uAOC Overseas Office in Xxxx facilitates the constituency-wide donations to both Overseas Aid and Aid Canada initiatives. These gifts are received from chapters, Districts and individuals from across Canada. Annually the uAOC receives over $20 million toward its aid objectives.

    Having current technology and e-giving methods in place to facilitate these volumes of donations is vital, especially in today’s society. uAOC strives to keep its systems current, attracting donors to support the on-going aid objectives.

    Out of relationships already established, uAOC is staged to come alongside and assist the local chapters with their e-giving requirements at a minimal cost. By leveraging the technology already in place at the Overseas Office, uAOC can empower chapters in this area. Instead of chapters looking to their banking institutions for these services, they can turn to uAOC and incur minimal costs.

  7. Marketing Plan
  8. Target market

    As mentioned earlier, the small to mid-size uAOC chapters are the ones not able to sustain the technology requirements for e-giving. Currently, within the 400 uAOC chapters, 84% of these have less than 200 in attendance regularly. We know that many of these are struggling to meet their budgets annually, yet needing to offer their members the new e-giving methods.

    Below is a chart showing the potential activities this could draw if 30% of the 0-200 member chapters were engaged, and if 10% of the remaining chapters used these services as well.

    Chapter size # chapters Estimated usage Estimated # chapters 15% of member usage Transactions monthly Transactions annually
    1-50 172 30% 52 3.75 195 2355
    51-99 92 30% 28 11.25 332 3873
    100-199 68 30% 20 22.5 470 5637
    200-349 32 10% 3 41.25 138 1663
    350+499 12 10% 1 63.75 76 856
    500-1000 24 10% 3 112.5 253 3186
      400       1464 17570

    Services Provided

    The TAP Program offers a preauthorized giving service for chapters. Members of the chapter are able to request funds be withdrawn from their bank account monthly or bimonthly, and be given to the chapter for its charitable purposes.

    The uAOC processes these requests twice monthly and returns the funds withdrawn from member bank accounts to the chapter on the same day.

    A monthly report of all donations received and deposited into the chapter’s bank account is provided to the chapter.

    Promotional materials will be available for the chapter at their request.

    This service provides consistent monthly giving to the chapter for those members who no longer wish to use the cheque and envelope method.

    Pricing Strategy

    Competition to this market will be the banking institutions of Canada. uAOC must keep the costs for the TAP Program manageable and attractive to the chapters, or they will go to their banks for similar services. Currently uAOC’s fees are cheaper than what most banks are offering.

    To start, uAOC will charge $1 per transaction and no setup fees. As more and more chapters come on board, there may be room to lower this fee and still cover the costs incurred by uAOC each month to facilitate this service.

    As volumes increase, uAOC will assess the staffing requirements for this service, and whether a part-time employee is needed. If so, 107 chapters would need to be on board (as shown earlier) in order to cover these on-going staffing costs.

    Advertising and Promotions Plan

    uAOC will promote the TAP Program to the chapters in a number of ways:

    • General Conference booth
    • Email blasts to chapters quarterly
    • Brochures, mailings annually to chapters
    • Chapter portal
    • Website
    • Advertising in uAOC publications

    Chapters will need promotional materials as well, so they can promote it to their members. uAOC will produce and provide promotional materials for the chapters to request as needed.

  9. Operations
  10. Stage of Development

    To date, uAOC has begun providing these services monthly to five uAOC chapters, all having agreed to be a part of the initial Testing Phase. There are an additional 3 chapters interested and taking it to their Boards early 201#.

    The costs so far have been very minimal, as the monthly preauthorized files are being produced along with the uAOC ones. Some staff time has been required by the TAP coordinator to get the chapters setup and functioning, and to prepare the reports monthly. Feedback surveys are being prepared and will be sent to the chapters being serviced early January. The results of these will be collected and analyzed, and the TAP Program will be enhanced or improved where necessary.

    The next steps required to fully roll out the TAP Program would be:

    • Analyze feedback of current TAP customers, and improve services where necessary (FEB)
    • Prepare and implement Promotional/Advertising Plan to all uAOC chapters (FEB/MAR)
    • Produce promotional materials for chapters to use (FEB)
    • Automate the monthly chapter reports to reduce staff time to create these (MAR)

    Possible risks

    The following could pose problems to uAOC as the TAP Program is rolled out:

    • Staffing requirements should multiple chapters sign up all at once
    • Delays in operations due to staff interruptions
    • Delays in operations due to IT interruptions

    Contingency

    To avoid these problems:

    • The Coordinator and Dir of Finance will monitor workloads, and hire part-time staff to assist if necessary
    • A Backup Strategy has been established and cross training of staff is in place
    • An IT Redundancy Plan is being established to ensure interruptions do not occur

    Production Process

    The TAP Program will be managed and processed within the current Accounting department of the uAOC. As the Program grows, it will be charged a portion of the Accounting staff and soft costs, similar to how other departments of uAOC are charged for these.

    When a chapter contacts uAOC and shows interest in the TAP Program, an information package is sent to them by the TAP Coordinator. Once the chapter is ready to sign up for the Program, they begin promotions to their chapter. The required documentation for automatic withdrawals from their members’ bank accounts is then forwarded to uAOC each month as new members join the Program.

    The Coordinator will ensure the new chapter is setup in uAOC’s systems, and prepare the necessary donor schedules in preparation for the monthly withdrawals.

    The scheduled withdrawals will be processed by uAOC monthly, and the total amount deposited into the appropriate chapter’s bank account. A monthly report will be sent to the chapter showing the individual donor contributions received and the totals, less the service fees held by uAOC.

  11. Finance
  12. The major start-up costs for the TAP Program will be the creation of promotional materials for the chapters and advertising costs. The remaining costs will be soft costs as the Program is run using uAOC’s staff and infrastructure. For the first year, these soft costs will be absorbed by Xxxx Services. As the Program grows, these will be charged to the Program.

    In the first year, an estimate of 30 uAOC chapters will enroll in the TAP Program, bringing in approximate Fee Revenues of $9,000 for the year. These revenues will be used to cover the promotional costs mentioned earlier.

    An Income Statement is attached (Appendix A) showing the projected growth of the Program over the next four years.

  13. Risks & Conclusions
  14. Risks

    As the demand for the TAP Program continues to grow over the next number of years, uAOC will continue to support the Program. Technology will continue to change however, and giving methods may possibly change as well. Thus the demand for this service may diminish. uAOC will need to keep a pulse to these changes, and be able to adjust accordingly.

