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SMCR Certification Regime

Ciphr Academy
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This guide explains how to add and assign Certification functions within the add-on SMCR (Senior Managers and Certification Regime) module.

 

Contents

 

Recording certification functions

  • This is where you add functions that apply to individuals in certified roles
  • Go to Employee Checks & Compliance > SMCR > SMCR Configuration > Certification Functions
  • Click Insert New Record
  • Enter Reference, Name and Description
  • Click Update

Note: You can add a Ceased date if the Certification Function is no longer relevant in the future to archive it.

There are 8 standard Certification functions on the FCA website which are pre built into the system.

See https://www.fca.org.uk/firms/senior-managers-and-certification-regime/certification-regime link for more details.

 

Assigning certification functions to job roles

  • This allows certification functions to automatically attach to employees in certain roles
  • Go to Employee Checks & Compliance > SMCR > SMCR Configuration > Job Certification Functions
  • Use the filters at the top of the page to identify the relevant job role(s)
  • Toggle on the functions that apply to each relevant job
  • Click Update
  • If linked here, certification functions will automatically be assigned when employees move into that job role and will be displayed in the Certification Functions tab in the relevant Job and Pay record

Note: Certification Functions are assigned in Job and Pay and reflect the dates of the Job and Pay record. Therefore, if the date that the employee took on the Certification Function differs from the Job and Pay record, you will need to insert a new Job and Pay record, set the From date and choose a suitable change reason: eg 'Certification Function Assigned'. 

If you need to add a new Change Reason, please refer to the linked article.

 

Assigning Certification Functions to an employee

  • Go to Job, Pay & Reward > Job and Pay > Certification Functions
  • Select the relevant certification function(s) - all that apply
  • Click Update

Note: Certification Functions are assigned in Job and Pay and reflect the dates of the Job and Pay record. Therefore, if the date that the employee took on the Certification Function differs from the Job and Pay record, you will need to insert a new Job and Pay record, set the From date and choose a suitable change reason: eg 'Certification Function Assigned'. 

If you need to add a new Change Reason, please refer to the linked article.

 

Certification regime dashboard

  • Go to Employee Checks & Compliance > SMCR > Certification Regime Dashboard
  • This page displays:
    • Employees with certification functions
    • Date(s) the certification function(s) were added (pulled from Job and Pay From and To dates)
    • Date range allows you to search for employees with certification functions relevant between two dates
    • Functions search allows you to search for employees with particular certification functions
  • If you are unable to see employees in this view, you may need to update the subset by clicking on the filter icon in the top right hand corner of the screen.
  • By clicking on the 'Switch to grid view' button, you can amend how the information is displayed.
Note: There is a second page called 'Certification Regime' which is a legacy page and should not be used. The Certification Regime Dashboard was introduced to replace it and therefore this page should be hidden for SMCR users via Role Management.

 

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