Global Dashboard

The Global Dashboard provides Administrators with a visual summary of all Entities, Individuals, and regime-related information for their organisation.

Data displayed on the Global Dashboard is graphical, company specific and updated in real time. Administrators will be able to view information related to Entities and Individuals according to the three key aspects of SMCR legislation (the Senior Managers Regime, Certification Regime, or Conduct Rules). Errors and Warnings are also shown to assist Administrators with determining if any action is required.

To access the Global Dashboard:

  • Select the SMCR icon.

The Global Dashboard opens to automatically display summary organisational detail according to the three key SMCR legislative aspects or Regimes.

Regimes

Each Regime addresses a key aspect of SMCR legislation: Senior Managers Regime (SMR), Certification Regime (CR), and Conduct Rules. The Global Dashboard displays organisational information in graphical charts that are specific to each Regime.

Data expressed in each chart is derived from information entered into Diligent Entities about various Entities or Individuals. Each chart is interactive, enabling a user to drill-down through the layers of available information.

Each Regime displays headings of summarised information relating to the legislative aspect reflected:

SMR

The SMR section displays the following information:

Entities - Number of Entities in the Regime. A count of entities that are not on the current filing, those records which may require attention, is presented beneath the chart.

Individuals - Number of unique individuals that are mapped to a function. A count of any individuals that are historical, those records which may require attention, is presented beneath the chart.

Functions (Tier 1) - Percentage of Functions available to be allocated to any entity within the regime. A tally of Functions (both allocated and still available) displays beneath the chart.*

Responsibilities (Tier 2) - Percentage of Prescribed Responsibilities available to be allocated any entity within the regime. A tally of those Responsibilities (both allocated and still available) displays beneath the chart.*

Errors and Warnings - Total number of Entity and Individual issues.

  • Individuals - Historical individuals
  • Entities - Entities that are not on the current filing

Note

For this example, the SMR Regime was used. The structure for SMR includes Functions (Tier1) and Responsibilities (Tier2)

Conduct Rules

The Conduct Rules are split into three sections:

  1. Conduct Rules (A - Senior Managers)
  2. Conduct Rules (B - Certification)
  3. Conduct Rules (C - Rest of the Company)

The Conduct Rules section displays the following information:

Individuals - Number of individuals that have not completed the Conduct Rule review.

Uninitiated - Number of Conduct Rule reviews that have not been initiated.

Records - Percent of records open and in progress.

Reviews - Percent of reviews open and in progress.

Certifications

The Certifications section displays the following information:

Individuals - Number of individuals that have not completed the Certification review.

Uninitiated- Number of Certification records that have not been initiated.

Records - Percent of records open and in progress.

Reviews - Percent of reviews open and in progress.

Entities View

Selecting an Entities chart icon from one of the Regime sections in the Global Dashboard enables the Administrator to drill down to a list of all entities reported on for that particular regime.

Information displayed against each entity is as follows:

  • QuickRef (unique Diligent Entities identifier assigned to that entity)
  • Name - Name of the entity
  • Individuals - Total number of unique individuals mapped to the entity
  • Functions - Number of Functions mapped, displayed as a progress bar
  • Responsibilities - Number of Responsibilities mapped, displayed as a progress bar

Any entities not on the current filing are flagged with a warning to indicate to the Administrator that they require attention. The Entity can be selected directly from the Entities list to open the record and take necessary action within the filing record.

Selection of an Entity from the Global Dashboard will open the Entity Dashboard.

For more information on the Entity details, see Entity Dashboard.

Individuals View

Selecting an Individuals chart icon from one of the Regime sections in the Global Dashboard enables the Administrator to drill down to a list of all Individuals that mapped for that particular regime.

Information displayed against each Individual is as follows:

  • QuickRef - (unique Diligent Entities identifier assigned to that entity)
  • Name - Name of the Individual

If the Individual is now Historical in Diligent Entities, a notation is made indicating that action is required.

  • Entities - Total number entities that the Individual is mapped to.
  • Functions - Number of Functions allocated to the individual.
  • Responsibilities - Number of Responsibilities allocated to the individual.

If an Individual was mapped previously and is now a historic record in Diligent Entities, this is shown as an error so the Administrator knows that it requires attention.

Resolving Historic Individuals

If an Individual, with Functions and Responsibilities assigned to them, is designated as Historical, it is necessary to replace the Individual by reassigning those functions and responsibilities to an Individual who is designated as current.

For more information on mapping and replacing an Individual, Replace an SMF.

Functions View

Selecting the Functions chart icon in the SMR section enables the Administrator to drill down to a list of all the corresponding Functions for all reported entities.

Information displayed against each Function is as follows:

  • Tag - Senior Manager Function label that corresponds to the related FCA defined function.
  • Name - Title of Function.
  • Total - Number of times related Function has been allocated to entities across the system.*
  • Functions - Of the number allocated across the system (Total), how many times Function has been assigned for mapping** (displayed as a progress bar).
  • Individuals - Number of Individuals that have been mapped to this Function.

*The sum total of this column is equal to the total number of functions available (in this example, 307).

**The sum total of entity assigned functions in this column is equal to the number of functions displayed as not available (in this example, 245 of 307 available).

Responsibilities View

The Responsibilities chart icon in the SMR section displays a summary

Selecting the Responsibilities chart icon in the SMR section enables the Administrator to drill down to a list of all the corresponding Responsibilities (Tier 2) for all reported entities.

Information displayed against each Responsibility is as follows:

  • Tag - Senior Manager Function label that corresponds to the related FCA defined Prescribed Responsibility.
  • Name - Title of Responsibility.
  • Total - Number of times related Responsibility has been allocated to entities across the system*.
  • Responsibilities - Of the number allocated across the system (Total), how many times Responsibility has been assigned for mapping** (displayed as a progress bar).
  • Individuals - Number of Individuals that have been mapped to this Responsibility.

*The sum total of this column is equal to the total number of responsibilities available (in this example, 880).

**The sum total of entity assigned responsibilities in this column is equal to the number of responsibilities displayed as not available (in this example, 801 of 880 available).

Errors and Warnings View

The Errors and Warnings icon notifies the Administrator of any issues that may need to be addressed.

Error and Warning issues relate to one of the following:

  • An Entity that is not on a current filing.
  • An Individual is marked as historical, but is still mapped to current records in the system.

Selecting the Errors and Warnings chart icon enables the Administrator to drill down to a list of issues for all reported entities.

Information displayed against each Issue is as follows:

  • Type - Issue type (Warning/Error).
  • QuickRef - (unique Diligent Entities identifier assigned to that entity).
  • Description - Description of the issue flagged.