    Having a large number of chapters dependent on uAOC monthly for this service does pose risks. uAOC must serve the customers well to avoid negativity and disappointment within the constituency. Because uAOC is already engaged in providing this service to our large donor base monthly, and has appropriate backups and strategies in place, this risk should be minimized.

    Conclusions

    The TAP Program offers a much needed service to uAOC’s small to mid-size chapters. This has been affirmed by many chapters, as well as the District Superintendents. Having the uAOC chapters using this Program will open many important doors of opportunity for increased relationship with them, reflecting in healthier chapters and increased engagement to the uAOC Mission as a whole.

Appendix A

Bea Sweet – 1234567 :: Pages 1 - 1

From: Bea Sweet
Sent: Friday, December 1#, 201# 9:53 AM
To: 'Dxxx Gsss'
Cc: Jxxx Rxxx
Subject: uAOC Partnership Program

Hi Dxxx,

I am writing to let you know that Jxxx Rxxx and I have decided to go with Exxx which is a Canadian provider with a well developed engagement piece as well as a giving piece. While giving is the primary reason for this service, engagement also has significant benefit for our chapters. This multi‐faceted capacity was attractive to us.

We do appreciate your time and wish you all the best as you build out your business in Canada.

Regards,

Bea Sweet
Dir Finance


uAOC Letterhead
mailing address
phone #s
email address
website
facebook twitter

Bea Sweet – 1234567 :: Pages 1 - 1

From: Bea Sweet
Sent: Tuesday, January 1#, 20## 3:18 PM
To: Wxxx, Axxx
Subject: Compensation arrangements letter

Hi Axxx,

Thank you for your letter dated December #, 20## regarding compensation arrangements, showing uAOC’s current average volumes and new fees commencing February 1, 20##.

We are somewhat surprised by the “New Fees” you are suggesting as they are changing from $100 to $125 monthly for the General account (25% increase), and $0 to $20 for the US account.

We have a long standing relationship with your bank (over 50 years), and it has always been impressed upon us how much you appreciate all the business we bring to your bank. Along with this, the average monthly balances of all of the uAOC accounts with your bank is normally well over $1 million, yet we receive very little interest on these funds. Is it now necessary to charge additional fees monthly?

I would be happy to discuss this further with you Axxx at your earliest convenience.

Regards,

Bea Sweet
Dir Finance


uAOC Letterhead
mailing address
phone #s
email address
website
facebook twitter

From: Bea Sweet
Sent: Monday, August 1#, 20## 3:42 PM
To: Jsss Oxxx
Cc: Hxxx Lxxx
Subject: uAOC Wires processing
Attachements: uAOC Jxxx - Jxxx's copy.xlsx

Hi Jxxx,

I trust you are doing well, and enjoying your summer!

I just wanted to give you an update on where we are at with revising our FX processing. We have been in conversations with our representative at Jxxx (XXXX now), and he is fine with what we are proposing. He has finalized their wire fee to be $25 CDN per wire.

We agreed that starting the new process effective Sept 1st would work the best, so that is the plan. Hxxx is busy training the staff on our side on the new process. And, Hxxx and I will begin purchasing USD in larger amounts at this time as well. Hxxx is going to continue keeping a spreadsheet of all the wires we do, showing what the cost was each time we purchased.

I’ve revised your spreadsheet you had sent last time (attached), where we had agreed on the benchmark of 84 bps. You will notice on my revised one that this is now 75 bps when I change the wire fee to $25 / wire as opposed to the $20 / wire we had used in our projections.

I trust this all makes sense Jxxx. If you wish to chat further about it, feel free to give me a call sometime.

Talk to you soon,

Bea Sweet
Dir Finance


uAOC Letterhead
mailing address
phone #s
email address
website
facebook twitter

From: Jxxx Oxxx [mailto: email address]
Sent: Wednesday, June ##, 20## 10:28 AM
To: Bea Sweet
Cc: Hxxx Lxxx
Subject: FW: uCAOC Jxxx (1).xlsx

Hi Bea and Hxxx,

I have completed my draft report but I would like to confirm my calculation of the starting point for the calculations of savings.
I believe that 84 bps should be the basis upon future savings should be calculated.
If I am correct then the future savings calculations would be on a lower base and Gxxx would earn less accordingly. I am concerned that at 121 the savings calculation will result in savings being overstated and Gxxx would earn more.
Please review my calculations and advise if you are in agreement.
I will be able to deliver the draft report the following day.

Best Regards,

Jxxx Oxxx CPA, CA
Gxxx Financial Corporation
###-###-####

From: Jxxx Oxxx (email address)
Sent: Friday, June ##, 20## 10:39 AM
To: 'Bea Sweet'
Subject: uAOC Jxxx (1).xlsx

Bea,

I updated my schedule and we are in sync in all the calculations except one.
I believe the 121 bps is overstated as the calculation was derived from the 155 bps calculation using the simple average.
The starting point should be the weighted average of 117 bps as reflected in my schedule.
After deducting the transfer fees the premium in respect of foreign exchange amounts to a weighted average of 84 bps.
I believe that 84 bps should be the basis upon future savings should be calculated.

Please confirm your agreement to this calculation.
Once we agree on the calculation I will present my draft report.

Best Regards,
Jxxx Oxxx CPA, CA
Gxxx Financial Corporation
### ### ####

Bea Sweet – 1234567 :: Pages 1 - 1

From: Bea Sweet
Sent: Thursday, December ##, 20## 8:53 AM
To: Dxxx Hxxx
Subject: Director Job Descriptions
Attachements: Director Job Description.docx; FS Org Chart 20##.potx

Hi Dxxx,

As we discussed yesterday, here is some information I found on the Internet that may help us in establishing “Director” job descriptions and roles within uAOC.

I’ve also tweaked the FS org chart as well out of our discussions yesterday, and attached it. I think it would be helpful to establish what the FS structure should ultimately look like for uAOC as we grow and roll out our current strategies in the coming years. Even though we may not have all the staffing in place yet, it may be valuable to establish what we are shooting toward. This would also assist in succession planning in the coming years as well, as we have been discussing.

I’d be happy to chat with you about these further when you have some time Dxxx.

Thanks!
Bea

Bea Sweet – 1234567 : Pages 1 - 2

uAOC LETTERHEAD

(Date)

Dear “employee name”:

Employment Agreement

Commencement and Reporting Relationship:

We are pleased that you have accepted this new employment opportunity with the unspecified Association of Canada (the Employer) commencing “Date_______”. As you know, you will be employed as the “Title of Position_______” for the “Department______, including______”. You will report to “_______”.

