Representative Additions

Rep Additions (RA00xx) — SOP A

SOP A — Rep Additions (RA00xx)

Use when a client appoints a new representative • Follow steps 1–15 in order

Outcome: verified + FSCA action done + automation creates closed Case

What “done correctly” looks like

A Rep Addition is only complete when Zoho proves it: internal fields captured, automation created the closed Case, confirmation email(s) are visible, and the linked Case shows Case logged by = your name.

Record type: Rep Addition Requests (RA00xx)
Non-negotiable: KI approval must be Yes
After save: verify Connected Records + Emails

What you must NOT do

  • Do not proceed if KI approval is No (stop and obtain approval).
  • Do not capture internal fields without clicking Edit first.
  • Do not touch Management Review (auto-updated).
  • Do not assume automation worked — you must verify it.
Reminder: The request starts with the client form: https://form.jotform.com/250244289100044

Step-by-step (Aligned to the official SOP)

Open each step and train your “workflow muscle memory”.

Step 1 — Client completes electronic Rep Addition form
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The client submits the Rep Addition JotForm. This starts the workflow.

What you do: You do not create anything manually here. You wait for the Zoho request record notification.
Step 2 — Open new Rep Addition Request in Zoho
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You receive a notification email in the rep-additions duty inbox. Open Zoho → Rep Addition Requests and locate the correct RA00xx record.

Common mistake: working off the email only. The “source of truth” is the RA00xx record in Zoho.
Step 3 — Enter Edit mode
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Open the RA record and click Edit. You must be in Edit mode before capturing INTERNAL fields.

Rule: No Edit = no internal capture.
Step 4 — Verify FSP and KI information
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While in Edit mode, confirm the FSP details, contact person, and “KI has approved this request?” = Yes. If No, stop and obtain approval first.

Stop rule: KI approval = No → you do not proceed.
Step 5 — Perform debarment and other-FSP checks
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Using FSCA verification pages, confirm the rep is not debarred and verify “appointed elsewhere” status. Capture outcomes accurately in Zoho.

Quality standard: Your captured outcome must be clear enough for another staff member to understand without calling you.
Step 6 — Retrieve, upload and capture DOFA
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Download the rep’s DOFA report from FSCA, upload it to the RA record, and capture the DOFA date exactly as shown on the report.

High-risk error: capturing the wrong DOFA date breaks downstream compliance checks.
Step 7 — Open Fit & Proper tracker
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Open the Fit & Proper tracker and capture the required information (including supervision outcome where applicable).

Done definition: Fit & Proper fields completed accurately and consistently.
Step 8 — Verify required supporting documents
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Confirm all required documents are available and usable for the rep addition request.

Rule: Missing documents must be treated as “not ready” — stop and request what’s missing.
Step 9 — Perform the FSCA rep addition action
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Perform the required rep appointment/addition action on the FSCA platform as per process.

Mindset: FSCA action + Zoho tracking must match. Never do FSCA work without updating Zoho properly.
Step 10 — Complete INTERNAL section in Zoho
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Capture all required INTERNAL fields in the RA00xx record while in Edit mode.

Do not touch: Management Review (auto-updated).
Step 11 — Set Send Auto Email = Yes
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Ensure Send Auto Email is set to Yes so confirmation email(s) trigger correctly.

Client service impact: This is part of professional delivery + follow-through.
Step 12 — Save the RA record (trigger automation)
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Save the record. This runs the automation that creates the linked closed Case and sends confirmation emails.

Rule: If you don’t save, automation doesn’t run.
Step 13 — Verify Management Review is untouched
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Confirm you did not change anything in Management Review.

Why: Management Review is used for Teamflect tracking and must remain system-driven.
Step 14 — Verify Connected Records and Emails
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Immediately after saving, check Related Lists: Connected Records shows the closed Case; Emails shows confirmation email(s).

Never assume: you must visually confirm both lists.
Step 15 — Open and update linked Case
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Open the linked Representative Addition Case (status will be Closed). Click Edit, set Case logged by = your name, then Save.

Audit + performance tracking: This is how the system fairly links work to the correct person.

Play & Learn — Rep Addition (RA00xx) “Do the next step”

This is practical workflow training. You must choose the correct next move in sequence.

You received a duty inbox email: “New RA00xx created.” What do you do first?

Not quite. A Case is created by automation after you save the RA record — do not create it manually.
Correct ✅ That is the next step the SOP expects.
Not quite. Management Review is system-driven (auto-updated) — do not edit it.

You opened RA00xx. Before capturing INTERNAL fields, what must you do?

Correct ✅ No Edit = no internal capture.
Not quite. You must complete checks and internal fields first — then save to trigger automation.
Not quite. Client communication should follow SOP timing and confirmed outcomes.

KI approval field shows “No”. What’s the correct action?

Correct ✅ KI approval is a stop rule. No approval = no work continues.
Not quite. This breaks governance and creates audit risk. Stop and obtain approval.
Not quite. Email + automation only happens after the correct checks and approvals are in place.

You completed internal fields and saved. What must you verify immediately?

Not quite. You must verify proof: Connected Records + Emails.
Correct ✅ This is your “automation proof” check.
Not quite. Never assume automation worked — always verify both lists.
Nkwali Compliance Consultants • Internal Training
SOP A • Rep Additions (RA00xx)
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