Having Civil proceedings taken against a member of your staff subject to the SM&CR may impact their 'fitness' to perform their role. As such it is vital that good record are maintained of these proceedings. Here's how:
Click WORKBENCH and then click DATASETS.
Then click SM&CR.
Then choose Certification Regime.
Then click on Fit and Proper testing.
Then click on Fit and Proper Assessment Criteria.
Then click on either Honesty, Integrity and Reputation or Financial Soundness.
Then click on Civil proceedings.
A list of all people in your firm for which you have recorded Civil proceedings will appear (if any have been created).
If the person already has a log of Civil proceedings, and you're adding a new entry or updating information already held within the system, click on that person's name and skip to step 11.
If a record for the member of staff has not yet been created, you would need to create a new one - click the PLUS (+) symbol next to CIVIL PROCEEDINGS in the middle of the scree.
A new pop up window will appear.
If this is a blank table, with no information in it currently, skip to step 13. Otherwise if there is already information here you can update an existing row here by clicking the EDIT button, or add a new Civil proceeding for the same person by clicking ADD ROW, and following the steps from step 14 below.
You can give a descriptive name to this dataset under Dataset description, and then choose the name of the person entity undergoing the Civil proceeding from the dropdown list next to Civil Proceedings. NB - if the person who's proceeding you are recording doesn't appear in this list, you'll need to create them as a Person Entity first - here's how).
In this table dataset (reading from left to right) you can:
Choose the Nature of proceedings from the dropdown box.
If you've selected 'Other' in the Nature of Proceedings box in point a above, you can use the text box under Nature of Proceedings (if other) to provide details.
Use the Status of proceedings dropdown box to record the current status of the proceedings.
Use the Proceedings relate to dropdown box to identify whether the proceedings relate to the individual, his current position within your firm or a previous position.
Use the radio button under Proceedings relate to 'Misconduct'? to confirm whether these proceedings arise from misconduct or not.
Use the date picker under Date of proceedings to record when these proceedings took place.
Use the Sum involved text box to record the amount of money involved in the proceeding.
Use the Debt outstanding? dropdown to confirm whether the debt has been paid.
Use the Debt satisfied within one year? dropdown to confirm whether the debt was paid within the first year.
Use the Debt arises from 'regulated activities'? dropdown to confirm whether the debt was incurred as part of performing regulated activities.
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 civil proceedings click ADD ROW and repeat the steps under point 14 above.
Finally, click SAVE and then CLOSE.