POLICY ON COMPULSORY PROFESSIONAL DEVELOPMENT ACTIVITIES
|
|
- Marybeth Joseph
- 6 years ago
- Views:
Transcription
1 POLICY ON COMPULSORY PROFESSIONAL DEVELOPMENT ACTIVITIES Updated on December 15t h, 2017
2
3 TABLE OF CONTENTS SECTION I GENERAL INFORMATION Definitions Introduction Roles of the persons involved Chambre de la sécurité financière Providers Trainers Chambre members... 8 SECTION II RECOGNITION OF TRAINING ACTIVITIES Principles and criteria for recognizing a training activity Principles of recognition Criteria for recognition Subjects recognized Types of training activities recognized Training activities pertaining to products Distance training activities Formalities for recognizing a training activity Duration of a training activity Period of recognition When to submit an application for recognition Applying for recognition of an activity Fees for an application for recognition The Chambre s analysis of the application for recognition The Chambre s refusal to recognize a training activity Using the Chambre s logo Modifying a training activity Modification criteria Formalities for modifying a recognized training activity Fees for an application to modify Analyzing the application to modify The Chambre s refusal to accept a modification SECTION III RULES ON TRAINERS Responsibilities of the provider for trainers Competencies of the trainer Probity of trainers SECTION IV RULES ON HOLDING TRAINING ACTIVITIES Rules on participation and attendance Rules on participation Controls Keeping and submitting the attendance lists Issuing and delivering certificates of attendance Rules on advertising... 22
4 SECTION V EVALUATING THE QUALITY OF TRAINING ACTIVITIES SECTION VI NON-COMPLIANCE WITH THE POLICY Non-compliance with the Policy Complaint against a provider or a trainer Filing a complaint The Chambre s investigation The Chambre s decision Sanctions APPENDIX 1: APPLICATION FOR RECOGNITION OF A PROFESSIONAL DEVELOPMENT ACTIVITY... 1 APPENDIX 1A: DUTIES AND OBLIGATIONS OF THE PROVIDER... 9 APPENDIX 1B: EXEMPLE OF A TRAINING PLAN APPENDIX 1C: CREDIT CARD AUTHORIZATION QUEBEC APPENDIX 1D: CREDIT CARD AUTHORIZATION - ONTARIO APPENDIX 1E: CREDIT CARD AUTHORIZATION - MANITOBA APPENDIX 1F : CREDIT CARD AUTHORIZATION - IQPF APPENDIX 2: APPLICATION FOR PERMISSION TO USE THE CHAMBRE S LOGO... 1 APPENDIX 3: APPLICATION TO MODIFY A PROFESSIONAL DEVELOPMENT ACTIVITY 1 APPENDIX 3B: EXEMPLE OF A TRAINING PLAN... 8 APPENDIX 3C: CREDIT CARD AUTHORIZATION QUEBEC APPENDIX 3D: CREDIT CARD AUTHORIZATION - ONTARIO APPENDIX 3E: CREDIT CARD AUTHORIZATION - MANITOBA APPENDIX 4: FEES... 1 APPENDIX 5: EXAMPLE OF AN ATTENDANCE LIST... 1 APPENDIX 6: EXAMPLE OF A CERTIFICATE OF ATTENDANCE... 1
5 SECTION I GENERAL INFORMATION 1.1 Definitions ATTENDANCE LIST: List kept by the trainer, the training organization, the educational institution or the business that establishes attendance at a training activity. CERTIFICATE OF ATTENDANCE: Document issued by the provider certifying that a Chambre member participated in a training activity. CHAMBRE: The Chambre de la sécurité financière. CONFERENCE: Public oral presentation to inform participants about a specific theme. CONVENTION: Meeting of a large number of people brought together to deliberate on one or more given subjects. COURSE: Recognized teaching and learning activity that is defined by a study program intended to achieve objectives and is given on one or more days. The course is structured and is given according to an approach based on competencies or learning objectives. DISTANCE TRAINING: Training that is done through one or several means such as the computer (Intranet, Internet, CD-ROM), teletraining assisted by a trainer, correspondence courses, virtual university, etc. EDUCATIONAL INSTITUTION: Any educational institution recognized by the Ministère de l Éducation, du Loisir et du Sport du Québec (MELS) that offers customized or workplace training. LEARNING: The goal of learning is to use a specific theme in order to achieve a determined learning objective. LEARNING OBJECTIVES: Objectives that specify the knowledge and competencies a participant should have acquired at the end of a training activity. A training activity must include at least one general objective and at least 3 specific objectives. PERSON RESPONSIBLE: Person acting for the provider who is deemed to apply for recognition of the training activity on its behalf. This person replies to the Chambre's questions and, where applicable, sends it additional information within the scope of the training activity recognition process. POLICY: The Policy on Compulsory Professional Development Activities. PROFESSIONAL DEVELOPMENT: Set of continuing education activities that enable a member to keep his knowledge up-to-date and to develop professional skills in order to serve the public competently. PROFESSIONAL DEVELOPMENT ACTIVITY: Training activity recognized by the Chambre de la sécurité financière to maintain, deepen or update the knowledge, competencies and skills related to the pursuit of its members professional activities. CA
6 PROFESSIONAL DEVELOPMENT UNIT (PDU): The quantitative value allocated to a training activity recognized by the Chambre, a PDU representing one hour of recognized training activity. PROVIDER: A trainer, a training organization, an educational institution recognized by the Ministère de l Éducation, du Loisir et du Sport du Québec (MELS) or a financial services business that wants to have a training activity recognized by the Chambre. QUALIFYING TRAINING: Training offered within a structured learning process that enables a professional to master the competencies required to perform his functions. RECOGNITION OF TRAINING ACTIVITIES: Recognition process by which the Chambre analyzes and approves training activities whose content pertains to the subjects mentioned in the Regulation respecting compulsory professional development. REFERENCE PERIOD: A two-year period starting on December 1 st of an odd-numbered year during which a representative must have accumulated at least 30 PDUs under the Regulation of the Chambre de la sécurité financière respecting compulsory professional development. REGULATION: The Regulation of the Chambre de la sécurité financière respecting compulsory professional development adopted pursuant to sections and 312 of the Act respecting the distribution of financial products and services. SUMMARY EVALUATION: Evaluation carried out at the end of a training activity or a study program to assess the level of knowledge, competencies and skills acquired by a participant and to determine if the latter successfully completed the activity or course. SYMPOSIUM: Meeting of professionals, generally composed of several conferences, where participants present, discuss and debate ideas and opinions on a given theme. TRAINER: Person whose role is to facilitate, guide and advise a representative during his training process. The trainer designs, organizes or facilitates training activities. TRAINING EVALUATION: An analysis of training activities to determine the results achieved as well as the effectiveness and quality of the teaching methods used. TRAINING PLAN: The training plan details the topics and sub-topics addressed, as well as the time allotted to each, as they relate to the training objectives. TRANSFERABLE TRAINING: Training offered within a structured learning process that enables a professional to master the competencies that will be recognized in other workplaces related to the financial services sector. VIDEOCONFERENCE: Teleconference that enables participants to hear and see each other using cameras and screens installed to capture, transmit and reproduce images. WEBINAR: Multimedia interactive seminar, accessible on-line by registering, that brings professionals together and may be followed, whether or not in real time, over the Internet, in order to perfect knowledge on specific subjects. WORKSHOP: Activity facilitated by a trainer during which a group of individuals collectively explore a subject in order to learn. CA
7 1.2 Introduction Professional development ensures that professional competencies are maintained and developed, thereby contributing to the mission of the Chambre de la sécurité financière ( the Chambre ) which is to protect the public. Compulsory professional development enables the Chambre s members to acquire, maintain, update, improve and deepen the knowledge, competencies and skills related to the pursuit of their professional activities. This Policy was adopted pursuant to the Regulation of the Chambre de la sécurité financière respecting compulsory professional development (the Regulation ). It sets out the Chambre's expectations with respect to providers and trainers concerning the recognition and holding of training activities. In addition to serving as a guide for implementing the Regulation, the Policy specifies the role and responsibilities of the various persons involved the different steps in obtaining recognition of a training activity or a trainer, and the different rules and controls to be respected. 1.3 Roles of the persons involved Chambre de la sécurité financière The Chambre applies the Regulation and ensures compliance by members, providers and trainers. It recognizes training activities in accordance with the criteria established by the Regulation and this Policy. It ensures quality training, in particular, by using surveys or verifications to evaluate the training offered Providers The provider carries out the formalities required for the Chambre to recognize a training activity. The provider is responsible for the trainer or trainers and the training activities it has had recognized. Therefore, it must ensure that the training activities respect regulatory requirements and meet the members' needs. It also ensures that the rules on holding training activities are respected, including monitoring attendance and delivering certificates of attendance. A provider undertakes to respect the duties and obligations contained in the Policy when it files an application to recognize an activity Trainers The trainer organizes and facilitates the training activities. He delivers services professionally by ensuring he possesses the competencies and knowledge required for each training given. He provides a quality training activity that complies with the objectives in the training plan recognized by the Chambre. He uses the controls supplied by the provider to monitor attendance, in accordance with the Policy. CA
