Fitness and Propriety (F&P) Certification

A Fitness and Propriety (F&P) assessment forms part of an individual's Self-Certification process. The assessment is used to determine whether the individual is fit and proper to undertake the responsibilities of their job.

A successful outcome will result in a certificate issued stating that the individual is Fit and Proper to perform their duties.

F&P Process Overview

The F&P assessment is a multi-step review requiring approval from Compliance, Human Resources (HR), and a Review Panel. If any of the department Approvers do not approve the initial decision, it is passed on to a Panel to resolve and provide an ultimate decision. The Panel can review and make a determination to override the denial by approving the Individual, or ultimately deny issue of the certificate.

Certification Approver

As part of determining whether an individual is Fit and Proper, an individual must first complete a Self-Certification process. For more information on self-certification, refer to Create a Certification Record.

Once the record is created and the user has approved their Self-Certification, the approval process begins.

The completed Self-Certification record is sent to the Compliance department Approver.

Approval: Compliance

The Compliance Approver is required to complete information regarding the Individual. This information is used to help determine whether they are Fit and Proper to perform their duties.

Once an SMCR Compliance Approver has logged in, they can view their outstanding requests by selecting the My Requests icon (located in the Global Banner).

The Compliance Approver is required to complete the questions, attesting to the individual's ability to perform their duties.

If all answers to the questions are Yes, selecting Submit will forward the review to the SMCR HR Reviewer.

If any of the answers to the questions are No, the review will be forwarded to the Review Panel to make a decision regarding the individuals ability to perform their duties.

Approval: HR

The HR Approver is required to complete information regarding the Individual. This information is used to help determine whether the individual is Fit and Proper to perform their duties.

Once the SMCR HR Approver has logged in, they can view their outstanding requests by selecting the My Requests icon (located in the Global Banner).

HR are required to complete the questions, attesting to the individual's ability to perform their duties.

If all answers to the questions are Yes, selecting Submit will forward the review to the SMCR Compliance Reviewerfor a final review.

If any of the answers to the questions are No, the review will be forwarded to the Review Panel to make a decision regarding the individuals ability to perform their duties.

Final Compliance Review

Once Compliance and HR have answered the questions and provided the required information, a Final Compliance Review is undertaken. This final review is to confirm the previously submitted Compliance and HR information.

Once the SMCR Compliance Approver has logged in, they can view their outstanding requests by selecting the My Requests icon (located in the Global Banner).

Compliance have the option of either Approving or Cancelling the F&P Request.

• Selecting Approve will approve the request and forward it to the Panel for a certificate to be issued.
• Selecting Cancel will cancel the request and forward it to the Panel, to determine by review whether the individual is deemed Fit and Proper.

Panel Review

The final step in the process is review by Panel.

• If all answers to the questions from the previous reviewers are Yes.

The Panel will review and if it's determined that the individual is Fit and Proper for their role, they will deem the individual Approved and Issue the Certificate.

• If any of the answers to the questions are No.

The Panel will need to determine whether the individual is Fit and Proper to undertake the responsibilities of their role.

If Compliance or HR indicate that there are F&P areas regarding the individual that require further evaluation and the Panel agrees with the decision, the Panel can Deny the request.

Roll Over of a Certification Record

Once a self-declaration has been completed, it can be Rolled Over in preparation for the next review cycle.

• Navigate to the Certification Manager tab.
• Select the Completed option from the dropdown menu

All completed records display.

Any records that have not been rolled over, are eligible to Roll Over. Roll Over can be achieved:

• For all records in one step by selecting the top Roll Over button
• On a record per record basis by selecting the (Roll Over) option in the Action(s) column.

Either all or a sub-set of fields are Rolled Over (depending on existing configuration) have been done on the system .

Rolled Over records can be re-initiated for a new round of Self-Certifications.

Lock/Unlock Certification Records

Records can be locked so that they cannot be updated. The locking of a record is achieved by selecting the lock link at the record level.

When it is decided that the record can be updated, the record can be unlocked.