Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Is there documentation that clearly establishes individual roles and responsibilities?

Is there an initial training plan for new members of staff?

Recruitment summary status report for this period

Use this section to summarise current status, required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.

Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Does each member of staff have a training plan for the forthcoming year, with time scheduled in advance for training events?

Does each adviser undertake an annual knowledge tests for mortgages, firm procedures and regulatory tests?

Is each adviser encouraged to obtain higher qualifications and improve their knowledge and skills?

Do you ever discuss complex cases as a training exercise?

Do you use a variety of training and assessment methods for developing competence, such as:
- sitting a relevant mock exam
- product and market training
- mock sales interviews?

Does the firm ensure that appropriate examinations get taken and passed within a reasonable timescale?

Is there a process to regularly evaluate the effectiveness of training?

Training & Competence summary status report for this period

Use this section to summarise required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.

Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Do you having clear procedures to ensure supervisors are properly trained and competent?

Do you have clear criteria and procedures for assessing competence of advisers?

Do you have measurable benchmarks for the development of non-competent staff to competence and clear timescales for this to happen?

Do you regularly test staff knowledge and following-up weaknesses?

Do you record observations or development points and following these up where appropriate?

Do you reassess staff competence regularly and using the results to influence the level of supervision?

Supervision summary status report for this period

Use this section to summarise required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.

Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Is there documentation that clearly establishes individual roles and responsibilities?

Is there an initial training plan for new members of staff?

Recruitment summary status report for this period

Use this section to summarise current status, required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.

Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Does each member of staff have a training plan for the forthcoming year, with time scheduled in advance for training events?

Does each adviser undertake an annual knowledge tests for mortgages, firm procedures and regulatory tests?

Is each adviser encouraged to obtain higher qualifications and improve their knowledge and skills?

Do you ever discuss complex cases as a training exercise?

Do you use a variety of training and assessment methods for developing competence, such as:
- sitting a relevant mock exam
- product and market training
- mock sales interviews?

Does the firm ensure that appropriate examinations get taken and passed within a reasonable timescale?

Is there a process to regularly evaluate the effectiveness of training?

Training & Competence summary status report for this period

Use this section to summarise required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.

Review date:

Advertising and promotional material self audit

Yes*/No/Not sure and/or comment

Action by

Next review

Do you having clear procedures to ensure supervisors are properly trained and competent?

Do you have clear criteria and procedures for assessing competence of advisers?

Do you have measurable benchmarks for the development of non-competent staff to competence and clear timescales for this to happen?

Do you regularly test staff knowledge and following-up weaknesses?

Do you record observations or development points and following these up where appropriate?

Do you reassess staff competence regularly and using the results to influence the level of supervision?

Supervision summary status report for this period

Use this section to summarise required actions, deadlines and next review date. For larger firms this part of the report could be used as part of your regular TCF MI reports to senior management. For smaller firms it will form part of your qualitative MI. *Remember, where you answer 'Yes' you'll need to provide evidence if asked.