Assigning Responsibilities to Individuals

To assign responsibilities to the Individuals holding SMFs:

• Select the Responsibility tab on the right-hand side of the screen.
• Select the required category of Responsibilities from the Search In dropdown list.
• Select the Search icon.

• The results will then be displayed on screen.

The Mapped column can have four different values:

• Yes Responsibility is mapped to one or more Individuals
• No Responsibility is not mapped to any Individual
• Open Responsibility is mapped to an Open Record (i.e. to an SMF that has been set to Open and that has not yet been assigned to an Individual)
• N/A Responsibility is mapped to an SMF set to Does Not Apply.

Select to drag the relevant Responsibilities on top of the SMF/Individual combination(s) created in the steps above.

• An Assign Responsibility dialogue box will open. Enter an Event Date in order to save the record and enter the into the Notes field, if desired.

• Select Save to continue.
• The newly assigned Prescribed Responsibility appears in Nicole Adam's record, under SMF-9.

The Notepad icon indicates that there are notes attached to both Nicole Adams's SMF assignment and the assignment of the Prescribed Responsibilities to her.

Prescribed Responsibilities (Non-Entity Specific)

The SMCR Regime requires that all Prescribed Responsibilities are either assigned to specific Individuals, or that your organisation provides an explanation for why any Prescribed Responsibility may not apply.

To identify and to provide a rationale for why a Prescribed Responsibility may not apply to an Entity, drag the Responsibility in question over to the Function called Responsibilities that Do Not Apply, located at the bottom of the SMF Mapping screen.

• The Assign Responsibility dialogue box will open. Enter a reason as to why the responsibility does not apply to the Entity in question into the Notes field. Enter an Event Date in order to save the record.

Custom Responsibilities

Although the SMCR Solution comes with a complete list of Prescribed Responsibilities, as set forth by the FCA and PRA, you are able to add Custom Responsibilities, applicable to your organisation, to any Responsibilities category.

To do this:

• In the Responsibility tab, select the New Responsibility.

A Create New Responsibility Wizard opens up:

• Filing Type The Filing Type will default to the Type selected at the beginning of the process on the Filing As a result, this field will be Read-Only in this Wizard. No changes to that selection can be made from here.
• Category Select the appropriate Responsibility Category from the dropdown list (Prescribed, Overall, or Other) to which the Custom Responsibility is to be added.
• Tag Populate with preferred tag.
• Title Populate with preferred title.
• Description Enter a Description of the new Custom Responsibility.
• Notes Populate with any additional Notes.
• Event Date Enter the Event Date. This ensures that a complete electronic Audit Trail of when this Custom Responsibility was added to the system is created.

If you select the Applies Only to this Entity checkbox at the bottom of the Wizard, the Custom Responsibility will not appear in the selection list for any other Legal Entity in the Diligent Entities database.

• Select Save to complete the Wizard
• Select Search to refresh the page
• The new Custom Responsibility will now appear in the Responsibility tab under the appropriate category.

If required:

• Use the Open Folder icon on the right-hand side of the Custom Responsibility to open the record and make any amendments.
• Use the Delete icon to remove the Custom Responsibility.

Sub-Responsibilities and Delegates

In an organization, there can be scenarios where a single Responsibility is broken into smaller components (Sub-Responsibilities) which are then delegated to one or more Individuals (Delegates).

To reflect these scenarios in the SMCR tool, do the following:

• On the Mapping Tool page, select the SMF/Individual combination that has been allocated the Responsibility that needs to be broken down into Sub-Responsibilities.
• Expand the record so that the Responsibilities area is visible and select (none).

• The Sub-Responsibility/Delegates screen opens up. Select Create.

• The Add Sub-Responsibility dialogue box opens up. Fill in the Title, Details and Notes, if required. Save the record.

• The newly created Sub-Responsibility appears on the screen.

• To assign the Sub-Responsibility to the correct Individual (Delegate), drag the person's name from the People section on the right-hand side into the Delegates field on the left-hand side of the screen.

• The Add Delegate dialogue box opens up where you must populate the Event Date field and supporting notes can be entered. Save the record.

The selection appears on the Sub-Responsibility/Delegates screen.

• The Open Folder icon allows you to edit the records.
• The Arrow on the left side of the Sub-Responsibility/Delegates screen takes you back to the Mapping Tool screen, where you can see that the Responsibility now has delegations attached to it.

• Selecting the Delegates takes you back to the Sub-Responsibility/Delegates screen where you can see the details of the Sub-Responsibility and to whom it has been delegated.

Cloning Sub-Responsibilities

If you have created Sub-Responsibilities for a particular Responsibility under a Legal Entity, you can clone (i.e. copy) those Sub-Responsibilities into any other Legal Entity so that you do not have to re-enter the information.

In the below example, a Prescribed Responsibility has been subdivided into three Sub-Responsibilities in AB Cars Company.

The three Sub-Responsibilities are available for 'Cloning' or copying into other Legal Entities, as in Blueprint Artisan Holdings Limited in the example below.

In the Sub-Responsibilities/Delegates page, select Clone. The Clone Sub-Responsibilities dialogue box opens up. You can copy all or a subset of Sub-Responsibilities into AMV Holdings Limited by selecting the checkbox next to the Sub-Responsibilities.

The selected three Sub-Responsibilities are now available in AMV Artisan Holdings Limited, and have been mapped to their relevant holders.