Corterum can enable you to keep detailed records of regulatory requests that you make to other firms. In Corterum, you can:
Record correspondence you send to third parties (e.g reference requests, requests for additional info) - and their progress.
Record the actual reference obtained from the third parties.
Recording correspondence to third parties
You can use Corterum to help you keep track of the correspondence around reference requests that you to other businesses. This will help you ensure that you've evidenced these communications, so demonstrating your compliance with SM&CR deadlines around references etc.
To do this:
Log into Corterum as an administrator.
Select WORKBENCH on the top menu.
Then click DATASETS on the left hand side.
A selection of named tiles will appear.
By clicking on the tiles, navigate to SM&CR > CERTIFICATION REGIME > REGULATORY REFERENCES > REGULATORY REFERENCE TRACKING > OUTGOING COMMUNICATIONS.
A list of any correspondence received (if any has been logged, will appear).
All correspondence is linked to the Business entity that created it and is grouped together into one table dataset. If you don't see the company named, you'll need to create a new register. Follow the steps below from point 10.
If you are adding a new record to an existing log of correspondence from a company - or amending the details of an existing piece of correspondence, click on that log, and a new pop-up box will appear.
Click EDIT, then either amend an existing row (by following the steps below from point 14 onwards), or click ADD ROW to add a new record of reference provision, then follow on from point 14 below.
To generate a new register of references provided, click the PLUS (+) symbol next to OUTGOING COMMUNICATIONS in the middle of the screen.
A new pop-up box will appear with a table dataset.
You can give this a description in the Dataset Description section at the top of the pop-up box to help you identify it.
Then choose the Business entity that has requested the reference from the dropdown list under Outgoing communications. NB - if the business you are sending the request to doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
Then you can begin filling out the table dataset with the details of the Regulatory Reference that you have provided. Each request is its own Row in this table.
Looking across the table from left to right you can:
Use the Identification number text box to give this piece of correspondence a unique reference number - useful when referring back to specific comms.
Use the dropdown under Reference requested from to choose from which third-party Business Entity you have requested the reference. (Again, if the business you are sending the request to doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
Use the Reference subject dropdown field to specify which person the reference is about.
Use the Nature of communication dropdown to specify the type of communication received.
If you selected 'Other' in point d above, you can use the text box under Nature of communication (if other) to specify the reason for the communication.
Use the date picker under Date of dispatch to record when the communication was sent.
Use the dropdown box under Response received to record whether the third-party firm has responded to your communications.
Use the date picker under Date of response to record when the response from the third party reached you.
If you haven't received a response, use the date pickers under Date of chaser 1, Date of chaser 2 and Date of chaser 3 to record when you've sent any reminder or follow-up activity.
Use the box under Request approved/refused to record the status of the request. (if there has been no response, or a response is still pending, you can record that here too.)
Use the Details text box to record the reasons for any acceptance/refusal.
Finally you can click the button under Documents to upload any supporting documents that may be required for this request.
Once done, if you need to add an additional reference request click ADD ROW and repeat the steps under point 14 above.
Finally, click SAVE and then CLOSE.
Recording your obtained references
Log into Corterum as an administrator.
Select WORKBENCH on the top menu.
Then click DATASETS on the left hand side.
A selection of named tiles will appear.
By clicking on the tiles, navigate to SM&CR > CERTIFICATION REGIME > REGULATORY REFERENCES > REGULATORY REFERENCES OBTAINED.
Clicking on that box will bring you to where a log of references is stored by Company that has requested it. Each requesting Company has its own separate log. If you don't see the company named, you'll need to create a new register. Follow the steps below from point 9.
If you are adding a new reference to an existing log of references provided for a company - or amending the details of an existing reference request, click on that log, and a new pop-up box will appear.
Click EDIT, then either amend an existing row (by following the steps below from point 13 onwards), or click ADD ROW to add a new record of reference provision, then follow on from point 13 below.
To generate a new register of references provided, click the PLUS (+) symbol next to REGULATORY REFERENCES OBTAINED in the middle of the screen.
A new pop-up box will appear with a table dataset.
You can give this a description in the Dataset Description section at the top of the pop-up box to help you identify it.
Then choose the Business entity that has requested the reference from the dropdown list under Regulatory Requests provided. NB - if the business you are sending the request to doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
Then you can begin filling out the table dataset with the details of the Regulatory Reference that you have provided. Each request is its own Row in this table.
Looking across the table from left to right you can:
Record the Date you sent the reference to the company by using the date picker under this section.
Use the dropdown box under Name to identify who the reference is for. NB - if the applicant who's reference you are recording doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
Use the Role applied for box to confirm the job title that the applicant has applied for.
Use the radio buttons under Senior manager role?, Certification Regime role? or 'Notified NED'? to confirm the type of role the applicant has applied for.
Use the Background information text box to record the context of this request.
Use the Firm(s) providing regulatory references table dataset to record the third party companies providing refences for the applicant (see below).
Use the Employment history table dataset to record the applicants employment history (see below).
Use the Conclusions and hiring decisions table dataset to record the decision taken by the firm about that applicant (see below).
Use the Reference revisions table dataset to record any updated reference information received by the firm after the initial reference was sent by the third party.