Your job description has been given to you under separate cover and is intended to explain your role and duties, it may be subject to change as the needs of the Employer require. The terms & conditions of employment may also be amended from time to time as the needs of the Employer require. Such changes will be made in consultation with you.

Your performance will be reviewed with you prior to the three (3) month probationary period ending “Date______”. Going forward, at the discretion of your supervisor, your performance will be reviewed annually. Any salary adjustments will generally take place the beginning of every calendar year.

Compensation and Benefits:

The Employer will pay you a gross annual salary of $00,000.00. As a full-time employee (40 hours per week) you will be eligible for benefits commensurate to this position, in particular, Group Health & Life Insurance, as well as employer matching for a personal RRSP investment.

During the term of this employment agreement, you will be entitled to take vacation in accordance with the normal practices of the Employer. Your vacation is to be taken at a time or times acceptable to the Employer. Your annual vacation allotment will be “______” weeks, time off will be allowed after sufficient time has accumulated. It is understood time off may be required before sufficient vacation has accumulated, this will be without pay.

All payments under this employment agreement will be subject to the appropriate statutory deductions. In addition, you also authorize the Employer to deduct from your compensation the following amounts as may be necessary from time to time: Long-term Disability premiums, Pension Fund and/or RRSP contributions, Canada Savings Bond contributions, and any Accounts Receivable owing to the Employer should payment not be made otherwise.

Rules and Regulations, Guidelines, Policy:

You agree to be bound by and faithfully observe and abide by all the rules and regulations, guidelines, and policies of the Employer including, but not limited to, the Employee Handbook, which are in affect from time to time, which are brought to your notice or of which you should be aware. While a breach of any of the rules and regulations, guidelines, and policies of the Employer may be cause for discipline up to and including discharge, you should be aware that the protection of the Employer’s confidential information, the Harassment, Internet Usage, and Code of Conduct policies are extremely important and, consequently, any breach of these rules and regulations, guidelines, and policies which are in affect from time to time will be cause for severe discipline and/or termination of employment for cause. The Employee Handbook Acknowledgment form will also need to be signed and returned to the Human Resources Office within one week of your employment commencement date.

Page 1 of 2

Termination:

Prior to completion of a three month probationary period you or the Employer may terminate this agreement and your employment at any time upon giving written notice to the other party.

After completion of the three month probationary period you may terminate this agreement and your employment at any time upon giving written notice of not less than two weeks to the Employer. The Employer has the right to waive a portion, or all, of the notice period whereby you will not be required to report for work. In such case you will be paid any portion of the notice period not worked up to a maximum of two (2) weeks, less required deductions. Upon completion of such payments the Employer will have no further obligations to you.

Any and all rights and entitlements to you, or obligations of the Employer arising from termination of this agreement and your employment are limited to those defined in this agreement. It is expressly agreed that upon the termination of your employment without cause, your entitlements will be limited to reasonable notice as historically established by the Employer. Notwithstanding the foregoing sentence, the Employer may terminate this agreement immediately upon paying to you reasonable compensation as historically established by the Employer in lieu of such notice. Please note that reasonable notice and/or reasonable compensation as historically established by the Employer exceeds the minimum requirements of the Employment Standards Act.

The Employer may also terminate this employment agreement and your employment at any time for cause without notice and without payment of any compensation, either by way of anticipated earnings or damages of any kind. Cause can include any breach of the rules and regulations, guidelines, and policies of the Employer and/or any misconduct which would constitute just cause at law.

You and the Employer confirm that the notice or pay in lieu of notice provisions as noted, are fair and reasonable and agree that upon any termination of this agreement by the Employer, or upon any termination of this agreement by you, you will have no action, cause of action, claim or demand against the Employer or any other person as a consequence of such termination.

Agreement & Signatures:

If you agree with the above, please sign both copies of this agreement, keep one copy for your records and return one copy to the Human Resources Office.

Sincerely,

 

“Name of Supervisor______________”
“Position or Title_________________”

I have read, understand and hereby voluntarily accept the terms of employment as outined above:

 

____________________________________________

Signature

____________________________________________

Date

Page 2 of 2

Bea Sweet – 1234567 : Pages 1 - 2

(Date)

    PERSONAL & CONFIDENTIAL
    WITHOUT PREJUDICE

(Staff name and address)

Dear ____________:

As you are aware, the Accounting department of uAOC is a very busy place, and is required to continually adjust the services offered in order to effectively and efficiently meet the ever changing demands of uAOC and its partner organizations.

Following a thorough evaluation of the required Accounting Services of uAOC going forward, and in light of the upcoming upgrades of uAOC’s core IT solutions, a restructuring is required within the department allowing for a Jr Accountant with a higher level of qualifications. When you were hired, the intent was that you would have an Accounting designation within the two years. Unfortunately that has not been the case (staff name), and we are unable to transfer the financial responsibilities to you that are necessary at this time.

Consequently, after prayerful and careful consideration, we regret to inform you that your employment at the Overseas Office of uAOC will be concluded ___________.

The unspecified Association of Canada is prepared to offer you a salary, including all monies owing to you and any outstanding vacation pay equivalent to 40 full days of compensation (20 days severance and 20 days for vacation/MA), which exceeds the minimums as outlined in the Employment Standards Act. Payment will be in two installments: June ##, 20## and June ##, 20##. Your health benefits will conclude on June ##, 20##.

Please return to the uAOC all of its property in your possession or under your direction or control, including pass cards, office keys, computer equipment, etc. by the close of the office on May ##, 20##.

It is also a condition of this offer that you agree to sign the Release and Indemnity, which we have attached for your review. We ask that you carefully read and consider this document, which we ask that you return to my attention on or before June ##, 20##.

I sincerely regret that we have had to terminate your employment. Our best wishes are with you during this time of transition.

Yours Sincerely,

Bea Sweet
Dir of Finance

cc Cxxx Hxxx

    RELEASE

I, (staff name), have read and understand and hereby voluntarily accept the terms of settlement described in this letter to me from uAOC Overseas Office of May ##, 20## and, in consideration of the said terms of settlement, I hereby release and forever discharge uAOC Overseas Office, any related or associated companies, and their respective directors, officers and employees uAOC Overseas Office from any and all actions, causes of action, claims and demands whatsoever including but not limited to all actions, causes of action, claims and demands arising from my employment with uAOC Overseas Office or the termination of such employment. I further agree not to make any claim or take any proceedings against any other individual, partnership, association, trust, unincorporated organization or corporation with respect to any matters which may have arisen between me and uAOC Overseas Office or in which any claim could arise against uAOC Overseas Office for contribution, indemnity or other relief over.

