From the Certified Persons tab you can click on CP name where you can view their details which are broken down into six tabs. These tabs will allow you to remove an CP from the register*, view issued Statements or issue a new certificate. View training/policy declaration records and add notes or uploaded documents related to the user.
The profile tab will show the attributes held in the system against the Certified Person, the same attributes you would see if searched for the user via user management. In this view the attributes will be read only, the only attributes you should be able to update are the IRN number. If you have data feed in place and you are sending the IRN number via user provisioning you will be unable to change the number here and should instead ensure it is updated via the feed.
If you wish to remove a CP from the register scroll to bottom of the profile page and click Remove Manager*.
Statement of Certification
This tab will show all certificates issues to CP and the status (Not certified, Issued, Accepted, Rejected), click on a row to see the issued statement.
Under the Issue new Statement of Certification section you will need to select the Start date for the certification. Under that you can use the text box to type in the aspects of the Firm’s business in which the individual will be involved and tick the box next to the certified functions that are appropriate for the CP.
Any changes since the last statement will be highlighted in red. In the supplementary information field you can add text that will also appear on the statement. To save statement for later, click Save Draft or to issue the statement you as the issuer will need to tick all boxes of the declaration first. There are three declarations that must be made in order to issue a SoC. The last one states:
‘I am satisfied that this person is a fit and proper person to perform the Certification Function(s)
If the submissions are set as Enforced on the settings tab, and any submission has an open alert, the
system will not allow you to issue a SoC.
The FPQ and CMQ alerts can be reviewed and actioned under the Declarations tab. Once happy click issue Statement of Certification. A notification will be sent out to the CP so they can log into the portal and review the statement, they will then be asked whether they want to accept or reject the statement. Check out this article if you want to adjust the email settings Certified Persons Email Settings
On this tab you will be able to see all submissions made by completing the Fit and Proper Questionnaire and Conflicts Manager Questionnaire. To view the details, see any Open alerts against each, leave comments and change the status of an Alert to closed click on the submission. For more details on how to manage open and closed alerts check out this article
This tab will show all the users training records, including the status. Use the search or next buttons to look through the records or click on one to view full details and any certificates.
This tab will show all the users Policy records, including the status (viewed or Attested). Use the search or next buttons to look through the records or click on one to view full details and any certificates.
On this tab you can you can add files like a completed credit check or add comments against the CPs profile.
To add a new file click the Add file button. A a pop up form will appear, add a file name, description and choose the type from the drop down Click choose file to select a file from your device and then click Add file. The file will upload and will appear in table under the Files heading. To view the file details click on the file name in the table. The pop up will appear again and you can amend the name, description and file type fields and click update. To download a copy of the file click on the document name. You are not able to allow delete any file once it has been uploaded, however you can leave comments to advise of any changes/issues or add a note in the description.
To add a new comment click the button to Add comment a pop up form will appear. Add an appropriate subject and put the main comment text in the comment filed and click Add comment to save. The new comment will appear in a table under the Comments heading. To update a comment click on the comment subject update the details and click Update Comment to save. You will be unable to delete any comments once saved.
* You will only be able to manually remove a CP from the register if there is no audience group linked to your register, if you have a linked audience group and you need to remove a CP you will need to ensure the user data is updated.