8 1.3.4 Chambre members Chambre members must respect the obligations in the Regulation and complete training activities to improve their knowledge and competencies. Members are responsible for their professional development and managing their PDUs. Consequently, they must: ensure that the training activities they complete are recognized by the Chambre; ensure they accumulate the number of professional development units (PDUs) required per regulatory period; ensure that they have sufficient PDUs in each subject according to the regulatory requirements. Members must respect the rules on participation and attendance to obtain PDUs. They must keep proofs of attendance for the period provided for by Regulation. CA
9 SECTION II RECOGNITION OF TRAINING ACTIVITIES 2.1 Principles and criteria for recognizing a training activity Professional development is a permanent learning process that supplements the training required to enter the profession. It includes any structured activity based on acquiring, deepening or updating knowledge and developing skills intended to maintain and improve: The competency and professionalism of the Chambre s members; The expertise and advisory role of the Chambre s members; The practices of the Chambre s members Principles of recognition More specifically and as required in section 18 of the Regulation, a training activity must enable the following professional knowledge, competencies and skills to be developed: 1 Acquisition and betterment of an integrated approach to the pursuit of the activities for which the representatives hold an authorization to practise; 2 Acquisition and application of knowledge and analysis methods specific to the activities of representatives; 3 Acquisition, comprehension and application of theoretical and technical knowledge in subjects pertaining to compliance with standards, ethics and business conduct. To be recognized, a training activity must be structured for learning, i.e. it must have a pedagogical value. It must be qualifying and transferable to the workplace and cover one or more of the subjects recognized by the Chambre, as provided for in sections 3 and 4 of the Regulation and listed in section of the Policy Criteria for recognition The Chambre will examine the following elements when analyzing an application for recognition of a training activity: 1- The full description of the activity; 2- The link between the activity and the representative s professional practice; 3- The link between the activity and the subjects recognized under sections 3 and 4 of the Regulation, as listed in section 2.1.3; 4- The link between the activity and the development of professional knowledge, competencies and skills required by section 18 of the Regulation, as listed in section 2.1.1; 5- The link between the subjects and the objectives stated in the training plan; 6- The activity s pedagogical framework; 7- The qualifications of the trainer or trainers that are relevant to the training activity; 8- The quality of the application for recognition and the required documentation; 9- The controls (attendance and evaluation) implemented by the provider. CA
10 Although the Chambre analyzes the link between the subjects and the objectives in the training plan, it does not validate the content as such. Therefore, the Chambre does not verify either the veracity or the accuracy of the training activity s content. It is the provider s responsibility to ensure the training activity s content. Lastly, the provider must have satisfied all the formalities required by the Policy and paid the fees in order for a training activity to be recognized. The Chambre automatically recognizes, at no cost, courses taken within the scope of an educational program offered by an educational institution recognized by MELS, such as a bachelor s degree, university certificate, college diploma or college certificate, provided these courses fall within the subjects listed in section Subjects recognized In accordance with sections 3 and 4 of the Regulation, the Chambre will recognize a professional development activity and grant PDUs for an activity on one or more of the subjects listed below: GENERAL SUBJECTS: Management of a financial services firm Civil Code Accounting Economics Finance Business planning for clients Business planning for representatives Financial planning Tax planning Actuarial sciences Legislative environment Intestate and testamentary successions IN TOPICS SPECIFIC TO EACH SECTOR OR REGISTRATION CATEGORY: Insurance of persons: Client counselling Underwriting or risk management Disability insurance Life insurance Trusts Risk management in insurance of persons Underwriting in insurance of persons Accident or health insurance plans Segregated funds Strategy of wealth accumulation and use Financial needs analysis Deferred income plans Investor profile and asset allocation Investment strategy Retirement and estate planning CA
11 Group insurance of persons: Client counselling Underwriting or risk management Disability insurance Life insurance Group insurance and group pension plans Benefits and underwriting in group insurance and group annuity plans Setting up a group insurance and group annuity program Preparing a rate schedule and analyzing group insurance and group annuity quotes Preparing a group insurance and group annuity recommendation Public and private plans Processing group insurance claims Group savings plan brokerage: Client counselling Underwriting or risk management Retirement and estate planning Trusts Strategy of wealth accumulation and use Scholarship plans brokerage: Client counselling Underwriting or risk management Investor profile Knowing the client Deferred income plans Mutual funds Investor profile and asset allocation Investment strategy Knowing the client Registered plans Strategy of wealth accumulation and use Scholarship plans IN COMPLIANCE WITH STANDARDS, ETHICS AND BUSINESS CONDUCT Here is a non-exhaustive list, for informational purposes only, of subjects that can be placed in this category: Notions of ethics, code of conduct and professional ethics Code of ethics of the Chambre/ Regulation respecting the rules of ethics in the securities sector Disciplinary committee's jurisprudence Role of the syndic and investigation process Role of the disciplinary committee and disciplinary process Compliance notions and programs Legal and regulatory obligations of registrants Legal and regulatory obligations of representatives Laws and regulations concerning the practice of registrants and representatives Any structured training activity aiming to improve expertise in matters related to laws, regulations and professional ethics in matters of insurance of persons, group insurance of persons, group savings plan brokerage or scholarship plan brokerage may be recognized in this category. CA
12 2.1.4 Types of training activities recognized The Chambre will recognize in-class training activities, such as lectures, workshops, training given at a convention, symposium or a seminar, as well as distance training activities such as on-line courses, videoconferences or webinars. The Chambre will not recognize training activities that have little or no pedagogical content, for example, activities to motivate sales, cocktails, attendance at events or meetings, or participation in a committee, a council or a study group. Despite the preceding, and in accordance with the terms and conditions in the Guide d attribution et de gestion des UFC, a representative who participates as a member of the Chambre s disciplinary committee or who writes and publishes articles or books, or designs a course may be entitled to PDUs. In addition, a trainer is entitled to double the PDUs for the training activity given. The PDUs are awarded once per reference period, regardless of the number of times the trainer gives the training Training activities pertaining to products The Chambre may recognize and grant PDUs for any training activity pertaining to financial products related specifically to the sectors provided for by Regulation. However, the Chambre will not grant any PDUs for training activities on selling or promoting a product. These activities have to deal with advantages and disadvantages of the product, the technical aspects of it, the characteristics or even its composition. The main objective of these training is to enable the representative to learn more about the product he offers to his client to comply with the rules in the Code of Ethics of the Chambre and / or Regulation respecting the rules of ethics in the securities sector. The recognition of these training activities is related to the mission of the Chambre which is protecting the public. If a training activity related to a product also refers to the sale or promotion of that product, the Chambre will only grant PDUs for that portion of the activity dealing with the product as such Distance training activities Distance training must include a summary evaluation and a final mark in order to be recognized. A minimum mark of 60% is required to successfully complete the training activity. The application for recognition must describe the training activity s evaluation method. 2.2 Formalities for recognizing a training activity Duration of a training activity The Chambre will recognize a training activity that lasts a minimum of one hour. No fraction of a PDU is permitted. Time taken for meals is not counted as part of the activity. CA