Date:______________________ EMPLOYEE NAME ______________________

Date:_______________ WITNESS_________________________

Bea Sweet – 1234567 : Pages 1 - 1

From: Bea Sweet
Sent: Thursday, September ##, 20## 2:17 PM
To: Gxxx Bxxx
Cc: Jxxx Rxxx
Subject: uAOC question?

Hi there,

I had a question come up yesterday as to what uAOC would need to have in place if we were to start receiving large donations from an organization in an unspecified city in United Arab Emirates. There is an organization there that would like to forward funds to Canada to help our chapters here with the sponsorship costs for refugees.

We already work with the government and our chapters to organize sponsorships for families. The question was if there would be any concerns or necessary agreements we would require to have larger quantities of funds ($50K) coming to us from an organization in an unspecified city in United Arab Emirates?

Thanks!

Bea

Bea Sweet – 1234567 : Pages 1 - 1

From: Bea Sweet
Sent: Thursday, March ##, 20## 9:25 AM
To: Staff List
Subject: Accounts Payable deadlines for submitting expenses

Good morning,

We thought it was time to remind everyone again of the important Accounts Payable deadlines each week. It is very important that work toward these in submitting your payables requests, as it helps to achieve greater efficiencies within the department:

  1. End of day Monday for Tuesday’s cheque run
  2. End of day Thursday for Friday’s cheque run
  3. Wednesday Noon for Wednesday Afternoon EFT/Cables processing

Also, just another reminder that all personal expense claims that are submitted must be approved by your supervisor. For those on the Lead Team, another member of the Lead Team must approve these.

Thank you, and have a great day!

Bea

Bea Sweet – 1234567 : Pages 1 - 1

(Chapter name and address)

 

Date

Dear Treasurer,

We would like to notify you of the old outstanding items on your account, as per the attached statement.

If you have any questions about the outstanding invoices please call _________ at ### ###-#### ext.______ and she will get you the info you require.

Please submit payment as soon as possible so that your account can be reconciled.

Thanking you in advance for your prompt response to this matter.

Yours truly,

 

Bea Sweet
Dir of Finance

Bea Sweet – 1234567 : Pages 1 - 1

Date

Hi __________,

Thank you once again for the tremendous contribution you have brought to the Accounting department over this past year! Your continued diligent efforts are so appreciated.

This is to inform you that effective January 1, 20## your annual salary will be increasing to ___________.

I’m looking forward to working together again with you in 20##!

Best wishes,

 

Bea Sweet

Bea Sweet – 1234567 : Pages 1 - 1

From: Bea Sweet
Sent: Thursday, September ##, 20## 2:57 PM
To: Mxxx Cxxx
Cc: Vxxx Nsss
Subject: CRM Upgrade project

Good afternoon Mxxx,

I had a telephone meeting with Vxxx today regarding the planning of the CRM upgrade project that the IT Lead Team is hoping to move forward this fall, prior to K1xxx’s leaving.

Vxxx and I both agree that it would be very helpful to the organization if we could push this forward over the next 2‐3 months as it will force us to have K1xx download his uAOC IT Systems knowledge on to Rxxx & J1xxx and others in the office as they build the CRM solution for uAOC‐wide usage.

I am preparing a recommendation to bring to Lead Team next week for this project, but just wanted to get your input prior to our meeting. I understand that you are aware of the need for this solution, and that K2xxx is quite anxious to have it built and working sooner than later.

We feel there are two big things still needing to be addressed in order to make this project successful. The first would be buy‐in from the Lead Team, as this solution is going to serve the organization, not just IM. The second is IT resourcing, and we are meeting with J2xxx early next week on this.

I’m wondering if you would be prepared to be the “Project Sponsor” for this project similar to what you did for the Web project. This would help to get the buy‐in from the leadership, and bring ownership to the project. Also, would you be okay with K2xxx being the CRM subject matter expert of the project and coming alongside the Project Team as the CRM consultant. He has used similar software before and has a good understanding of what he is hoping to achieve from it. If so, I’m wondering if there’d be value in K2xxx bringing something visual to Lead Team next week to help show the team the type of functionality this new system will bring to uAOC.

Anyway, just wanting to get your thoughts on this Mxxx. Vxxx and I both agree that we don’t want K1xxx bogged down in pushing a project forward over the coming months, but we do need him as a Systems Consultant working alongside the Project Team to get the key pieces of the project well on the way to being fully implemented.

What are your thoughts on this Mxxx?

Bea

Bea Sweet – 1234567 : Pages 1 - 5

Statement of Purpose for Primary Source Documentation (Artifacts)

Document/Artifact: uAOC Cost Allocation Plan

Course and page number Criteria addressed Application of artifact to criteria My role in creation/management of artifact Relevant Dates
ADMN 233
Page 6
Plan and prepare to write complex messages such as business reports and proposals and formal reports. This formal business report was carefully planned and written to explain a robust business function of the organization andto give the leadership team a clear understanding of how these costs will be shared to enable future buy-in by all the leaders. As the Dir of Finance my role is to manage the Shared Service costs of the organization and to allocate these in a fair and equitable manner. I created this proposal to gain buy-in from the organizational leaders on this annual process. Created June 20##

Referenced annually during budget period.
         

Commentary on outcomes or effectiveness of artifact (if appropriate):

This Cost Allocation Plan was proposed to leadership and provided understanding and buy-in from the various business leaders within the organization. A robust cost allocation process was established and continues to this day using much of what was proposed in this Plan.

Cost Allocation Plan

PURPOSE/GENERAL STATEMENTS

The purpose of this Cost Allocation Plan (CAP) is to summarize, in writing, the methods and procedures that the unspecified Association of Canada (uAOC) will be using to allocate costs to various departments within the organization, as well as partnering entities.

Cost allocation is the process of linking (1) some cost or groups of costs with (2) one or more cost objectives, such as partner entities, other service departments, and divisions (causation of cost).

Direct costs are those that can be identified specifically with a particular final cost objective. Indirect costs are those that have been incurred for common or joint objectives and cannot be readily identified with a particular final cost objective.

