Firms / ATOs
Forms Completion Guide
Planning Questionnaire or Declaration for Exemption - Accessing, Completing and Submitting
Accessing the Planning Questionnaire/Declaration for Exemption
The Planning Questionnaire and Declaration for Exemption forms are accessed through our members' secure Planning Questionaire Site Login. Please note that only the Practice Inspection (PI) Contact can access this site using the Contact’s member ID and password. The firm ID cannot be used to access this site.
In order to change the PI Contact, one of the firm’s designated contacts must log in to the Firm Secure Area and make the appropriate changes to their records. Refer to FAQ # 6 for further details, including a definition of who would be one of the firm’s “designated contacts”.
If a multi-office practice has two or more offices selected for inspection this year, a separate planning questionnaire must be completed for each office, as a unique inspection number is assigned to each office. You can only access one office’s planning questionnaire at a time, meaning you must log out and log in again to complete each office’s planning questionnaire. Refer to FAQ #7 for further guidance on this.
You can apply for an exemption from practice inspection by completing and submitting a Declaration for Exemption or, if relevant, a Declaration for Exemption – Professional Corporation. A separate exemption must be submitted for each office claiming exemption, as each has a unique inspection number assigned. Under Regulation 10-1, section 3 , a member would qualify for an exemption if:
Completing the Planning Questionnaire
The planning questionnaire is organized by tabs. Each tab includes a series of questions relating to your firm. You can navigate between the tabs using the “Next Tab” and “Previous Tab” buttons at the bottom of each page, or by clicking the respective tabs at the top of each page.
Remember to click the “Save” button (at the top of the page) periodically to ensure the information is captured in the questionnaire. Note that if there is no activity for an extended period of time, the session will expire automatically and you will need to log in again. If you have not been saving as you go, there is a possibility that the information previously inputted has not been saved in the questionnaire, and you will need to re-enter it into the tabs. You can return to any planning questionnaire that has been started and saved from a prior session, so long as it has not been submitted.
Completing a Declaration for Exemption (or Declaration for Exemption – Professional Corporation)
For either of these documents, there are no tabs. All the information required to be submitted is contained on one page. If you require further guidance as to whether you should be completing one of the exemption documents, please refer to FAQ # 3, FAQ #4, and FAQ #5 .
Submitting the Planning Questionnaire or a Declaration for Exemption
After completing the Planning Questionnaire or a Declaration for Exemption, you may preview your responses before submission by clicking the “Save & Preview” button at the top. You can preview your responses as many times as you wish, at any point during the process, and return to the form to make any amendments.
Once you are satisfied that the Planning Questionnaire or Declaration for Exemption is complete and ready to submit, click the “Submit” button at the top.
Once submitted, these documents cannot be changed. If ANY changes are required AFTER submission (e.g., the PI Contact, the firm’s address, composition of clients, etc.), please contact the PI coordinator named in your selection letter.
You will receive a confirmation number after submission. There will also be an option to receive an email of the confirmation number with a link to your summary page. We highly recommend a copy be emailed to you, in addition to printing out the confirmation page for your records.
Practice Inspection will assign an inspection date and inspector(s) based upon the information submitted. The inspection date will be communicated to the firm during the period of May to December. A letter will be sent to the PI Contact at least thirty (30) days prior to the assigned visit inspection date, or at least twenty-one (21) days prior to the assigned desk inspection date. Refer to FAQ #13 for the definition of a visit inspection and desk inspection.