Create a Certification Record

The first step in the CR process, is to identify the Individuals in your organisation who fall within the Certification Regime and to create a Certification record for each of them (the Regime Record will automatically be created). The Certification record will later be used to drive the electronic Self-Declaration process.

The Certification Record tracks the Individual's Job Title, Job Description, all FCA specified Significant Harm Functions (SHFs) allocated or assigned to them, and the Legal Entities for which the Individual should be certified for under the Certification Regime.

The Certification Records can be automatically created by a data feed from your HR System. In the event that your organisation is not using an automated data feed, you will need to manually create both records.

To create a new Certification Record:

  • Navigate to the Certification Administrator Portal.
  • Select New on the right-hand side of the screen.
  • The SMCR – Certified People data entry grid will then be displayed.

Individual Selection

Identify and select the Individual for whom you are creating the new Certification Record by:

  • Selecting the Wand on the right-hand side.
  • The Select Entity Wizard will be displayed.
  • Enter the name of the Individual into the Contains field and select Search.
  • The search results appear as shown below. Select the correct Individual from the list then select Next.
  • Your Entity will then appear in the Entity section in order for you to confirm the Individual selected is the correct one. If the Individual is not the right one, use the Eraser to remove the selection and search again.
  • If the Individual is not in the system, select the Type of Entity (Individual) you want to create using the Search dropdown list, then select the New This will open the New Company, Individual or Other Entity Wizard.
  • Otherwise, select Finish.
  • The selected Individual will then be displayed on screen.

Legal Entities

To select the Legal Entities for which this Individual should be certified, select the Wand icon on the right-hand side.

  • The Select Entities Wizard will be displayed.
  • Change the selection in the Search field to "Companies".
  • Enter the name, or part of the name of the Legal Entity, into the Contains field, then select Search.
  • The search results appear as shown below. Select the required Company(ies) from the list, then select Next.
  • Your Entity will then appear in the Selected Entities section in order for you to confirm the Entity/Entities selected are correct. If the Entity/Entities are not correct, use the Cross to remove the entity/Entities and search again.
  • If the Entity is not in the system, select the Type of Entity you want to create using the Search dropdown list, then select the New This will open the New Company, Individual or Other Entity Wizard.
  • Otherwise, click
  • The selected records will then be displayed on screen.
  • If the Individual should be certified for more than one Legal Entity, repeat the above process by selecting the Wand at the top of the Entities section again.
  • To remove a Legal Entity from the list, select the Cross on the right-hand side of the record.

Upon completion of the Certification Record, the selected Legal Entities (i.e. the Entities the Individual should be certified for) can be viewed from the Certification Admin Portal Page by selecting the number in the Entities column adjacent to the Individual's name. An Other Connected Entities dialogue box opens up where the Legal Entities are listed.

Details

The Details Section enables the input of information related to the certification.

  • From Date Enter the date this Certification Record is applicable from.
  • To Date Enter the date the Certification Record will be valid until. This field is required.
  • Job Title Enter the job title as required.
  • Job Description Source Select the appropriate option, either Text Field, which allows you to type in the Job Description, or Attachment, which allows you to attach a Word or PDF document to your Certification Record (see section 2.6 if using the Attachment options).
  • Job Description This field will only be displayed in the event that Job Description Source has been set to Text Field.
  • Notes Enter notes as applicable.

FCA Specified Significant Harm Function(s)

Select all applicable Significant Harm Functions (SHFs) by using the Yes/No options in the dropdown list adjacent to each function. Only the SHFs where the selection is Yes, will appear in the actual Certification Record which the Individual has to sign off on during the Self-Declaration process.

Workflow Team

In the event your organisation is required to use an approval Workflow around the Self-Declaration process, you will need to identify the participants of the Workflow in this section:

  • Step 1: Certified Person This field will not be visible in edit mode as it is not available for editing. It is auto-populated with the Individual's name for whom you are creating this Certification Record.
  • Step 2: Approver is the first person ('Approver') who will need to sign off on the Individual's Self-Declaratio Populate the field by using the dropdown selection list.

There is the option to add two more Approvers (Step 3 and Step 4) using the dropdown selection list next to the fields.

Upon completion of the Certification Record, select Save to save the record.

All completed Certification Records (i.e. your Certification population) will be displayed on the SMR Certification Regime Manager Portal page.

Attachments

In the event the Attachment option is selected, scroll down to the bottom of the screen to the Attachments section, where you can attach you document using the Wand icon.

The Import Document Wizard will open:

  • Specify how you would like to import the document.
  • Input options are as follows, noting that the last two options are only available to self-hosted clients:
    • Upload document from your computer Upload a single document from your computer or networked location.
    • Upload multiple documents from your computer Upload multiple documents from your computer or networked locations, in one go. The System Administrator can enable this if it is not currently available.
    • Store URL of website or document Store links to web pages or documents located on the Internet.
    • Copy Documents from a Shared Server Copy a single document from a Shared Server. The System Administrator can enable this if it is not currently available.
    • Link to Document on a Shared Server Create a link within Diligent Entities to where the document is located. Access to Shared Server will be required for all Users who should be able to view the document. The System Administrator can enable this if it is not currently available.
  • Select Browse to locate the document/s and Open once the document has been located.
  • The document location will appear in the Wizard. Enter the document date and give the document a description if different to its file name. Select Finish.