Having criminal proceedings 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:
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 Honesty, Integrity and Reputation.
Then click on Criminal proceedings.
A list of all people in your firm for which you have recorded criminal proceedings will appear (if any have been created).
If the person already has a log of criminal 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 of proceedings for the member of staff has not yet been created, you would need to create a new one - click the PLUS (+) symbol next to CRIMINAL PROCEEDINGS 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 Criminal 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 Criminal proceeding from the dropdown list next to Criminal proceedings. NB - if the person who is the subject of these criminal proceedings 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 date picker under Date of proceedings to record when these proceedings took place.
Use the radio button under Honesty offence? to confirm whether these proceedings arise from maters such as fraud or money laundering (hover over the (i) symbol next to this field for a fuller list) or not.
Use the radio button under Ordered to produce documents? to confirm whether the person was ordered to produce documents as part of these proceedings.
Use the radio button under Subject of a search? to confirm whether the person subject to a search as part of these proceedings.
Use the Details text box to record the details around these proceedings.
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 additional proceedings click ADD ROW and repeat the steps under point 14 above until all necessary matters have been recorded.
Finally, click SAVE and then CLOSE.