13-101 - SEDAR Filer Manual [NI - Rescinded]

CANADIAN SECURITIES ADMINISTRATORS

SYSTEM FOR ELECTRONIC DOCUMENT
ANALYSIS AND RETRIEVAL
(SEDAR)

SEDAR FILER MANUAL

Standards, Procedures and Guidelines
For Electronic Filing with the
Canadian Securities Administrators

VERSION 2.0

November 1, 1996

TABLE OF CONTENTS

                                                                                          PAGE NO.

PREFACE

1 ABOUT THIS MANUAL

1.1 Guide to Organization/Use of Manual 3
1.2 How to get copies of the Manual 4
1.3 Plans for Issuing Manual Updates 4
1.4 The National Instrument 5

2 OVERVIEW OF THE ELECTRONIC FILING SYSTEM

2.1 Introduction 6
2.2 Role of the Filing Service Contractor 6
2.3 Structure and Operation of The SEDAR System 6
2.4 Changes in the Filing Process for New Electronic Filers 7
2.5 When Electronic Filings Become Accessible to the Public 8
2.6 When Filer Profiles Become Accessible to the Public 8
2.7 SEDAR Filer Software Modules and Screens 8
(a) Filing Management 8
(b) Profile Management 8
(c) Search Filings 9
(d) Search Profiles 9
(e) Mail Functions 9
(f) User Profile and Defaults 9

3 ELECTRONIC FILERS

3.1 Introduction 10
3.2 Mandated Electronic Filings 10
(a) Documents Listed in Appendix A to the Instrument 10
(b) Other Mandated Electronic Filings 11
3.3 Permitted Electronic Filings 11
3.4 Documents To Be Filed In Paper Only 12
3.5 Foreign Issuer (SEDAR) Election To Become An Electronic Filer 12
(a) Election To Become An Electronic Filer 12
(b) Notice of Discontinuation 13
3.6 Exemption for Pre-Existing Documents 13
3.7 Hardship Exemptions 13
(a) Temporary Hardship Exemption 13
(b) Continuing Hardship Exemption 14

4 FILING SERVICE SUBSCRIBERS

4.1 Introduction 16
4.2 SEDAR Subscriber Fees and Filing Service Charges 16
4.3 Procedures Involved In Becoming A Filing Service Subscriber 17
4.4 Software and Hardware Requirements 19
4.5 Application To Register As A Filing Service Subscriber 20
4.6 Filing Service Subscriber's Agreement 21
4.7 SEDAR Filer Access Codes 22
4.8 Installation of the SEDAR Filer Software 23
4.9 User Information Screen and Access and Banking Authorization Screen 24
(a) Locating The Screens 24
(b) Requirements For Maintaining and Updating Information on the Screens 24
(c) Use of the Information Contained in the Screens 26
4.10 Connecting to the SEDAR Server 27
(a) Dial-up Access 27
(b) Leased Line Access 27
4.11 Connection Problems 27
4.12 Other Services Available to Filing Service Subscribers 28
(a) SEDAR Database Access 28
(b) E-Mail Communications 28
(c) Personalized User Workspace - Send Files and Receive Files 29

5 ELECTRONIC PAYMENT OF CSA FILING FEES AND SEDAR FILING SERVICE CHARGES

5.1 Overview 31
5.2 Required EDI Banking Arrangements 31
5.3 The Electronic Payment Process 32
(a) Calculating CSA Filing Fees and SEDAR Filing Service Charges 33
(b) Payment Authorization by Subscriber 34
(c) Payment Instructions Processed by SEDAR 35
(d) Financial Institution Processing of Electronic Payments 36
(e) Payment Status 36
(f) Multiple Filings 37

6 FILER PROFILES

6.1 Overview of Filing Requirement 38
6.2 Payment of Annual Filing Service Charge 38
6.3 Creation of Filer Profiles 38
(a) Filer Profile 39
(b) Electronic Filer's Profile Number 41
6.4 Amending A Filer Profile 41
(a) General 41
(b) Process of Amending a Filer Profile 41
(c) Effect of Amendments on Profile Number 42
(d) Special Requirements for Certain Amendments 42
(e) Security Concerns 43
6.5 Searching For and Retrieving Filer Profiles 44

7 PREPARATION OF DOCUMENTS FOR ELECTRONIC FILING

7.1 Introduction 46
7.2 Electronic Formatting Requirements 46
(a) Separate Documents 46
(b) Acceptable Electronic Formats 46
(c) General Formatting Requirements 47
(d) Special Requirements For Word Processing Formats 47
(e) Special Requirements For Adobe PDF Format 48
(f) Dealing with Graphics and Images in Electronic Filings 49
(g) Document Naming Conventions 50
(h) Red Ink 51
(i) Signatures In Electronic Filings 51
7.3 Converting Component Text or Material to Acceptable Electronic Format 51
7.4 Converting Entire Documents to Acceptable Electronic Format 52
7.5 Recommendation to Avoid Scanning Documents 52
7.6 Publishing Terms 52

