This article provides a full overview of all functionality available when viewing or managing Certified Persons (CP) and Other Conduct Rules (OCR) staff in the Staff Register. It covers what each tab is for, how to navigate the Staff Register and Staff Level views, and the actions you can take within each area.
When you open a staff profile from the register, you will see the following tabs in this order:
Tab | Description |
Profile | Details held on the system for the CP or OCR |
Statement of Certification | Issue a Statement of Certification (SoC) and view historic |
Declarations | Details of the CP or OCR submissions and action alerts |
Training | Status of all training assignments |
Policies | Status of all policy assignments |
My Submissions | Any compliance register submissions |
Additional Information | Upload internal documents and leave comments |
Staff Type | Change the type of a staff member |
Profile
The Profile tab displays all details held on the system for the CP or OCR. This view mirrors what you see in User Management.
You can:
View the staff record attributes
Update the IRN number if you do not manage this through a data feed
Remove the staff member from the register using Remove from register at the bottom of the page
If the Staff Register is not visible in your console, your permissions may need to be checked.
Statement of Certification (SoC)
The Statement of Certification tab lets you review all issued certificates, including draft versions, statuses and any rejections. It is also where you can issue new certificates.
Viewing issued SoCs
To view certificates:
Go to Management Console
Open SMCR Registers
Select the register and choose the person
Open the Statement of Certification tab
The tab displays:
All previously issued Statements of Certification
Any reasons for rejection provided by the approver
Issuing a new Statement of Certification
From the Statement of Certification tab:
Scroll to Issue new Statement of Certification
Complete the fields required for the certificate
Select all declarations unless you want to save the SoC as a draft
If you cannot issue a certificate, this may be because:
Submissions are set as Enforced in the staff register Settings tab
There is an open alert on the submission
Once ready:
Select Issue Certificate
The Certified Person will receive an email prompting them to review, accept or reject the certificate. You can track the certificate status in the Statement of Certification tab.
Declarations
The Declarations tab displays all declarations submitted by the staff member and any associated alerts.
You can:
Review all declaration submissions
View or act on alerts such as conflicts, risks or escalations
Access historic submissions for transparency and audit tracking
Training
The Training tab shows all training completed or assigned to the staff member, including:
E-learning
Offline activities
Structured CPD
You can:
Sort by selecting column headers
Use search or page navigation
Select an item to view details and download certificates
To access:
Open the relevant register
Select the Employees tab
Select the person whose records you want to view
Policies
The Policies tab displays all policy assignments for the CP or OCR and their completion status (Viewed or Attested).
You can:
Search, sort or browse through assigned policies
Select a policy to view details and certificates
My Submissions
The My Submissions tab displays any compliance register submissions linked to that staff member, such as Gifts and Hospitality entries.
To access:
Open the appropriate register
Select the Managers tab
Choose the correct Senior Manager
You can select any submission to view full details, comments and approval updates.
Additional Information
This tab allows you to upload internal documents and leave comments relating to the CP or OCR.
Uploading files
You can upload documents such as completed credit checks or internal evidence.
To upload a file:
Select Add file
Enter a name and description
Select a file type
Choose the file from your device
Select Add file
After upload:
Files appear in the Files table
Selecting the file name opens its details
You can update the name, description or file type
Selecting the name again downloads the file
Files cannot be deleted once uploaded. You can instead leave a comment or update the description to reflect changes or issues.
Adding comments
To add a comment:
Select Add comment
Enter the subject and main text
Select Add comment
Comments appear in the Comments table. They cannot be deleted but can be updated.
Staff Type
The Staff Type tab allows you to change a staff member’s classification between Certified Person (CP) and Other Conduct Rules (OCR).
This tab is only available if your register is not linked to an audience group.
If the register is linked, all changes to staff type must be made in the data feed.
Conclusion
You now have a complete overview of how each tab works when reviewing or managing Certified Persons and Other Conduct Rules staff. For further support, contact your Customer Success Manager by selecting Send us a message via the help icon on your portal, or by emailing [email protected].