TC-1.2 TC-1.2 Assessing Competence
TC-1.2.1
Licensees must not allow an individual to undertake or supervisecontrolled functions unless that individual has been assessed by thelicensee as competent in accordance with this Section.October 2010TC-1.2.2
In the case of new personnel, the
licensees should ensure that they work under proper supervision. Where a person is working towards attaining a level of competence, they should be supervised by a competent person until they can demonstrate the appropriate level of competence. It is thelicensees's responsibility to ensure that such arrangements are in place and working successfully.October 2010TC-1.2.3
In determining an individual's competence,
licensees may assess if the person is fit and proper in accordance with Chapter AU-3.October 2010TC-1.2.4
Licensees will assess individuals as competent when they have demonstrated the ability to apply the knowledge and skills required to perform a specificcontrolled function without supervision.October 2010TC-1.2.5
The assessment of competence will be dependent on the nature and the level of complexity of the
controlled function . Such assessment of competence of new personnel may take into account the fact that an individual has been previously assessed as competent in a similarcontrolled function with anotherlicensee .October 2010TC-1.2.6
If a
licensee assesses an individual as competent in accordance with TC-1.2.4 to perform a specificcontrolled function it does not necessarily mean that the individual is competent to undertake othercontrolled functions .October 2010TC-1.2.7
A firm should use methods of assessment that are appropriate to the
controlled function and to the individual's role.October 2010