8 ASSEMBLY AND TRANSMISSION OF ELECTRONIC FILINGS

8.1 Introduction 53
8.2 Hours of SEDAR Operation 54
(a) SEDAR Business Hours 54
(b) Filing Outside SEDAR Business Hours 54
(c) Date of Filing 54
(d) Commencement of Time Periods 55
8.3 Assembling a Submission 55
(a) Obtaining the Filer Profile 55
(b) Refreshing and Checking The Filer Profile 55
(c) Selecting The Appropriate Cover Page For a New Filing 56
(d) Projects 56
(e) Creating a New Project 57
(f) Adding to an Existing Project 57
(g) Project Number and Submission Number 59
(h) Completing Cover Page Information for Type of Filing 60
(i) The "List" Feature 61
(j) The "Agencies" Feature 62
(k) The "Fees" Feature 62
(l) Accessing Documents Stored On Disk Drives and the SEDAR Workspace 63
(m) Attaching Documents to the Cover Page 63
(n) Multiple Filings 65
(o) Pre-existing Supporting Documents 65
8.4 Payment of CSA Filing Fees and SEDAR Filing Service Charges 65
8.5 Transmitting a Submission 66
8.6 Transmission Problems 66
(a) Introduction 66
(b) Helpline 67
8.7 Test Filings 67
8.8 Searching Public Filings 67
(a) Building Search Inquiries 68
(b) Downloading and Retrieving Search Results 68
(c) Viewing Downloaded Documents 69

9 SPECIAL REQUIREMENTS FOR CERTAIN ELECTRONIC FILINGS

9.1 Correcting Errors In Electronic Filings 70
(a) Refiling Documents with Typographical Errors 70
(b) Filing Documents Inadvertently Omitted from Earlier Filing 70
9.2 Exemption For Pre-existing Documents 71
9.3 Documents Incorporated by Reference 71
9.4 General Filings and Local Filings 72
9.5 Civil Liability Documents - Certificate of Authentication 73
9.6 Cross-Reference Sheets 74
9.7 Blacklined Documents 74
9.8 Applications or Requests for Exemptive Relief in Respect of a Prospectus 75
9.9 Technical Reports - Oil and Gas Issuers 75
9.10 Simplified Prospectus and Annual Information Form for Several Mutual Funds 75
9.11 Preliminary Prospectus and Pro forma Prospectus 76
(a) Combined Initial Mutual Fund Offering and Continued Mutual Fund Offering 76
(b) Initial Offering in one Jurisdiction and Continued Offering in Another Jurisdiction 76
9.12 Expedited Review Of Short Form Prospectuses And Renewal AIF's 77
9.13 Going Private Transaction Filings and Related Party Transaction Filings 78
9.14 Annual Information Forms, Management's Discussion and Analysis and
Future-Oriented Financial Information, Annual and Interim Reports, Annual and
Interim Financial Statements 78
(a) General 78
(b) Annual Information Forms 79
(c) Annual MD&A 80
(d) Quarterly MD&A 80
(e) Annual Reports 81
(f) Quarterly Reports To Securityholders 81
(g) Financial Statements 81
9.15 Press Releases and Material Change Reports 82
9.16 Documents Previously Sent to Security Holders 83
9.17 Documents Previously Filed with Foreign Agencies and Stock Exchanges 83
9.18 Management Proxy Materials 83
9.19 Notice of Securityholders' Meeting and Record Date 84
9.20 Third Party Filings - Take-over Bid Filings - Duplicate Filing Requirement 84
(a) General 84
(b) Filings by Offeror 84
(c) Filings by Directors or Officers of Offeree 85
(d) Official Document and CSA Filing Fees and SEDAR Filing Service Charges 86
9.21 Third Party Filings - Exempt Take-over Bid Filings 86
9.22 Third Party Filings - Securities Acquisition Filings 87
9.23 Third Party Filings - Proxy Solicitation Materials 87
9.24 Special Transitional Procedures For Shelf Prospectuses and Other Filings 87

10 MANAGEMENT OF ELECTRONIC FILINGS AFTER TRANSMISSION AND CORRESPONDENCE USING SEDAR

10.1 Introduction 88
(a) General 88
(b) Formal Correspondence 88
(c) Informal Correspondence 88
10.2 Status Tracking 89
(a) General 89
(b) Status Details 90
10.3 Correspondence With The Securities Regulatory Authorities 94
(a) Correspondence Within A Project - "Formal Correspondence" 94
(b) Types of Formal Correspondence from Securities Regulatory Authorities 96
(c) Checking for Formal Correspondence from Securities Regulatory Authorities 97
(d) Correspondence outside a Project 97
(e) Pre-Filing Correspondence 97
10.4 Communication between Filing Service Subscribers 98
10.5 Official Copies and Paper Copies 98

APPENDICES

Appendix A: Glossary of Terms and Abbreviations Used
Appendix B: Categories and Types of Electronic Filings
Appendix C: Minimum Hardware and Software Requirements for SEDAR Filings
Appendix D: SEDAR Filing Service Charges
Appendix E: Database Retrieval Service Charges
Appendix F: Mutual Fund Group Profile
Appendix G: Mutual Fund Issuer Profile
Appendix H: Other Issuer Profile
Appendix I: Other Filer Profile
Appendix J: Mutual Funds Cover Page
Appendix K: General Mutual Funds Cover Page
Appendix L: Issuer Cover Page
Appendix M: General Cover Page
Appendix N: SEDAR Forms
SEDAR Form 1 - Application for SEDAR Filing Services
SEDAR Form 2 - Filing Service Subscriber's Agreement
SEDAR Form 3 - Notice of Reliance on Temporary Hardship Exemption
SEDAR Form 4 - Notice of Reliance on Exemption for Pre-Existing Documents
SEDAR Form 5 - Notice of Election by Foreign Issuer (SEDAR)
SEDAR Form 6 - Certificate of Authentication
Appendix O: Canadian Securities Regulatory Authorities - E-Mail and EDI Banking Information