APPROACH

The general approach of the uAOC in allocating costs to particular departments and partnering agencies is as follows:

  1. Direct costs are charged directly to departments, partnering entities, etc
  2. Direct costs that can be identified to more than one objective are prorated individually as direct costs using a cost base most appropriate to the particular cost being prorated
  3. All other general and administrative costs (costs that benefit all programs and cannot be identified to a specific program) are allocated to departments and partnering entities using a cost base which results in an equitable distribution.

The Cost Allocation Plan is based on the Reciprocal Allocation Method. This method allocates costs by recognizing that the service departments provide services to each other as well as to the aid departments and partnering entities. This method enables uAOC to cost the interdepartmental relationships fully into the service department cost allocations. For example, the Premises Management cost is allocated to the Human Resource department and the Human Resource department cost is allocated to the Premises Management department before the costs of the service departments are allocated to the ministry departments and partnering entities.

PROCESS

Annually in mid June each department and partner entity will receive from uAOC’s Dir of Finance a “Cost Allocation Template” which will outline the Cost Allocations for that department, and all others for the current fiscal year.

The departments and partner entities will be required to show the necessary projected changes to the Cost Base column (ie total budgets, # of staff, services required, etc) within the template and return the “Cost Allocation Template” back to the Dir of Finance by July 31st. If the template is not returned by that date, the assumption will be made that the department’s usage will be calculated based on the current fiscal year.

The Dir of Finance will compile all of the returned Cost Allocation Templates and departmental budgets into one Consolidated Budget, and provide this to the Lead Team for budget discussions early September each year, leading up to final approval of the Consolidated Budget by the General Executive in November. At this meeting as well, a Proposed Allocated Costs document will be provided, showing rationale and planning used for each service area, based on proposed usages provided by the departments/entities.

Quarterly, during each fiscal year, an analysis of the services costs vs budget will be discussed at Lead Team, along with any planning needs for additional costs/hires outside of original budget. Any necessary charges/credits to the departments and partner entities will be posted following approval at this meeting.

COST ALLOCATIONS

The following chart summarizes the uAOC allocated costs:

Cost Description Cost base Allocation Method Verification Method
         
Occupancy Premises costs, snow removal, landscaping, taxes Sq footage used plus % of common areas (# of staff) Reciprocal Measurement of areas used, % of common based on # of projected staff
Payroll/staff related Payroll and related, lunchroom, Office supplies Staff #’s Reciprocal # of projected staff provided by dept Managers
Reception   Actual usage – measured semiannually Reciprocal 2-wk period logged by reception staff semi-annually
IT support NNS services, servers, licensing Projected staff #’s Reciprocal # of projected staff at HO provided by dept Managers
IT systems &
Mgmt
Software renewals, licensing, consulting Projected staff #’s, and usage of systems Reciprocal # of projected staff at HO provided by dept managers
Accounting Costs Audit, bank fees, credit card fees, tax receipts Size of total budget Reciprocal Projected total budget provided by dept managers
Accounting staff costs A/P, A/R Receipting, accountants, controller Actual usage Reciprocal Estimates of time currently spent on each dept activities provided by accounting staff
Print/Mailroom (fixed costs) Printing coordination, mailings to donors, courier Actual usage Reciprocal Estimates each dept activities provided by Mxxx Print Group, adjust quarterly to actual.

Bea Sweet – 1234567 : Pages 1 - 22

Statement of Purpose for Primary Source Documentation (Artifacts)

Document/Artifact: Disaster Recovery Plan

Course and page number Criteria addressed Application of artifact to criteria My role in creation/management of artifact Relevant Dates
ADMN 233
Page 7
Plan and prepare to write complex messages such as business reports and proposals and formalreports. This formal report was created by engaging all departments within the organization in a process to compile their respective information into a template provided so that an organization wide Disaster Recovery Plan is in place in the event of an emergency. I championed this whole process by working with the leadership team to approve the process and then creating the templates for each department to complete. I then compiled everything into one document and ensured each supervisor had access to the final document should an emergency happen. Created 20##

Will be reviewed and updated in 20##
         

Commentary on outcomes or effectiveness of artifact (if appropriate):

This document was quite a bit of work to compile and took a number of months. The Audit Review Committee was happy to hear we had formalized this type of document for the organization and that we had thought through how the business would continue to function in an emergency situation.

Cost Allocation Plan

Process Analysis – Critical Path

Critical Operational Processes Quantity Description Location
Inform XS Functional leads to initiate their Recovery Plans 1 XS Lead (B. Sweet) inform Functional Leads From home
End‐User Recovery Requirements Quantity Description Access Point
Work areas      
VPN      
Citrix Access      
       
Misc Recovery Requirements Quantity Description Location
Laptops/printers 1 Current laptop Home
       

I. PLAN ACTIVITY SETS

  1. Pending Crises
    1. Initiate the following pending crisis activities as authorized by the Recovery Coordinator
    2. Consider putting key vendors on alert. Verify that you have critical contact information including afterhours numbers.
    3. Take action to protect vital records, include covering the records or moving them to a more secure location.
    4. Instruct employees who have laptop computers to take them home.
    5. Update contact lists as needed.
    6. Ensure that managers and supervisors have a copy of the current recovery plan.
    7. Provide guidance to employees in preparing for the pending crises at home. This will help ensure their availability during and after the event occurs.
    8. Work with the Recovery Coordinator to ensure that there are adequate provisions and safety equipment for employees who will be working onsite during the event.
    9. Make preliminary travel arrangements if recovery at remote location is contemplated (ie. Identify employees who may be expected to travel, advise them to pack).
  2. Immediate Response
    1. Organize First Alert Notification Activities
      Organize First Alert Notification Activities
      1. Initiate Emergency Response and Evacuation procedures (Recovery Coordinator)
      2. Receive details of the event, if not present.
      3. Obtain Disaster Recovery Plan immediately, if possible. If unavailable inform Recovery Coordinator.
    2. Initiate Team Member and Staff First Alert Notification
      1. If event occurred during normal working hours, update employees periodically regarding this situation.
      2. If the event occurred after normal working hours, notify personnel of the incident using Functional Recovery Teams (see chart), Plan call trees, and the notification procedure.

Notification Procedure:

Notify recovery team members, alternates and staff as required, advising them of the situation and instructing them where and when to report, or to remain home. Record the results of telephone calls in a log.