13 2.2.2 Period of recognition A training activity is recognized for 24 months as of the date the activity is given for the first time. A one-time training activity (for example: convention, forum, etc.) is only recognized for the one time it is held. When the recognition period ends, the provider must submit a new application for recognition if it intends to offer the training activity again When to submit an application for recognition A member may only earn PDUs for an activity for which an application for recognition has been submitted. The provider or representative should preferably submit the application for recognition of a training activity before the training activity takes place. However, an application for recognition may be submitted up to six months after the training activity has taken place, as long as the application is submitted before the end of the reference period. The provider assumes the risk that the Chambre may refuse an application for recognition submitted after the training activity has been held. In addition, the provider may not indicate, in advertising or elsewhere, that the activity has been recognized by the Chambre, grant it a number of PDUs or remit a certificate of attendance to participants as long as the Chambre has not recognized the activity Applying for recognition of an activity The provider must complete an application form for recognition of an activity, reproduced in Appendix 1 and available on the Chambre s website. The provider must supply all the information requested. This information must be as precise and detailed as possible to facilitate the processing of the application for recognition. An application for recognition includes general information on the provider, the trainer or trainers and the activity, as well as a full description of the activity. Information about the provider: The provider s name and contact information; The type of organization; The name and contact information of the person responsible, i.e. the person whom the Chambre may contact for any question or request for additional information concerning the application for recognition. Information about the trainer: The name of the trainer or trainers responsible for giving the activity; The curriculum vitae of the trainer or trainers; A brief description of each trainer s experience and knowledge and how it qualifies them to give the training. CA
14 The provider must indicate on the form if the trainer has not yet been determined when the application for recognition is submitted. However, it must send the information on the trainer to the Chambre no later than 10 days before the activity is held, failing which the PDUs accumulated during the activity will not be granted. If the Chambre judges that the trainer selected by the provider does not have the knowledge required to give the training activity, it may refuse, or withdraw, recognition of the activity. Information about the activity: The activity s title and a brief description describing the subjects addressed and the objectives; The subjects listed under section that will be addressed; The date on which the activity will be offered for the first time. This date will be used to calculate the activity s period of recognition; The expected duration of the activity, i.e. the number of hours it will last excluding meal times; The number of PDUs requested for the activity; The activity s level of difficulty, i.e. beginner, intermediate or advanced; The type of training activity (course, distance training, seminar, workshop, presentation, etc.); Whether the activity is open to the public or strictly in-house; The target market (representatives in insurance of persons, representatives in group insurance of persons, mutual fund dealer representatives, scholarship plan dealer representatives); The regions in which the provider expects to hold the training activity. Detailed description of the activity: The professional knowledge, competencies and skills mentioned in section that the training will develop as well as how the activity will enable said knowledge, competencies and skills to be developed; The activity s general objective as well as at least 3 specific objectives. The objectives specify the knowledge and competencies the participant should have acquired at the end of the training activity. These objectives must be clearly stated and be measurable. They are generally described using an action verb that describes measurable behaviour (Example: At the end of the activity, the participant will be able to explain and apply the rules on cancelling contracts for the insurance of persons); The learning methods (presentation, workshop, practical exercises, case studies, group discussion, etc.); The method used to evaluate successful completion of the activity, if it is distance training; A description of the pedagogical material that will be used during the activity (handouts, exercise books, PowerPoint presentation, etc.); The training plan detailing the topics and sub-topics addressed with the time allocated to each and the objectives corresponding to each topic. CA
15 2.2.5 Fees for an application for recognition The application for recognition must be accompanied by the basic fees provided for in the Règlement sur les frais exigibles de la Chambre de la sécurité financière, as reproduced in section 1 of Appendix 4. The basic fees are for opening the file and analyzing the application. These fees are non-refundable if the Chambre refuses to recognize the activity. When the application for recognition is accepted and the number of PDUs determined, the Chambre will invoice, where applicable, additional fees for each training activity worth more than five (5) PDUs. Thus, the additional fees provided for in section 2 of Appendix 4 apply to each recognized training hour for an activity that exceeds five (5) PDUs. The Chambre will invoice the provider for these fees once the activity has been recognized The Chambre s analysis of the application for recognition All applications for recognition are analyzed according to a standard procedure using an evaluation grid based on the criteria listed in section Applications must be complete. An incomplete application will be returned to the sender. The Chambre will take reasonable steps to render a decision to recognize or refuse any regular, complete application for a training activity within 10 working days as of the date the application is received at its offices. However, this period does not apply to applications for recognition concerning conventions, university courses, PDUs for writing, teaching and designing courses, or for training activities worth more than 10 PDUs. The person responsible who applies for recognition of a training activity must reply to any request for additional information within 20 days, failing which the application will be withdrawn. The provider must then submit a new application and pay the basic fees again. Once a training activity is recognized, it will be given a recognition number The Chambre s refusal to recognize a training activity If, after analyzing an application for recognition, the Chambre intends to refuse the application, grant it fewer PDUs than requested, or in another subject, it will give written notice thereof to the provider s person responsible. The Chambre will also inform the person that they may submit written observations within 15 days of receiving the notice of refusal. The Chambre may maintain or modify its decision after examining the applicant s observations. It will forward its decision to the applicant. This decision is final. CA
16 2.2.8 Using the Chambre s logo The Chambre owns a logo derived from its official trademark. This logo confirms that a training activity has been recognized: After a training activity has been recognized, the symbol, indicating the number of PDUs corresponding to the recognized training activity, may be used. For example, a training activity worth 8 PDUs would be represented as follows: The provider may use this symbol on certificates of attendance, as well as in advertisements or promotions for the recognized training activity, for as long as the training activity is recognized. To use the logo, the provider must complete Appendix 2 and submit it with the application for recognition. 2.3 Modifying a training activity Modification criteria The person responsible for a recognized training activity must submit any modification to the training activity to the Chambre. A modification concerns: The activity s description, its duration, its number of PDUs, its content (subjects addressed, objectives, etc.) as well as its evaluation method, if applicable; The addition or replacement of a trainer Formalities for modifying a recognized training activity An application to modify a training activity must be submitted to the Chambre before the activity is held again. However, where justified by the circumstances, the application may be submitted after the activity has been held as long as it is done as soon as possible. The provider must complete and forward an application to modify a training activity to the Chambre, as provided for in Appendix 3 and available on the Chambre s website Fees for an application to modify Fees are payable when an application to modify a training activity requires that the Chambre completely re-analyze the application. This is the case, for example, where the content or duration is changed. However, no fee is payable where the modification requires little to no analysis, such as adding or replacing a trainer. CA
17 The fees for an application to modify are set out in the Règlement sur les frais exigibles de la Chambre de la sécurité financière, reproduced in section 4 of Appendix Analyzing the application to modify The Chambre may maintain or cancel recognition of the training activity, or increase or decrease the number of PDUs granted to the training activity The Chambre s refusal to accept a modification If, after analyzing an application to modify, the Chambre intends to refuse it, it will give written notice thereof to the applicant. The Chambre will also inform the person that they may submit written observations within 15 days of receiving the notice of refusal. The Chambre may maintain or modify its decision after examining the observations of the person who applied to modify the activity. It will forward its decision to the applicant. This decision is final. CA
