4.1 Bringing it all Together

There were many items covered in this pre-workshop course to prepare you for our in-person session. Completing all the activities within each Section of this course will help you prepare for the day as you will understand the features of the SQMT and how it works allowing us to focus on content at the in-person workshop.

Summary of Pre-workshop Activities

• Section 1: CSQM 1 Overview
• Section 2: Initial set up of SQM Toolkit Database including:
  • Completing the To Do List (Lesson 2.3)
  • Inserting Firm Details (Lesson 2.4)
  • Document System Roles (Lesson 2.5)
  • Gather existing Firm resources (Lesson 2.6)
  • Consider Category and Drop-down Options
  • Risk Options (Lesson 2.7)
  • Deficiency Options (Lesson 2.8)
  • Add to Glossary (Lesson 2.9)
• Section 3: Identifying quality risks relevant to your Firm

In-Person Workshop Activities

During the in-person session, we will:

• Establish quality objectives
• Finalize risk identification and complete risk assessment
• Design risk responses (policies and procedures)
• Discuss monitoring and remediation process
• Review system evaluation requirements

The pre-workshop activities combined with the in-person workshop provide valuable support in ensuring you are substantially completed the design of your SQM. We recognize there will be further actions required to implement the SQM as there may be changes in policies and procedures at your Firm. But you have time to do this and the SQMT helps you document and track every step of the way.

The final component of the system of quality management is monitoring and remediation process which allows you to evaluate your system of quality management. These activities will take place over the coming year. You will have solid foundation to perform these activities.

Final Preparation
Details of time and location have been sent to you in your registration email. Ensure you bring everything you need to the in-person workshop including: 

• Laptop with SQM fully installed and administrative details completed
• Preliminary risk identification worksheet

Use the Preparation Checklist resource to ensure you are prepared.

Next up . . . in-person workshop. See you soon.