  1. If contact is made, say “May I speak with (individual)?”, then provide the following info:
    1. Brief description of the problem
    2. Action required
    3. Inform personnel to make no public statement regarding the situation.
    4. Inform personnel that no calls are to be made to other employees (this will avoid premature notification to families of personnel working at the time of the disaster)
  2. If not available, say “Where may I reach (individual)?”
    1. If at any location other than work, get phone number, make call and provide the above information
    2. If individual is at work, indicate you will reach the individual at work. (Do not discuss Disaster situation with person answering the phone)
  3. If no answer:
    1. Record the time attempted contacts were made
    2. Periodically call again until contact is made.
  4. If contact information is invalid (wrong number, person moved):
    1. If person has moved, try to get new phone number and contact them
    2. Notify management of incorrect contact information.
  5. If the telephone is answered by an answering machine:
    1. Leave message requesting person call you at (telephone number)
    2. Record the call and pertinent details on the telephone log.

Remind personnel that confidentiality, corporate and media policies must be adhered to appropriately.

  1. Strategy Review
    1. Receive Disaster Declaration Decision
      1. Business Unit Recovery Team Leads review the recovery strategies based on the incident that has occurred with their Function Recovery Team leads.
    2. Recovery Strategies:
      List strategies for key functions of business operations – (Critical Operational Processes) described in D above.
    3. Plan Activation:
      List critical activities to be activated for strategies above
  2. Notification
    1. Notify Key Vendors and Key Contacts
      1. Assist in the creation of the official incident public statement containing acceptable responses to customer/contact questions.
      2. Notify key contacts/vendors and business partners of the disaster declaration using information on “PLAN CONTACTS” (see section IV)
    2. Notify Team Members and Staff
      1. Notify team members and staff of the official disaster declaration or of the cancellation of the alert.
      2. Set up a time and location for a Team Briefing Meeting.
  3. Team Mobilization
    1. Organize Work Areas
      1. Determine how many people have the ability to work from home and how many will require alternate workspace (excluding personnel traveling to the alternate (recovery) center.
      2. Work with the Recovery Coordinator to set up workspace for recovery team personnel
      3. Work with Purchasing to ensure adequate office supplies will be available for recovery team members
    2. Establish a Work Schedule
      1. Determine if shift work will be scheduled or if workstations will be rotated among employees during normal work hours, or what employees will be working from home.
      2. Determine what manual procedures can be implemented until computer systems, network connectivity and telephones are restored.
      3. Develop a task assignment list based on activity priorities.
      4. Develop a work schedule that incorporates a rotation schedule to ensure that recovery personnel have adequate time off for employee health and to reduce potential for burnout. Include the recovery team leader and alternates in this schedule
    3. Evaluate Impact on Scheduled Events
      1. Evaluate the impact of the incident on departmental events in process or about to start
      2. Review events schedules for the next few days – the time interval will depend on the expected duration of the outage.
      3. Consider if any resources scheduled for upcoming events will be preempted for recovery purposes (ie. rooms, people, supplies)
      4. Determine if events should be suspended, cancelled, or rescheduled
      5. Inform participants about any changes, and tell them what actions they may or should take.
    4. Brief Team Members
      1. Brief team members about the incident and the company’s response referring to the following procedures:
        1. Review the incident and current status with the recovery team members:
          1. Results of damage impact assessment
          2. Expected outage duration of essential services (voice communications, network)
          3. Recovery objectives and strategies
          4. Safety or security issues
          5. Insurance issues
        2. Remind personnel NOT to make any “public” or “off‐the‐record” statements to media.
        3. Communicate what changes, if any, the Incident Management Team made to the situation response strategy, based on the type of disaster and available resources. Evaluate the impact of these revised responses to recovery time frames, capabilities and procedures.
          1. Short‐term interruption (temporary with little or no damage to facility) may require activation of only selected teams and personnel.
          2. Long‐term interruption (physical damage to equipment and facility) may require activation of the full recovery plan.
        4. Review the following issues relative to the status of work‐in progress:
          1. What functions had been completed for the day? What hadn’t?
          2. What files and records are salvageable?
          3. What files and records can be reconstructed from other sources or offsite backup?
          4. What is the date, time and status of the most recent backup records recoverable from offsite?
        5. Review the following issues relative to processing:
          1. What the impact is to application processing and on‐line availability
          2. What is being done to restore the application functions and the proposed schedule
          3. Alternative logon access at the alternate site
        6. Establish work and rotation schedules based on work load, available resources and available personnel.
        7. Confirm alternate facility and logistics for business unit and determine who is available to travel
        8. Distribute the Incident Command Center phone and fax numbers.
        9. Record telephone numbers where team members can be reached if other than what is listed on PLAN TEAMS AND MEMBERS and PLAN CALL TREES.
    5. Deploy Team
      1. Confirm alternate location assignments.
      2. Provide supplemental or additional directions to the recovery team members if they are being relocated to an alternate site.
      3. Coordinate travel arrangements with Incident Management Team.
  4. Manage Team Activities – Team Lead
    1. Manage Team Activities
      1. Participate in Incident Response Team meetings as directed by the Incident Manager
      2. Submit status reports to the Incident Manager in accordance with a schedule the Incident Manager will publish. Use the recovery Status Report Form??
      3. Report significant problems and variances to the Incident Manager immediately.
      4. Monitor the work rotation and rest schedule so employees do not become exhausted and burn out while conducting recovery operations.
      5. Conduct periodic status review meetings with the team.
      6. Ensure a formal turnover process takes place when employees are changing shifts or activity assignments.
      7. Request additional resources from the Incident Manager as needed.
      8. Ensure that company policies are followed. Where exceptions are authorized to expedite recovery implementation, make note of these exceptions, and make certain that normal procedures are resumed when crisis phase has passed.
    2. Document Activities
      1. Document recovery activities including all accomplishments and problems. Note the date and time for all significant events.
      2. Track recovery expenditures.
    3. Monitor Progress
      1. Ensure that immediate tasks are completed.
      2. Verify that messages placed on telephone lines are working.
      3. Verify that manual procedures are being implemented properly. Remember, people may not be familiar with manual workarounds, so extra diligence may be necessary.
      4. Ensure that all expenses being submitted are being assigned to correct department
    4. Conduct a Post Recovery Critique
      1. Conduct a critique of the recovery activities with the recovery team as soon as the crisis phase has passed. The focus of the critique should be to improve the process, not assign blame or fault for any shortcomings.
      2. Prepare a critique report for the Incident Manager.
      3. Incorporate lessons learned into the recovery plan and/or standard operating procedures.
    5. Demobilize the Recovery Team
      1. Demobilize the recovery team as directed by the Incident Manager.
      2. Ensure that all open items are formally transitioned to the appropriate managers/supervisors.
      3. Ensure that all recovery‐related documentation is collected and preserved.
      4. Replace any prepositioned recovery supplies and other materials that were consumed by recovery operations.
      5. Return vital records and other materials recalled from offsite storage.

II. FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Xxxx Services Bea Sweet Rxxx Sxxx ###.###.#### ###.###.#### B.SWEET@xxxx.org
Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Communications Nxxx Rxxx Mxxx ###.###.#### ###.###.#### email address
Credentials Txxx Cxxx Bxxx ###.###.#### ###.###.#### email address
General Secretary/Treasurer/ Archives Rxxx Sxxx Mxxx ###.###.#### ###.###.#### email address
GS Office Cxxx Sxxx Bxxx ###.###.#### ###.###.#### email address
Print/Mail Kxxx Mxxx Bxxx ###.###.#### ###.###.#### email address
HR/Reception Kxxx Mxxx Mxxx ###.###.#### ###.###.#### email address
Stewardship Sxxx Txxx Mxxx ###.###.#### ###.###.#### email address
Payroll Cxxx Hxxx Mxxx ###.###.#### ###.###.#### email address

SECTION A.1 XS Recovery Plan – Office of
General Superintendent

A.1.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Quantity Description Location
Office of GS   Files Home
Committees   Gen Exec Home
Gen Conf      
District offices      
End‐User Recovery Requirements Quantity Description Access Point
VPN   Email blast, O drive  
Citrix Access      
Misc Recovery Requirements Quantity Description Location
Laptops/printers      

A.1.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Office of XS Cxxx Sxxx   ###.###.#### ###.###.#### email address
Functional Recovery Team Member Name Home City Home Phone no. Cell Phone No. Work Email
  Dxxx Wxxx Bxxx ###.###.#### ###.###.#### email address

A.1.3 PLAN CONTACTS

Vendor/Contact Name Product/Service Contact Group Address City Postal Code Phone
Xxxx Xxxx Catering         ###.###.####
Xxxx Xxxx Catering         ###.###.####
District A           ###.###.####
District B           ###.###.####
District C           ###.###.####
District D           ###.###.####
District E           ###.###.####
District F           ###.###.####
District G           ###.###.####
District H           ###.###.####

SECTION A.2 XS Recovery Plan
Office of Executive Director

A.2.1 PROCESS ANALYSIS - CRITICAL PATH

Critical Operational Processes Quantity Description Location
Office of GST   Travel, correspondence, agendas  
Officer Advisory   Correspondence  
Archives      
Trust Management      
End‐User Recovery Requirements Quantity Description Access Point
Work areas      
VPN 1 Need to access to O & M drives Home
Citrix Access      
Misc Recovery Requirements Quantity Description Location
Laptops/printers      

A.2.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Office of GST Rxxx Sxxx Cxxx Sxx ###.###.#### ###.###.####  
Functional Recovery Team Member Name Home City Home Phone No. Cell Phone No. Work Email
  Cxxx Sxxx Bxxx ###.###.#### ###.###.#### email address
  Dxxx Hxxx Mxxx ###.###.#### ###.###.#### email address
  Jxxx Cxxx Mxxx ###.###.#### ###.###.#### email address
  Bxxx Gxxx Bxxx ###.###.#### ###.###.#### email address

SECTION A.3 XS Recovery Plan – Credentials

A.3.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Quantity Description Location
Pending Committee meetings      
Credential renewal process      
Credential & D&R applications rec’d by mail      
End‐User Recovery Requirements Quantity Description Acess Point
Work areas      
Citrix Access 1 Currently has one  
Misc Recovery Requirements Quantity Description Location
Laptops/printers 1 Access to printer similar to Txxx’s office printer Would need it at home
Credential Renewal Cardstock 1000   Home
Credential Renewal Cardstock 1000   Home
uAOC Letterhead &
envelopes (sm & lg)
100
75/25
  Home
Pension Booklets & Letterhead 25 of each   Home
Credential Certificates & cardboard 25 certs
50 cardboard
  Home

A.3.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Credentials Txxx Cxxx   ###.###.#### ###.###.####
(personal)
email address
Functional Recovery Team Member Name Home City Home Phone No. Cell Phone No. Work Email
District Offices      

A.3.3 PLAN CONTACTS

ID Vendor/Contact Name Product/Service Contact Group Address Phone
###### District H Credential &
Chapter files
Dxx Pxxx,
Vxxx,
VxxMxx
  ###.###.####
###### District G Credential &
Chapter files
Dxxx Hxxx,
Pxxx Dxxx,
Lxxx Rxxx
  ###.###.####
###### District F Credential &
Chapter files
Exxx Kxxx   ###.###.####
###### District E Credential &
Chapter files
Mxxx Txxx,
Rxxx Txxx
  ###.###.####
###### District D Credential &
Chapter files
Dxxx Dxxx,
Kxxx Rxxx,
Lxxx Mxxx
  ###.###.####
###### District C Credential &
Chapter files
Dxxx Bxxx,
Nxxx Pxxx
  ###.###.####
###### District B Credential &
Chapter files
Sxxx Vxxx   ###.###.####
###### District A Credential &
Chapter files
Jxxx Ixxx,
Mxxx Gxxx
  ###.###.####
###### Branch 1 Credential &
Chapter files
Axxx Mxxx   ###.###.####
###### Branch 2 Credential &
Chapter files
Rxxx Txxx   ###.###.####

SECTION A.4 XS Recovery Plan – Stewardship

A.4.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Quantity Description Location
Annuity Interest
Payments
  List to accounting monthly ‐ only issue if end of month disaster Nxxx
End-User Requirements Quantity Description Access Point
VPN      
Citrix Access      
Misc Recovery Requirements Quantity Description Location
Laptops/printers 1 Laptop taken home weekends Sxxx's home

A.4.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Stewardship Sxxx Txxx   ###.###.#### ###.###.#### email address
Functional Recovery Team Member Name Home City Home Phone No. Cell Phone No. Work Email
Stewardship          
Stewardship Cxxx Wxxx   ###.###.#### ###.###.#### email address
Stewardship Lxxx Sxxx   ###.###.#### ###.###.#### email address
Stewardship Bxxx Bxxx   ###.###.#### ###.###.#### email address

