Certification: End User

If you are deemed to fall under the new Certified People category outlined by the FCA and PRA in the Certification Regime, your employer must certify, on an on-going basis (annually), that you are Fit and Proper to conduct the role and responsibilities assigned to you by your employer.

As part of the annual certification process, you are asked to complete an electronic Self-Declaration, which can then be approved or signed-off by one or more Managers from your organisation. Based on the completed Self-Declaration and several other components deemed relevant by your employer, a Certificate will be produced to attest to your Fitness and Propriety.

Navigate to your Pending Self-Declaration

Your organisation may conduct the Self-Declaration process on a yearly basis or on an ad hoc basis. When your Self-Declaration is due, you will receive a system-generated email message asking you to log into Diligent Entities, where you will find your pending Self-Declaration.

• Select the link in the email (highlighted in the above screenshot) to log into Diligent Entities You will land on your 'My Reviews' page where you can find your pending Self-Declaration.

• Select either on the hyperlink under your Name or on the Open Folder icon adjacent to your name to open your pending Self-Declaration.

• Note that the Reviewer will start at Stage 1A.
• Your Self-Declaration will then be displayed.

Fit and Proper Questionnaire

You must first complete the Fit and Proper questionnaire, consisting of 59-questions (located on the left-hand side of the split screen).

All questions are mandatory Yes or No questions. If you answer Yes to any of the questions, an explanation must be provided in the Note field below the question.

Incomplete questionnaires cannot be submitted. Only after all 59 questions have been answered and the questionnaire has been saved, will you be able to submit the questionnaire by selecting the Submit button. Submitting the questionnaire locks down your answers and no further changes or amendments will be possible.

Certification Record

The Certification Record (the right-hand side of the split screen) displays, for your review, your Job Title, your Job Description, all FCA Specified Significant Harm Functions that have been allocated to you, and all the Legal Entities for which you should be certified.

Depending on your organisation, your Job Description can either be:

• Free Text Field
• Attachment you will have a hyperlink in the Certification Record which you can select to open up your Job Description

After reviewing your Certification Record, you should select either Accept or Reject.

If you select Reject, you must provide a supporting reason in the Feedback box above the buttons. If you rejected your Self-Declaration, a notification will go to the first Approver and the process is terminated.

If you select Accept, and if your organisation has selected to include an Approval Workflow to the process, the first Approver will receive an email message alerting them to the fact that they need to log into Diligent Entities and approve your Self-Declaration. Your organisation may choose to have more than one approval step in their Self-Declaration Workflow process.

After completing your Self-Declaration, your contribution to the Certification Process is complete. Once the other components your organisation includes in the wider certification process have been completed, you will be notified that a Certificate has been awarded to you. You must log back into Diligent Entities and print out the Certificate.