18 SECTION III RULES ON TRAINERS 3.1 Responsibilities of the provider for trainers Each provider is responsible for the trainers that give the training activities it has had recognized by the Chambre. Thus, the provider must ensure that the trainer: Possesses the knowledge and competencies required to give the training activity; Delivers quality training that complies with the detailed description of the activity and the training plan submitted to the Chambre; Respects the rules on participation and attendance and only delivers certificates of attendance at the end of the activity to participants who have respected the rules on participation. The provider must implement controls to ensure each of its trainers respect the abovementioned obligations. It must intervene with the trainer as soon as it learns that an obligation has been breached and, depending on the case, ensure that the situation is rectified or the trainer replaced. A provider that does not adequately carry out its responsibilities respecting trainers may be liable to sanctions, including the withdrawal of the training activity s recognition. 3.2 Competencies of the trainer To ensure the quality of training activities, the trainer who delivers it must: 1- Possess the knowledge required to give the training activity mentioned in the application for recognition; 2- Be capable of transferring said knowledge. The first criterion refers to the trainer s experience and knowledge regarding the subject of the training activity, which the trainer must master. In addition, the trainer must not forget that training activities serve to, in particular, update representatives knowledge. Accordingly, the trainer himself must be aware of new products, standards, practices, legal and regulatory provisions, etc. As to the second criterion, transferring knowledge, the Chambre expects the trainer to be able to, in particular: Adequately organize and prepare the training activity; Communicate with a group and do so in language that is clear and comprehensible for the participants; Lead a group; Simplify and adapt the pedagogical approach according to the participants characteristics; Make connections between the stated notions and the representatives practise of their profession; Answer participants questions; Respond to participants expectations and needs. CA
19 3.3 Probity of trainers A trainer must have the necessary probity to give training activities to the Chambre s members. The Chambre reserves the right to verify a trainer s probity of its own initiative or following information received about that trainer. The provider does not have to verify the trainer s prior disciplinary, criminal or other records, but, as soon as it learns that a decision has been rendered under the following paragraph, it must disclose this fact to the Chambre. Based on the seriousness of the accusations, the Chambre may rule on a trainer s probity where a trainer: Has been found guilty by the disciplinary committee of the Chambre or of another self-regulatory organization or by the disciplinary board of a professional order; Has had a decision rendered against him or a sanction imposed on him by the Bureau de décision et de révision or the Autorité des marchés financiers; Has been found guilty of, or pleaded guilty to a violation or a penal or criminal act relating to his professional activities; Has had a decision rendered against him by a civil court holding him liable in a matter relating to his professional activities. The Chambre will notify the provider in writing if it considers that the person does not have the necessary probity to act as a trainer. Henceforth, the trainer may no longer give any training activity. A provider that wishes to maintain the training activity must submit an application to modify the activity and forward all the required information on the new trainer within 30 days of having received the Chambre s letter, unless it had declared more than one trainer for the activity. If the Chambre does not receive an application to modify within the prescribed time, it will withdraw recognition for the activity given by the trainer mentioned in its decision. CA
20 SECTION IV RULES ON HOLDING TRAINING ACTIVITIES 4.1 Rules on participation and attendance Rules on participation Participants are required to attend the whole training activity. However, a maximum absence of 5 minutes will be tolerated for a training activity of 1 PDU. A maximum absence of 15 minutes will be tolerated for a training activity of more than 1 PDU. A participant who has been absent longer than the permitted time is not entitled to any PDUs for the activity, regardless of its duration. Cell phones must be turned off throughout the training activity. Moreover, any conduct suggesting that a representative is not participating in the training activity in progress (e.g.: working on files, reading the newspaper, using a cell phone, surfing the web) may prevent a participant from obtaining the PDUs Controls The provider is responsible for implementing controls to monitor attendance in compliance with the participation rules. It must ensure that the trainer adequately applies these controls. To assist the latter, the provider may supply a person responsible for monitoring attendance. The Chambre may at any time verify that the provider is implementing controls. The trainer must ensure that participants are not absent from the activity for more than the permitted time. Thus, if the 5 or 15 minutes, depending on the case, have been exceeded, the trainer must inform the participant that he may return to the class, but that no PDUs will be granted because he was not present for the time required during the training activity. If a participant is present, but his conduct suggests that he is not participating in the training activity, the trainer must inform the participant that his conduct must stop immediately, failing which he may not obtain the PDUs. If the participant s conduct continues despite the warning, the trainer must notify him that he will not receive any PDUs. The trainer shall indicate the people on the attendance list who did not respect the participation rules and who will not receive PDUs. The trainer may delegate his obligations to implement controls to a person responsible for attendance Keeping and submitting the attendance lists The provider must keep an attendance list for each training activity. It may decide to forward or not forward the list to the Chambre. CA
21 The provider must send the attendance list to the Chambre if it wants it to enter the PDUs of members who participated in the activity. The Chambre will then invoice it the fees provided for in the Règlement sur les frais exigibles de la Chambre de la sécurité financière, reproduced in section 5 of Appendix 4. The provider does not have to send the Chambre the attendance list for an activity where the provider itself will enter the PDUs in the Chambre s computer system, or where it has notified the participants in a training activity that they themselves must enter the PDUs in their record. The attendance list kept by the provider must indicate: The provider's name; The title of the training activity; The activity's recognition number; The date on which the activity was held; The trainer's name; The number of PDUs granted; The participants names; The participants' certificate numbers; The participants' signature, where applicable (the signature is not mandatory, but participants who do not sign if required by the provider will not obtain PDUs); The name and signature of the person who monitored the attendance during the training activity. An example of an attendance list is found in Appendix Issuing and delivering certificates of attendance The provider must, within 30 days of the training activity, deliver a certificate of attendance to each participant who satisfied the rules on participation. If the trainer delivers the certificates of attendance during the training activity, he must do so at the end of the training activity. A certificate of attendance issued by the provider must contain: The participant's name; The participant's certificate number; The provider's name; The title of the training activity; The activity's recognition number; The date on which the activity was held; The trainer's name; The number of PDUs attributed to the training activity; The subject or subjects covered in the activity; The name and signature of the person who monitored attendance during the training activity. An example of a certificate of attendance is found in Appendix 6. CA
22 4.2 Rules on advertising A provider who intends to advertise in order to promote a training activity may not, in any manner whatsoever, engage in or allow false, deceptive, or misleading advertising about the training activities it offers. A provider may not, in particular, mention or suggest in its advertising that the Chambre has validated or approved the training activity s content. A provider may, in its advertising, indicate that the training activity is recognized, as long as the Chambre has recognized that activity and given the provider the right to use the PDU logo. CA
23 SECTION V EVALUATING THE QUALITY OF TRAINING ACTIVITIES The Chambre will verify the quality of training activities by sending an evaluation questionnaire to each representative that has, according to its records, taken the activity. The objective of the evaluation is to know to what extent the training activities recognized by the Chambre are appreciated overall and to enable the Chambre to evaluate the quality of training activities offered to all representatives. The survey will validate whether: The training objectives were achieved; The knowledge was acquired and is transferable to the workplace, The participants expectations were met; The activity respected the application for recognition that was submitted; The trainer possessed the knowledge required to give the training activity; Attendance was monitored. The Chambre will notify the provider when the evaluations gathered regarding a provider, a trainer or a training activity are unsatisfactory. It may ask the provider to immediately rectify the faulty conduct and implement the necessary measures to avoid a recurrence of the situation. The Chambre may also, depending on the circumstances, impose the sanctions provided for in section 6.3 on the provider, after having complied with the procedure provided for in section 6.2. CA
