The certification process

certificate

Working through the certification process is both a rewarding and a valuable journey for your team and your business as a whole.

 

Gaining and maintaining certification can be achieved in a series of key stages:

  • Best Practice Certification Programme Proposal
  • Best Practice Training
  • Gap Analysis and Document Review
  • Assessment
  • Quality Review Assessment

 

Best Practice Certification Programme Proposal

Once we have had the opportunity to find out your longer-term plans for your business and your drivers https://ampills.com/ and motivations for embarking on this amazing journey, we will issue you a Best Practice  Certification Programme proposal.

The next step is to complete and sign your proposal acceptance form and/or dedicated eligibility application form.

 

Best Practice Training

To begin your Best Practice Certification Programme we recommend a process of education, which will provide each key person within your team with a fundamental and essential understanding of best practice. This will include but is not limited to:

 

BS 8577:2012 Framework for the provision of financial advice and planning services

  • Management responsibility
  • Objectives and policies
  • Customer relationship management
  • Control of documents and records
  • Recruitment, training, development and ongoing competence
  • Operational management
  • Outsourcing

 

ISO 22222:2005 Personal financial planning – requirements for personal financial planners

  • Financial planning
  • Continual improvement
  • Information security
  • Client confidentiality
  • Ethics
  • Ethical behaviour

 

The training workshop is a one-day event, and we supply each attendee with a best practice workshop manual.  Many clients have found this workshop an invaluable step in establishing an in-depth understanding of national and global standards of best practice, allowing you to move forward confidently through the whole programme.

 

Gap Analysis and Document Review

The Gap Analysis and Document Review involves a full appraisal of your processes, procedures and supporting documentation, to measure these against the requirements of the standards. Conducted by one of our independent assessors and performed through a combination of interviews and detailed document analysis, we will identify and establish whether your written policies, procedures and supporting documentation meet the requirements of the standards and will provide a full report of our findings, with a clear indication of any “gaps” identified. The Gap Analysis reports will provide key people in your business with a deeper understanding of the strengths and weaknesses within your existing operational framework and your personal financial planning processes. Once completed, this process will furnish you with the necessary awareness of any changes or improvements needed to meet the requirements of the standards prior to assessment.

Assessment

The assessment is the final stage  in year one of your certification order zovirax online journey. It will include an official assessment of your operational framework and supporting documents and will be conducted by one of our independent assessors. The process ensures that the standards have been effectively implemented and embedded within the business. The assessment will also confirm that your operational framework and personal financial planning processes have been included in a planned and systematic programme of continual improvement, thus demonstrating evidence of conformity.

 

On completion of the assessment, your assessor will establish whether the company and its associated persons meet the requirements of the standards and, if they do, will recommend certification.

 

Click here to meet our assessment team.

 

Quality Review Assessment

Once you have been awarded certification to the relevant standards, we will commence the implementation of your quality review assessment programme. Conducted by one of our independent assessors on an annual basis, the quality review assessment will review and confirm that the approved operational framework and personal financial planning processes continue to be in operation, maintained and delivered in line with the requirements of the standards. On completion of your quality review assessment, your assessor will establish whether you or your company and its associated persons meet the requirements of the standards and, if they do, will recommend continued certification.

 

Certification – assessment findings

During all of the above stages, your assessor will be reviewing your conformity to the standards based on the findings detailed below.

 

Compliant (C): Evidence of conformity to the requirements of the standard(s) has been shown; therefore no further corrective action is required.

 

Opportunity for Improvement (OBS): A finding that requires improvement or correction, but is not indicative of a framework, system, process or deliverable failure or weakness; or is of insufficient concern or potential impact to merit root cause analysis or corrective action.

 

Minor Nonconformity (MiNC): A weakness in an internal-facing process or procedure; or a finding where any further deterioration of control could reasonably be considered likely to result in the framework, system(s) and processes becoming ineffective. This finding requires root cause analysis and corrective action. Evidence confirming root cause analysis and corrective action must be submitted for reassessment within three months of the assessment date.

 

Major Nonconformity (MaNC): A failure impacting on the effectiveness of the framework, system(s), processes and deliverables which puts at risk the capability of the management system. This finding requires immediate containment, root cause analysis and corrective action. Your assessor and dedicated scheme administrator will make the necessary arrangements with you for follow-up.