Use the Subject comments table dataset to record any details of comments made by the subject if a revised reference has been received in point i above.
Finally you can click the button under Documents to upload any supporting documents that may be required for this request.
Once done, if you need to add an additional reference request click ADD ROW and repeat the steps under point 14 above.
Finally, click SAVE and then CLOSE.
Firm(s) providing regulatory references
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another reference request, click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the regulatory reference request record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the subject of the reference request (the applicant) from the dropdown list next to Firms providing regulatory references. NB - if the applicant who's reference you are recording doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 8. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Record the date of receipt of the reference in this date picker box.
Record the name of the employer in the Name of employer dropdown box. NB - if the business which has provided the reference doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
Finally, you can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another third party who is providing reference information, click ADD ROW and repeat the steps under point 8 above.
Finally, click SAVE and then CLOSE.
Employment history
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset, click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the regulatory reference request record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the subject of the reference request (the applicant) from the dropdown list next to Employment history. NB - if the applicant who's reference you are recording doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 8. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box to record the Name of Employer. NB - if the previous employer doesn't appear in this list, you'll need to create it as a Business Entity first - here's how).
Use the date pickers under Employed (from) and Employed (to) to record the employment dates with that employer.
Use the dropdown under Nature of employment to record the type of employment for this employer.
Use the Details text box to record any follow-up information. This field should only be used if the answer to Nature of employment above was either 'not employed' or 'full-time education'.
Use the Position held text box to record the applicant's job title with this employer.
Use the radio button under Position verified to record if this role has been verified.
Use the text box under Responsiblities to give an outline of the applicants responsibilities in this role.
Use the text box under Salary to give details of the applicant's salary while in this role.
Use the radio button under Salary verified to record if this salary has been verified.
Use the dropdown under Reason for leaving to record the applicant's reason for leaving that role.
Use the text box under Reason for leaving to either give details if you have selected 'Other' in point j above, or to provide additional details about the reason for leaving if needed.
Use the radio button under Reference obtained? to record if a reference has been successfully obtained?
Use the text box under Comments to record any other useful or supporting information.
Finally, you can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another third party who is providing reference information, click ADD ROW and repeat the steps under point 8 above.
Finally, click SAVE and then CLOSE.
Conclusions and hiring decisions
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another dataset, click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the regulatory reference request record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the subject of the reference request (the applicant) from the dropdown list next to Conclusions and hiring decisions. NB - if the applicant who's reference you are recording doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
If this is a blank table, with no information in it currently, skip to step 8. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Subject hired? to record your hiring decision for this applicant.
Use the date picker under Date of decision to record the date the hiring decision was made.
Use the text box under Details to record any additional information around the hiring decision.
You can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another third party who is providing reference information, click ADD ROW and repeat the steps under point 8 above.
Finally, click SAVE and then CLOSE.
Reference revisions
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another reference request, click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the regulatory reference request record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the subject of the revised reference from the dropdown list next to Incoming reference revisions.
If this is a blank table, with no information in it currently, skip to step 8. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the date picker under Date of receipt to record when the revised reference was received.
Use dropdown under Revised reference received from to record the details of which company sent the revised reference.
Use the text box under Summary of reference revision to record why it was necessary to issue a revised reference and the contents of that revision.
Use the radio button under Subject still employed? to confirm whether the applicant is still employed by the provider of the reference.
Use the text box under Conclusions and next steps to outline the conclusions drawn from these revisions and what your firm will do as a result.
Finally, you can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another additional information request click ADD ROW and repeat the steps under point 8 above.
Finally, click SAVE and then CLOSE.
Subject comments
If you are editing an existing reference and this section has been used previously, the button will say VIEW TABLE (click it and skip to Step 7 of this section). If this is the first time this section has been used, the button will say LINK TABLE.
Click the button and a new pop-up will appear.
This pop-up asks if you want to create a new dataset, or link to an existing one. If you have recorded this information elsewhere - in another reference request, click the Existing button and choose which dataset you want to link from the the list under Linked Entity. Otherwise, you'll need to create a new table dataset. Select New.
Once you have chosen New or Existing, click CONFIRM to proceed or CANCEL to go back to the regulatory reference request record.
A new pop-up box will appear.
You can give a descriptive name to this dataset under Dataset description, and then choose the subject of the revised reference from the dropdown list next to Reference subject comments.
If this is a blank table, with no information in it currently, skip to step 8. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new additional information request for the same person here by clicking ADD ROW, and following the steps below.
In this table dataset you can:
Use the dropdown box under Subject given opportunity to comment to record whether the subject was afforded the option to provide comments on their reference - and any revisions to that reference.
Use the date picker under Date subject given opportunity to comment to record when you afforded the reference subject this opportunity.
Use the dropdown box under Subject elected to comment to record whether the subject chose to provide comments.
Use the date picker under Date of subject comments to record the date on which the subject provided comments.
Use the text box under Subject comments tab to record the detail of the subject's comments.
Finally, you can use the button under the Documents section to upload any necessary supporting documents.
Once done, if you need to add another contact attempt (it may take more than one to be successful) click ADD ROW and repeat the steps under point 8 above.
Finally, click SAVE and then CLOSE.