24 SECTION VI NON-COMPLIANCE WITH THE POLICY 6.1 Non-compliance with the Policy Providers and trainers must comply with the rules in this Policy. Failure to comply with the Policy includes, in particular: Providing a training activity whose content or duration does not correspond to that presented in the application for recognition; Providing poor quality training; Allowing a trainer to provide, or continue to provide, training without possessing the required competencies and qualifications; Failing to respect the rules regarding participation in activities and monitoring of activities as well as those regarding advertising. As an example, a training activity is of poor quality if its content is false, inaccurate, incomplete or out-of-date, or if it does not contribute to the acquisition, deepening or updating of the representatives knowledge, competencies or skills, or where the stated objectives cannot be achieved with the pedagogical methods used, etc. 6.2 Complaint against a provider or a trainer Filing a complaint Providers and trainers must respect the rules in this Policy. Any person may file a complaint with the Chambre against a provider or a trainer who contravenes the Regulation or this Policy. The complaint must be in writing and should briefly set out the reasons on which it is based. The Chambre may reject any complaint that is clearly unfounded The Chambre s investigation Upon receiving a complaint, or on its own initiative, the Chambre may inquire into conduct by a provider or a trainer that may contravene the Regulation or this Policy. The Chambre will inform the provider in question about the reasons for the complaint received and the provisions of the Regulation or the Policy the trainer or provider is alleged to have contravened. The Chambre will also notify it of the sanctions that may be imposed. The Chambre will notify the provider that it may, within 15 days, submit written observations and its version of the facts, and, if necessary, file any supporting documents. The Chambre may also request the version of the trainer in question, where applicable. CA
25 6.2.3 The Chambre s decision If the Chambre concludes that the provider or the trainer contravened the Regulation or the Policy, it may, if it involves a minor breach and a first offence, notify the provider and ask it to immediately rectify the faulty conduct or implement the measures required to avoid a recurrence of the situation. However, if it involves a more serious breach or repeat offence, the Chambre will impose the sanctions provided for in section 6.3 according to the circumstances and seriousness of the conduct. The provider is not entitled to a refund of costs incurred for recognition before the Chambre s decision to suspend or revoke recognition. Depending on the circumstances, the Chambre may also decide that no PDUs will be granted to participants in the training activity for which the rules have not been respected. Every decision by the Chambre must be in writing and provide reasons and the provider in question must be notified. The Chambre will notify the complainant in writing about how the complaint was handled. However, this does mean that confidential information can be disclosed. 6.3 Sanctions A provider who does not respect the rules on professional development activities or does not ensure that its trainers respect such rules is liable to one of the following sanctions, depending on the circumstances and seriousness of the breach: Withdrawal of the activity: The provider s training activity loses its recognition and the provider must submit a new application for recognition of that training activity. Withdrawal of all activities: All the provider s training activities lose their recognition and the provider must submit new applications for recognition of all its training activities. Three month suspension: All of the provider s training activities lose their recognition and the provider may not submit any application for recognition during a three-month period. After this suspension period, the provider must submit new applications for recognition of all its training activities. A provider that commits a moderately serious breach is liable at the very minimum to the withdrawal of the activity with respect to which the breach occurred. A moderate breach occurs, for example, where a provider designs and allows a course to be given that promotes or sells a product or where an unqualified trainer is allowed to give a training activity. A provider that commits a very serious breach is liable at the very minimum to the withdrawal of all its recognized training activities. A very serious breach occurs, for example, where a provider has not implemented any supervisory or monitoring measures for trainers or has failed to make the necessary rectifications after having been notified by the Chambre or by participants that a trainer was not complying with the Policy. CA
26 A provider who commits more than three offences within the same reference period may not submit any application for recognition of an activity during the current or subsequent reference period. CA
27 APPENDICES
28
29 APPENDIX 1: APPLICATION FOR RECOGNITION OF A PROFESSIONAL DEVELOPMENT ACTIVITY If the activity has been recognized previously, please indicate the previous number : CSF number : IQPF previous number : IDENTIFICATION OF PROVIDER Name of provider: Address: City: Province: Postal code: Telephone: Ext: Fax: address: Website address: Category of organization: Training organization Company in insurance of persons Independent trainer (individual) Company in group insurance of persons Educational institution recognized by the Mutual fund dealer Ministère de l Éducation, du Loisir et du Sport du Scholarship plans dealer Québec (MELS) (university, CEGEP or others) Firm in financial planning Other (specify): IDENTIFICATION OF RESOURCE PERSON Ms. Mr. First name: Last name: Address (if different from provider): City: Province: Postal code: Telephone: Ext: Fax: address: CA
30 IDENTIFICATION OF TRAINER(S) Complete for each trainer. Name of trainer: Company or organization: Address (if different from provider): City: Province: Postal code: Telephone: Ext: Fax: address: Website address: Curriculum vitae: Attach the trainer s curriculum vitae. For a request to the IQPF : Please indicate if your trainer is a financial planner : Yes No By signing at the end of this Appendix, you confirm that the trainer chosen to deliver the training activity for which you are requesting recognition has: The knowledge The experience required The ability to transmit his knowledge Signature / / day month year OTHERWISE I understand that checking this box constitutes a signature that has legal effect. CA
31 IDENTIFICATION OF THE PROFESSIONAL DEVELOPMENT ACTIVITY Title of the activity: French: English: From which date do you want your training activity to be recognized: / / day month year Your training activity is offered in: French English Bilingual Frequency of training activity: Single Multiple 1 year 2 years Is the training activity offered exclusively to company staff? Yes No Regions where the activity is offered: All Grande-Mauricie Québec Abitibi-Est Haute-Yamaska Richelieu-Longueuil Bas-Saint-Laurent- Lanaudière Rivière-du-Loup Gaspésie-Les-Îles Laurentides Rouyn-Noranda Beauce-Amiante Laval Saguenay-Lac-Saint-Jean Drummond-Arthabaska Manicouagan Sud-Ouest du Québec Duplessis Montréal Estrie Outaouais Is there a subscription fee? If yes, what is the amount? Yes $ No Will your course be recognized by others organizations? Yes No If yes, which one? Brief description of the training activity: Would you like the training activity to appear on the IQPF s website? Yes No If yes, please provide us with a brief description of the activity. If it is bilingual, you must as well send the IQPF a French version. Would you like to post a contact address on the IQPF s website with the description of your course? Yes No If you do, which one? CA
SAI Global Full Service Team
General information regarding elements of the certification process is described below. A degree of flexibility and options in the certification process are available so please feel free to contact us
More informationDISCIPLINARY PROCEDURE
DISCIPLINARY PROCEDURE 1 Policy Applies to Author(s) Approved by Staff Disciplinary, grievance and Whistleblowing policy All staff in college and boarding premises Paul Fear & Alison Baines I certify I
More informationDiscipline Policy and Procedure. Adopted by the Trust Board on 6 December 2016
Discipline Policy and Procedure Adopted by the Trust Board on 6 December 2016 1 P a g e Whole Trust Discipline Policy and Procedure Contents 1. Purpose... 2 2. General Principles... 2 3. Acceptable Behaviour
More informationWHITELEY PRE SCHOOL DISCIPLINARY PROCEDURE. 1.1 The disciplinary procedure applies to all members of staff, volunteers and committee members.
WHITELEY PRE SCHOOL DISCIPLINARY PROCEDURE 1. INTRODUCTION 1.1 The disciplinary procedure applies to all members of staff, volunteers and committee members. 1.2 The procedure will be applied in accordance
More informationDisciplinary Policy & Procedure
Disciplinary Policy & Procedure 1. Purpose and scope 1.1. The purpose of this disciplinary policy is to help and encourage all employees to achieve and maintain required standards of performance and conduct.
More informationWORK PLACEMENT CONTRACT FOR WORK PLACEMENTS, INTERNSHIPS AND GRADUATION ASSIGNMENTS IN THE NETHERLANDS
WORK PLACEMENT CONTRACT FOR WORK PLACEMENTS, INTERNSHIPS AND GRADUATION ASSIGNMENTS IN THE NETHERLANDS pagina 1 van 12 DUTCH WORK PLACEMENT CONTRACT PART 1 This form must be retained at the address where
More informationROSTERS OF JUNIOR AND SENIOR EXPERTS Specifications of the Call for expression of interest
ROSTERS OF JUNIOR AND SENIOR EXPERTS Specifications of the Call for expression of interest 1 1. PURPOSE OF THE CALL FOR EXPRESSION OF INTEREST... 2 1.1. Establishing a list of experts... 2 1.2. Objectives
More informationAuditing of Swedish Enterprises and Organisations
Auditing of Swedish Enterprises and Organisations March 1st 2018 version 2018:1 1 General Application 1.1 These General Terms govern the relationship between the auditor ( the Auditor ) and the client
More informationTERMS OF USE OF THE SERVICE OF MOBILE PAYMENTS FOR PARKING. 2. What is the service of mobile payments for parking?
TERMS OF USE OF THE SERVICE OF MOBILE PAYMENTS FOR PARKING 1. Framework The present Terms of Use set forth the rules which users must follow in order to use the mobile payments for parking service in adherent
More informationDepending on the circumstances, we may collect, store, and use the following categories of personal information about you:
Ignata Group Data Protection / Privacy Notice What is the purpose of this document? Ignata is committed to protecting the privacy and security of your personal information. This privacy notice describes
More informationHuman Resources People and Organisational Development. Disciplinary Procedure Manual Staff
Human Resources People and Organisational Development Disciplinary Procedure Manual Staff December 1998 Revised November 2015 Contents 1. Purpose and Scope... 3 2. General Principles... 3 3. Procedure...