A.4.3 PLAN CONTACTS

Vendor/Contact Name Product/
Service
Contact Group Address Phone
Xxxx Xxxx service Stewardship   ###.###.####

SECTION A.5 XS Recovery Plan – Reception

A.5.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Description
XS Team leader to contact Kxxx Mxxx a) Kxxx Mxxx to provide other key contact numbers in addition to
home phone no.
b) FS Team leader to have key contact numbers for Jxxx Mxxx and Kxxx
Fxxx, in case Kxxx Mxxx is unavailable.
Kxxx Mxxx to contact
Kxxx Fxxx & Jxxx Mxxx
Kxxx Mxx will work out a schedule to make sure that reception is covered
Instructions from
XS Team leader
Written instruction from the XS Team leader for each person covering Reception, outlining what information can be given to outside callers regarding the current crises/disaster.
XS Team leader to
contact Rxxx Txx (IT)
To activate remotely any pre‐recorded crisis/disaster message to override either the regular day time message or after hours message.
End‐User Recovery Requirements Quantity Description Access Point
Work Area 1 Space needed for a small desk, laptop and phone uFSC Location
VPN 1    
Misc. Recovery Requirements Quantity Description
Laptop 1 With access to uAS–Constituent lookup
Phone 1 Phone needs to be able to take voice mail messages left after hours.
Contact List of Staff 1 Contact list from each Department ‐ will need to indicate how staff want to be contacted (home phone, cell, email)
To accommodate staff turnover, etc., this list should be reviewed by a department manager every 6 months, with any updates/changes provided to the XS Team leader
Copy of latest Directory 1  
After hours recording 1 Discuss with Cxxx Hxxx regarding recording any after hours message relating to the crises/disaster, to be activated remotely by IT.

A.5.2 RECEPTION CONTACTS

Name Home Phone Cell Phone Email Alternate Contact
Kxxx Mxxx ###.###.#### ###.###.#### email address (Sxxx) ###.###.####
Jxxx Mxxx ###.###.#### ###.###.#### email address (Axxx) ###.###.####
Kxxx Fxxx ###.###.#### ###.###.#### email address (Pxxx) ###.###.####
Rxxx Nxxx
IT Contact
###.###.#### ###.###.#### email address  

SECTION A.6 XS Recovery Plan – Print/Mail

A.6.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Quantity Description Location
Print 1 Printing services  
Mail 1 Mail Services  
End‐User Recovery Requirements Quantity Description Access Point
Work areas 0    
Misc Recovery Requirements Quantity Description Location
Laptops/printers 0    

A.6.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Alt Team Leader Home Phone No. Cell Phone No. Work Email
Print/Mail Kxxx Mxxx Sxxx Txxx ###.###.#### ###.###.#### email address
Functional Recovery Team Member Name Home City Home Phone No. Cell Phone No. Work Email
Print/Mail Zxxx Txxx Mxxx ###.###.#### ###.###.#### email address

A.6.3 PLAN CONTACTS

ID Vendor/Contact Name Product/Service Contact Group Address Phone
    Copiers     ###.###.####
    Postage Machine     ###.###.####
    Courier/Mail pick up     ###.###.####

SECTION A.7 XS Recovery Plan – Communications

A.7.1 PROCESS ANALYSIS – CRITICAL PATH

Critical Operational Processes Quantity Description Location
Sxxx Mxxx 1 Management of all communications and publications needs Offsite - home
Kxxx Bxxx 1 Administration of ongoing communications and publication needs uFSC
Nxxx Rxxx 1 Direction given to necessary communications as instructed by General Superintendent Offsite ‐ home
Kxxx Jxxx 1 *would be determined based on projects being worked on and urgency of delivery Offsite ‐ home
End‐User Recovery Requirements Quantity Description Access Point
Work area at uFSC and VPN 1 Kxxx Bxxx Requires access to email, access to network folders and ftp while uFSC uFSC
VPN and FTP 1 Nxxx Rxxx Offsite ‐ home
VPN and FTP 1 Sxxx Mxxx Offsite ‐ home
VPN and FTP 1 Kxxx Kxxx Offsite ‐ home
FTP 1 Sxxx Kxxx Offsite ‐ home
FTP 1 Axxx Gxxx – Page Design Pxxx Office
FTP 1 Hxxx Sxxx Cxxx - Home Office
Misc Recovery Requirements Quantity Description Location
Laptop 1 Nxxx Rxxx Offsite - home
Laptop 1 Sxxx Mxxx Offsite - home
Mac Computer 1 Kxxx Jxxx Offsite - home
Computer & Printer 1 Kxxx Bxxx Offsite - home

A.7.2 FUNCTIONAL RECOVERY TEAMS AND MEMBERS CONTACT INFO

Functional Recovery Team Team Leader Address Home Phone No. Cell Phone No. Work Email
Communications (Team Lead) Nxxx Rxxx   ###.###.#### ###.###.#### email address
Communications (Alternate Team Lead) Sxxx Mxxx   ###.###.#### ###.###.####  
Communications Kxxx Bxxx   ###.###.#### KB: no cell, Wife’s cell: ###.###.####  
Communications (editor) Sxxx Kxxx   ###.###.#### ###.###.####  
Communications (editor) Sxxx Kxxx   ###.###.#### ###.###.####  
Communications (contract copy editor) Hxxx Sxxx   ###.###.#### none email address

A.7.3 PLAN CONTACTS

ID Vendor/Contact Name Product/ Service Contact Group Address Phone Email
  Axxx Gxxx Publication and art design Page Design   Cell: ###.###.#### email address
  Kxxx Mxxx Print and Mail Mxxx Print Group ###.###.#### Cell: ###.###.####
Home: ###.###.####
email address
  Exxx
Gxxx
Design Work
EDF, Social
Media Feeds
Gxxx
Communications
###.###.#### Office: ###.###.####
Cell: ###.###.####
email address
  Txxx
Uxxx
Social Media,
Marketing,
Publicity
Gxxx
Communications
###.###.#### Office: ###.###.#### email address
  Jxxx
Bxxx
Art Design Get Creative ###.###.#### Office: ###.###.#### email address

Bea Sweet – 1234567 : Pages 1 - 27

IT Department Proposal

*Please note that names and other identifying information have been changed or removed where necessary in order to protect the privacy of the PLAR applicant and affliated groups.

Updated November 07 2017 by Student & Academic Services

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