Having complaints made against a member of your staff subject to the SM&CR may impact your assessment of their 'fitness' to perform their role. As such it is vital that good records are maintained of these proceedings. Here's how:
lick 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 Honesty, Integrity and Reputation.
Then click on Complaints.
A list of all people in your firm for which you have recorded complaints will appear (if any have been created).
If the person already has a log of complaints, 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 of complaints for the member of staff has not yet been created, you would need to create a new one - click the PLUS (+) symbol next to COMPLAINTS in the middle of the screen.
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 complaint 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 involved in the complaint from the dropdown list next to Complaints. NB - if the person against whom a complaint has been made 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:
Use the text box under Title to give a descriptive name to the complaint.
Choose the Status of the complaint from the dropdown box under Status.
Use the dropdown box under Conclusions to report the outcome of the complaint.
If you've selected 'Other' in the Conclusions box in point c above, you can use the text box under Conclusions (if other) to provide details.
Use the text box under Summary to provide a summary of the complaint.
Use the date picker under Date complaint received to record when this complaint was received by your firm.
Use the date picker under Period to which complaint relates (to) to record the time frame the complaint concerns (e.g a complaint raised as a result of a phone call a year ago - the date of that call would be recorded here).
Use the date picker under Date investigation commenced to record when your firm began investigating the complaint.
Use the date picker under Date investigation concluded to record when your firm finished investigating the complaint.
Use the Complaint relates to regulated activity? dropdown to confirm whether the complaint concerns activities covered by regulation.
Use the Relevant regulated activity dropdown to confirm which (if any) regulated activity the complaint concerns.
Use the Individual given opportunity to comment? dropdown to confirm whether the person being complained about was given opportunity to comment.
Use the Individual chose to comment? dropdown to confirm whether the person being complained about chose to provide a response.
If they did, use the Date of comments date picker to record when the individual gave their comments.
Then use the Comments text field to record their comments.
Finally you can click the button under Documents to upload any supporting documents that may be required for this record.
Once done, if you need to add additional complaints click ADD ROW and repeat the steps under point 14 above until all necessary complaints have been recorded.
Finally, click SAVE and then CLOSE.