More informationCall for tender for translation services for the Translation Centre Frequently asked questions (FAQs) FL/LEG17
Call for tender for translation services for the Translation Centre Frequently asked questions (FAQs) FL/LEG17 Question no. 1: Could you send us the relevant documents for call for tenders FL/LEG17? Answer
More informationGENERAL TERMS AND CONDITIONS FOR USING THE JUVENTUS eprocurement PORTAL
GENERAL TERMS AND CONDITIONS FOR USING THE JUVENTUS eprocurement PORTAL 1 INTRODUCTION JUVENTUS Football Club S.p.A. (hereinafter "JUVENTUS") is data controller of JUVENTUS eprocurement, an e-business
More informationBy-Law Number 9 Concerning Procurement Contracts for Goods, Services and Construction
By-Law Number 9 Concerning Procurement Contracts for Goods, Services and Construction Approved by the Board of Directors June 26, 2012 Amended by resolution 93-S-2-A March 11, 2014 TABLE OF CONTENTS Article
More informationAn Act respecting the Institut de la statistique du Québec
NATIONAL ASSEMBLY SECOND SESSION THIRTY-FIFTH LEGISLATURE Bill 441 (1998, chapter 44) An Act respecting the Institut de la statistique du Québec Introduced 14 May 1998 Passage in principle 26 May 1998
More informationCompilation Engagements
IFAC Board Final Pronouncement March 2012 International Standard on Related Services ISRS 4410 (Revised), Compilation Engagements The International Auditing and Assurance Standards Board (IAASB) develops
More informationPolicy No: 36. Staff Disciplinary Policy
Policy No: 36. Staff Disciplinary Policy Coordinator Review Frequency Executive Operations Manager Annually Policy First Issued 2014 Last Reviewed Autumn Term 2017 Date policy considered by External HR
More informationSection 22. Scope of section. Accreditation. Eligibility Criteria
Section 22 Accreditation of Audit Firms, Reporting Accountants, Reporting Accountant Specialists and IFRS Advisers to provide accounting and/or advisory services to applicant issuers Scope of section The
More informationPOLICY FOR THE MANAGEMENT OF ABSENCE DUE TO SICKNESS
Directorate of Organisational Development & Workforce POLICY FOR THE MANAGEMENT OF ABSENCE DUE TO SICKNESS Reference: OWP007 Version: 1.0 This version issued: 31/05/12 Result of last review: N/A Date approved
More informationARTICLE 29 DATA PROTECTION WORKING PARTY
ARTICLE 29 DATA PROTECTION WORKING PARTY 17/EN WP 256 Working Document setting up a table with the elements and principles to be found in Binding Corporate Rules (updated) Adopted on 29 November 2017 INTRODUCTION
More informationVolunteer Policy and Contract
Volunteer Policy and Contract 2007 AdvoCard Item 21 1 Contents 1 About Advocacy and Volunteering in AdvoCard p1 2. Good Practice Guidelines i General p2 ii Relationship between Volunteers and Staff p2
More informationEmployee Disciplinary Procedure
Employee Disciplinary Procedure PURPOSE AND SCOPE This procedure is designed to help and encourage all council employees to achieve and maintain high standards of conduct whilst at work or representing
More informationManager, Sourcing Supply and Contracts, Grid Projects Approved By:
Procurement Policy ISSUE DETAILS Effective Date: 1 Policy Owner: Chief Executive Officer Written By: Manager, Sourcing Supply and Contracts, Grid Projects Approved By: Transpower Board of Directors Minute
More informationDRUMBEAT SCHOOL AND ASD SERVICE. Disciplinary Policy (Adopted Lewisham Model Policy)
DRUMBEAT SCHOOL AND ASD SERVICE Disciplinary Policy (Adopted Lewisham Model Policy) APPROVED BY GOVENORS JUNE 2012 RESPONSIBLE PERSON HEADTEACHER SIGNED BY CHAIR OF GOVERNORS DATE SIGNED BY HEADTEACHER
More informationUNIVERSITY OF ST ANDREWS STUDENTS ASSOCIATION STAFF DISCIPLINARY PROCEDURE
UNIVERSITY OF ST ANDREWS STUDENTS ASSOCIATION STAFF DISCIPLINARY PROCEDURE 1. Introduction 1.1 In the Association, as in any organisation, issues may arise in relation to staff conduct. In the first instance
More informationAllensbank Primary School
Allensbank Primary School Disciplinary Policy This policy will be reviewed annually Head teacher: Chair of Governors: 1.CM.035-Sch Issue 4 May-14 Process Owner: ER Team Authorisation: via Education SAJC
More informationWhistle-blowing. Policy and Procedure
Whistle-blowing Policy and Procedure This document will be made available in other languages and formats upon request from employees and students (or their parents/carers) Date of Issue: September 2014
More informationEUROPEAN SPACE AGENCY ESA EXPRESS PROCUREMENT PROCEDURE EXPRO / EXPRO+ TENDERING CONDITIONS ( EXPRO/TC ) NOTE
P a g e 1 EUROPEAN SPACE AGENCY ESA EXPRESS PROCUREMENT PROCEDURE EXPRO / EXPRO+ TENDERING CONDITIONS ( EXPRO/TC ) NOTE For the purposes of EXPRO and EXPRO+ categories of Requests for Proposal (RFP) and
More informationThese Students Rules entail a second document, the Student s Guide, in which the academic aspects of the course are explained.
Approved by the General Management, 1 st october, 2015 These Students Rules entail a second document, the Student s Guide, in which the academic aspects of the course are explained. content First heading
More informationBISHOP GROSSETESTE UNIVERSITY. Document Administration
BISHOP GROSSETESTE UNIVERSITY Document Administration Document Title: Document Category: Sickness Absence Policy and Procedure Policy and Procedure Version Number: 2 Status: Reason for development: Scope:
More informationCertificate of Recognition (COR ) COR Program Guidelines. Infrastructure Health & Safety Association (IHSA) 05/17 1
Certificate of Recognition (COR ) COR Program Guidelines Infrastructure Health & Safety Association (IHSA) 05/17 1 Table of Contents Contents Page 1. Program Guideline Overview... 4 1.1 Scope... 4 1.2
More informationPROFESSIONAL INCORPORATION
PROFESSIONAL INCORPORATION Information for members of the College of Physiotherapists of Ontario applying for professional incorporation CONTENTS Application Guide Relevant statutes, regulations and by-laws
More informationAnnexure B Section 22
Annexure B Section 22 Accreditation of Audit Firms, Reporting Accountants, Reporting Accountant Specialists and IFRS Advisers to provide accounting and/or advisory services to applicant issuers Scope of
More informationAuditor Approval Forms
Auditor Approval Forms Information required by the Registrar of Medical Schemes in considering the approval of the appointment of an auditor of a medical scheme Instructions for completion of the questionnaire
More informationPRINCES RISBOROUGH TOWN COUNCIL DISCIPLINARY POLICY & PROCEDURE
PRINCES RISBOROUGH TOWN COUNCIL DISCIPLINARY POLICY & PROCEDURE PURPOSE AND SCOPE This procedure is designed to help and encourage all employees to achieve and maintain standards of conduct, attendance
More informationAyr College. Staff Development: Standing Priorities Lecturing Staff
APPENDIX 1 Ayr College All staff members will have equal treatment in matters relating to development regardless of age, ethnicity, gender, marital status, disability, sexual orientation, religion and
More informationABSENCE MANAGEMENT POLICY
ABSENCE MANAGEMENT POLICY REFERENCE NUMBER Absence Management Policy VERSION V1.0 APPROVING COMMITTEE & DATE Clinical Executive Committee 17.6.15 REVIEW DUE DATE May 2018 CONTENTS 1. Policy statement 1
More informationUNIVERSITIES ACT, 1997 UNIVERSITY OF LIMERICK STATUTE NO. 4
UNIVERSITIES ACT, 1997 UNIVERSITY OF LIMERICK STATUTE NO. 4 Approved by Governing Authority 26 November 2002 UNIVERSITIES ACT, 1997 UNIVERSITY OF LIMERICK We, the governing authority of the University
More informationDISCIPLINARY POLICY AND PROCEDURE. 1 Aims and Objectives
DISCIPLINARY POLICY AND PROCEDURE 1 Aims and Objectives 1.1 Intu is committed to promoting fairness and consistency in the treatment of all employees in connection with conduct and performance. In order
More informationCONSOLIDATION OF EMERGENCY MEASURES ACT S.Nu. 2007,c.10 In force November 8, 2007, except s.5-9 s.5-9 NIF. (Current to: August 24, 2010)
CONSOLIDATION OF EMERGENCY MEASURES ACT In force November 8, 2007, except s.5-9 s.5-9 NIF (Current to: August 24, 2010) The following provisions have been deleted for the purposes of this codification:
More informationPolicy Number G9 Effective Date: 25/05/2017 Version: 1 Review Date: 25/05/2018
Aim of the Policy This document outlines the policy of Carefound Home Care (the Company ) in relation to the disciplinary procedure. This policy is intended to set out the values, principles and policies
More informationTerms and Conditions of appointment of Independent directors
Terms and Conditions of appointment of Independent directors To, Name: Address:,. LETTER OF APPOINTMENT FOR INDEPENDENT DIRECTORS Dear Sir/Madam, Sub: Appointment/Re-appointment of Independent Director
More informationMission Statement, Bye Laws, Code of Ethical Conduct and Disciplinary Procedures. MEI Ltd Mission Statement
Mission Statement, Bye Laws, Code of Ethical Conduct and Disciplinary Procedures MEI Ltd Mission Statement The aim of Marketing English in Ireland (MEI) Ltd is to be a significant presence in the area
More informationLittle Rascals Pre-school Disciplinary Procedure Policy
Little Rascals Pre-school Disciplinary Procedure Policy At Little Rascals we follow our legal obligations as an employer at all times including dealing with any disciplinary matter in a fair and consistent
More informationABSENCE MANAGEMENT POLICY
ABSENCE MANAGEMENT POLICY Policy Folder & Policy Number Human Resources Folder 1: Policy No. 1.1 Version: 1 Ratified by: Stoke CCG Governing Body Date ratified: 24 th September 2013 Name of originator/author:
More informationAustralian College of Event Management Pty Ltd RTO No: ABN: Document Name: Certificate 111 Student Handbook Revision Number: 1.
CONTENTS Welcome... 3 Our course... 3 Assessment guidelines... 4 Student selection... 5 Student enrolment... 5 Recognition of Prior Learning (RPL)... 6 Student services... 7 Training pathways... 7 Complaints,
More informationTruckSafe Operator Business Rules and Code of Conduct
Operator Business Rules and Code of Conduct Contents 1.0 Business Rules and Code of Conduct 3 2.0 Decision Making Bodies 4-6 3.0 Purpose 6 4.0 How the Rules will be amended 6 5.0 Introduction 6 6.0 Entry
More informationAPPENDIX XII. Employment Contract
Employment Contract This Contract of Employment shall be effective as of (Insert date). Between The Employer: (Parish Name), a parish of the The Roman Catholic Episcopal Corporation For The Diocese of
More informationSickness Absence Policy
Sickness Absence Policy [Company Name] Drafted by Solicitors Contents Clause 1. Policy statement... 1 2. Who is covered by the policy?... 1 3. Disabilities... 1 4. Sickness absence reporting procedure...
More informationDISCIPLINARY RULES FOR EMPLOYEES
DISCIPLINARY RULES FOR EMPLOYEES DISCIPLINARY RULES FOR EMPLOYEES Page Introduction... 1 Gross misconduct... 2 Theft and dishonesty... 2 Failure to undertake the requirements of the job... 3 Breach of
More informationCICM Professional Qualifications. Money & Debt Advice Syllabus
CICM Professional Qualifications Money & Debt Advice Syllabus Chartered Institute of Credit Management 2015 12.11.2015 All rights reserved; no part of this publication may be reproduced, stored in a retrieval
More informationAmended Sections (Clean)
Amended Sections (Clean) Section 1 Censure and penalties 1.20 Where the JSE finds that an applicant issuer or any of an applicant issuer s director(s), officer(s) and/or depository, as defined, has contravened
More informationSTATE OF RHODE ISLAND OFFICE OF THE GENERAL TREASURER
STATE OF RHODE ISLAND OFFICE OF THE GENERAL TREASURER REQUEST FOR QUALIFICATIONS To Serve as Legal Counsel to the State of Rhode Island Public Finance Management Board The Office of the General Treasurer
More informationTerms & Conditions Lucas Bols INTRODUCTION
Terms & Conditions Lucas Bols INTRODUCTION This website is operated by Lucas Bols Amsterdam B.V. ("Lucas Bols") is a company incorporated in the Netherlands and registered at the Chamber of Commerce under
More informationPay Policy. Adopted by Board of Directors on 3 October 2017 Consulted with trade unions on 29 September 2017
Pay Policy Adopted by Board of Directors on 3 October 2017 Consulted with trade unions on 29 September 2017 1 Page Whole School Pay Policy Contents Introduction 3 P2. Support Staff 3 P3. Teaching Staff
More informationABSENCE MANAGEMENT POLICY
ABSENCE MANAGEMENT POLICY DOCUMENT CONTROL Policy Title: Purpose: Supersedes: This policy applies to: Circulation: Absence Management Policy This Managing Attendance Policy sets out the procedure for reporting
More informationRegulation pertaining to disciplinary & related procedures for academic staff
Regulation pertaining to disciplinary & related procedures for academic staff Table of Contents 1. Application... 2 2. Introduction... 2 3. General Principles... 2 4. Investigation... 3 5. Informal guidance
More informationISSF Online Shop - Terms and Conditions
ISSF Online Shop - Terms and Conditions Article 1 General (1) The following Terms and Conditions shall apply to all contracts concluded via the ISSF Online Shop between the International Shooting Sport
More informationPOLICY ON UNISA PUBLIC TENDERS Overview
POLICY ON UNISA PUBLIC TENDERS Overview Preamble UNISA invites suppliers to tender for the supply of goods and services where the proposed contract amount is R500 000 or more (amount annually updated for
More informationDisciplinary Policy and Procedure
Disciplinary Policy and Procedure Version 2.5 Important: This document can only be considered valid when viewed on the Trust website. If this document has been printed or saved to another location, you
More informationEDPS - European Data Protection Supervisor CEPD - Contrôleur européen de la protection des données
EDPS - European Data Protection Supervisor CEPD - Contrôleur européen de la protection des données Opinion on the notification for prior checking received regarding the "Manager Desktop" file of the European
More informationOhio Public Employees Retirement System. Request for Proposal
Ohio Public Employees Retirement System For: Consulting Services for Development of the Business Intelligence & Analytics Office Date: 9/11/2017 Project Name: Business Intelligence & Analytics Program
More informationApprenticeship Standards. Standards of Apprenticeship
Apprenticeship Standards Standards of Apprenticeship Commonwealth of Massachusetts Department of Labor Standards Division of Apprentice Standards Employer Program Sponsor Formulated By: Company: Manufacturing
More informationOhio Public Employees Retirement System. Request for Proposal
Ohio Public Employees Retirement System For: Application Performance Monitoring Software Date: March 23, 2018 277 East Town Street Columbus, Ohio 43215 1-800-222-PERS (7377) www.opers.org PLEASE NOTE:
More informationBill 120 (2005, chapter 44) An Act to abolish certain public bodies and transfer administrative responsibilities
FIRST SESSION THIRTY-SEVENTH LEGISLATURE Bill 120 (2005, chapter 44) An Act to abolish certain public bodies and transfer administrative responsibilities Introduced 15 June 2005 Passage in principle 8
More informationMeasures on Open Environmental Information (for Trial Implementation)
Measures on Open Environmental Information (for Trial Implementation) (Adopted by the State Environmental Protection Administration of China on February 8, 2007; Effective May 1, 2008) Chapter I. General
More informationDisciplinary/Dismissal Procedures
Disciplinary/Dismissal Procedures This policy was adopted by the Board of Directors of Armagh Credit Union Limited. Signed:- Position Position Date: STATEMENT OF POLICY The aim of Armagh Credit Union's
More informationData Protection Policy
THE CIPPENHAM SCHOOLS TRUST Data Protection Policy *Date for revision: Summer Term 2018 Responsibility for policy: Responsibility for operational: Trustees Trustees Reviewed by Directors: *subject to any
More informationMODEL EQUAL OPPORTUNITIES AND DIVERSITY POLICY
inspired MODEL EQUAL OPPORTUNITIES AND DIVERSITY POLICY 1. GENERAL 1.1 Inspired Recruitment embraces diversity and will seek to promote the benefits of diversity in all of our business activities. We will
More informationNewcastle University Capability Procedure
Newcastle University Capability Procedure Contents 1. INTRODUCTION... 1 1.1 Preamble... 1 1.2 General Principles... 3 1.3 Right of Representation... 3 1.4 Trade union representatives... 3 1.5 Scheduling
More informationDISCIPLINARY POLICY AND PROCEDURE
DISCIPLINARY POLICY AND PROCEDURE This policy and procedure explains the process which management and Governors will follow in all cases of misconduct to ensure fairness and consistency of approach. General
More informationDisciplinary Procedure
Disciplinary Procedure General principles The following general principles will apply to the Disciplinary Procedure: This procedure will only apply to agency workers engaged on a contract of employment
More informationINSERT TITLE AND BRANDING Dr A Gill s signature and front cover to be placed on policy when received from Communications. (Policy fully ratified)
Disciplinary Policy INSERT TITLE AND BRANDING Dr A Gill s signature and front cover to be placed on policy when received from Communications. (Policy fully ratified) Consultation Staff Forum August 2014
More informationStaff Sickness and Absence Policy
Staff Sickness and Absence Policy Policy Code: Policy Start Date: Policy Review Date: HR18 July 2015 July 2018 Please read this policy in conjunction with the policies listed below: ACAS Code Staff Disciplinary
More informationStructural Assistance Act
Issuer: Riigikogu Type: act In force from: 01.09.2015 In force until: 04.12.2015 Translation published: 10.08.2015 Amended by the following acts Passed 04.06.2014 RT I, 21.06.2014, 1 Entry into force 01.07.2014
More information10.3 MANAGING DISCIPLINE
ABERDEEN CITY COUNCIL 10.3 MANAGING DISCIPLINE POLICY & PROCEDURE Issue Number Date Approved Pages Amended 4 30 October 2012 4, 6, 8, 9 and 10 Originator Approved By KF/KT LNCT Contents Section 1: Introduction
More information2.1 The place of employment will be at the office of the Employer in [place].
1. DATE OF EMPLOYMENT AND POSITION 1.1 The Employee enters into an employment agreement with the Employer (the Agreement) with effect from [date] 2017. This Agreement qualifies as an on-call contract with
More informationSKILLS DEVELOPMENT ACT, 1998 (ACT NO. 97 of 1998) LEARNERSHIP REGULATIONS, 2007
STAATSKOERANT, 29 JUNlE 2007 No. 30010 3 No. R. 519 DEPARTMENT OF LABOUR 29June2007 SKILLS DEVELOPMENT ACT, 1998 (ACT NO. 97 of 1998) LEARNERSHIP REGULATIONS, 2007 I, Membathisi Mphumzi Shepherd Mdladlana,
More informationTSSA Rep s Bulletin Ref: EMP/045/SEPT 2004
TSSA Rep s Bulletin Ref: EMP/045/SEPT 2004 NEW STATUTORY GRIEVANCE & DISCIPLINARY PROCEDURES Introduction The new statutory minimum grievance and disciplinary procedures come into effect on 01 October
More informationSICKNESS ABSENCE POLICY
SICKNESS ABSENCE POLICY Implementation Date: 01 April 2013 Review Date: 01 April 2016 April 2013 V1.0 Page 1 of 12 Contents POLICY OVERVIEW... 3 Purpose... 3 Who this Policy applies to... 3 Key Principles...
More informationDISCIPLINARY PROCEDURE
DISCIPLINARY PROCEDURE SCOPE The Greengate Housing Co-operative (GHC) Disciplinary Procedure will be used only when necessary and as a last resort. Where possible, informal and/or formal counselling or
More informationto The Uganda Gazette No. 25, Volume CX, dated 5th May, 2017 Printed by UPPC, Entebbe, by Order of the Government No. 22.
STATUTORY INSTRUMENTS SUPPLEMENT No. 13 5th May, 2017 STATUTORY INSTRUMENTS SUPPLEMENT to The Uganda Gazette No. 25, Volume CX, dated 5th May, 2017 Printed by UPPC, Entebbe, by Order of the Government.
More informationInformation for Teaching Positions
Information for Teaching Positions Permanent Teachers Temporary Teachers Part Time Casual Teachers Information for Teaching Positions Version 7 1 P age Dear Applicant In addition to the General Information
More informationRESPONSIBLE GAMBLING CODE OF CONDUCT NSW
RESPONSIBLE GAMBLING CODE OF CONDUCT Introduction NSW Oz Lotteries is an authorised digital retailer for Tattersall s Sweeps Pty Ltd, Tatts NT Lotteries Pty Ltd, New South Wales Lotteries Corporation Pty
More informationCOMMUNICATIONS WITH THE INTERNATIONAL BUREAU
GUIDE TO THE INTERNATIONAL REGISTRATION OF MARKS B.I. 1 PART B PROCEDURE CHAPTER I: GENERAL INTRODUCTION This Chapter is concerned with procedural matters which are of interest both to applicants and holders
More informationManaging Sickness Procedure/Policy
1.0 Aim of the procedure 1.1 To ensure that managers: 1 understand and apply the Council s standards of attendance in the work-place and monitor their achievement 2 identify through risk assessments, general
More informationSOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness
GOVERNMENT No. 35-2006-ND-CP SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness Hanoi, 31 March 2006 DECREE MAKING DETAILED PROVISIONS FOR IMPLEMENTATION OF THE COMMERCIAL LAW WITH RESPECT
More informationReport on LLQP Curriculum Survey Results. March 2014
Report on LLQP Curriculum Survey Results March 2014 Executive summary As part of the initiative of the Canadian Insurance Services Regulatory Organizations (CISRO) to harmonize the Canadian life insurance
More informationADMINISTRATIVE TRIBUNAL. Judgment of the Administrative Tribunal. handed down on 30 March JUDGMENT IN CASE No Mrs. G.-D.
ADMINISTRATIVE TRIBUNAL Judgment of the Administrative Tribunal handed down on 30 March 2004 JUDGMENT IN CASE No. 056 Mrs. G.-D. v/ Secretary-General Translation (the French version constitutes the authentic
More informationDear Prospective Employee Please Read
Dear Prospective Employee Please Read In 2009 the government initiated the American Recovery and Reinvestment act better known as the Stimulus Package. You are being asked for the following information
More informationStaff Code of Conduct (Version 1.0)
DRAFT COPY Staff Code of Conduct (Version 1.0) POLICY STAFF CODE OF CONDUCT NVR Ref: Standard 2 MCC Ref: Policy MCC-2-S1 This Code of Conduct is intended to guide the staff of the Institute to identify
More informationELECTRONIC COMMERCE SERVICE GENERAL TERMS AND CONDITIONS
ELECTRONIC COMMERCE SERVICE GENERAL TERMS AND CONDITIONS 1. Company data: Name: Magyar Posta Zártkörűen Működő Részvénytársaság Registered office: 1138 Budapest, Dunavirág u. 2-6. Trade register no.: Cg.
More informationEU PROJECT MANAGER (PART-TIME) ATLANTIC SOCIAL LAB (27 MONTH CONTRACT)
COMHAIRLE CATHRACH CHORCAÍ CORK CITY COUNCIL CANDIDATE INFORMATION BOOKLET Please Read Carefully EU PROJECT MANAGER (PART-TIME) ATLANTIC SOCIAL LAB (27 MONTH CONTRACT) DETAILS OF QUALIFICATIONS AND PARTICULARS
More informationDIRECTORATE-GENERAL FOR COMMUNICATION DIRECTORATE FOR MEDIA CONDITIONS FOR SUBMITTING A TENDER INVITATION TO TENDER NEGOCIATED PROCEDURE
Directorate General for Communication Directorate for Media The Director DIRECTORATE-GENERAL FOR COMMUNICATION DIRECTORATE FOR MEDIA CONDITIONS FOR SUBMITTING A TENDER INVITATION TO TENDER NEGOCIATED PROCEDURE
More informationPRODUCT DISCLOSURE STATEMENT FOR THE THIRSTY CAMEL CARD
PRODUCT DISCLOSURE STATEMENT FOR THE THIRSTY CAMEL CARD Issued by LiquorSmart Pty Ltd (ABN 45 089 797 491) of 8/161 Ward Street, North Adelaide SA 5006 trading as Thirsty Camel Effective Date 1 st May
More informationPosition Description
Florida Council of 100, Inc. Tampa, Florida fc100.org Position Description Title: Analyst Starting Compensation: $35,000-$45,000 annually, depending on the applicant's experience and qualifications Benefits
More informationEMERGENCY MANAGEMENT ACT
Province of Alberta Revised Statutes of Alberta 2000 Current as of December 11, 2013 Office Consolidation Published by Alberta Queen s Printer Alberta Queen s Printer Suite 700, Park Plaza 10611-98 Avenue
More informationGENERAL TERMS OF ACCESS AND USE FOR THE SYNERTRADE WEB SITE sanofi.synertrade.com
GENERAL TERMS OF ACCESS AND USE FOR THE SYNERTRADE WEB SITE sanofi.synertrade.com Access to the https://sanofi.synertrade.com/ web site and to the various services offered for a given invitation to tender,
More informationGrievance Policy and Procedure
Grievance Policy and Procedure Document Control Information Reviewed by the Strategic Management Team: - Date of Next Review: Mar 2016 Approved by the Board of Management: 24 Mar 2014 The Board of Management
More informationPURCHASING AND MERCHANDISING POLICY SOCIÉTÉ DES ALCOOLS DU QUÉBEC
PURCHASING AND MERCHANDISING POLICY SOCIÉTÉ DES ALCOOLS DU QUÉBEC APPROVED BY THE BOARD OF DIRECTORS ON JANUARY 25, 2018 CONTENTS 1 THE SAQ BUSINESS ENTERPRISE...4 1.1 Mandate...4 1.2 Exclusivity of Merchandising...4
More information