⚠️ Important: The below guidance is applicable only to super administrators on LMS² sites.

The SM&CR features available for LMS² sites enable setting up, viewing, assigning, accepting, and reviewing responsibilities.

The completed responsibilities map serves as a key document for regulatory submission.

After completing the map, it's available to download as a PDF or Word document.

Set-up Senior Managers Regime

To begin setup, watch the video or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click the Available Features tab then click Senior Managers Regime.
Read the overview, then click Next.
Enter the name for the legal entity, then click Next.
Select relevant Financial Sector then click Next.
Select the relevant Firm Type then click Next.
Review configuration then click Get Started.

📌 Note: Clicking Get Started opens an interactive tour of the responsibilities map and editing features. Viewing the tour is recommended, but it can be skipped if preferred.

Add categories to responsibilities map

Add additional categories to a responsibilities map to tailor the map to your organisational requirements.

To learn how to edit the responsibilities map, watch the video, or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
Click Edit, then click Add Category.
Use the drop-down menu to select relevant group.
Enter a name for the category then add relevant information to the description box.
Click Save.

🤓 Tip: The description tab information is displayed in the Responsibilities tab of the user's profile and the PDF output of the responsibilities map. When users are signing off Statement of Responsibilities (SoR), they'll be able to see this description, giving them all the information they need to accept their responsibilities with confidence.

Edit category in a responsibilities map

To edit a category in a responsibilities map, follow the steps below.

If using the SM&CR system role, from the menu click SMCR then click Senior Managers Regime. If not using the SM&CR system role, Super Administrators can click Admin then select Senior Managers Regime.
Select the relevant responsibilities map then click Edit.
Click the 3-dot menu next to Category, then select Edit Category.
Amend the Category Group, Code, Name and Description as needed.
Click Save.

📌 Note: If a user has been assigned to a Category it can't be deleted, only edited.

Change Firm Type in Responsibilities Map

Super administrators can change the firm type of the Senior Managers Regime (Responsibilities Map) to accommodate changes in the business model. For example, a firm may shift from Limited Scope to Core, or from Small CRR to Large CRR.

To make this change, follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map
Click Edit, then click the 3 dot menu and select Change Firm Type.
Use relevant drop-down menu to change Firm type or Financial sector.
Click Confirm to save changes. This will take you to the Changes tab where your amendments and user that will be removed from existing responsibilities is highlighted, if applicable.

Add a legal entity to the Senior Managers Regime (responsibilities map)

The Senior Managers Regime in Access LMS Evo supports setting up multiple legal entities, enabling large and complex firms to create a separate responsibilities map for each entity with individual control and audit tracking.

Senior managers can appear on different maps for each legal entity, each with distinct senior management functions, prescribed responsibilities, and committees.

For guidance on creating additional legal entities, watch the video or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime.
Click the Plus option.
Read through the overview, then click Next.
Enter the name for the additional legal entity, then click Next.
Select relevant Financial Sector then click Next.
Select the relevant Firm Type then click Next.
Review configuration then click Get Started.

Add custom cards and visual areas to a responsibilities map

The responsibilities map structure can be tailored further by adding custom cards or visual areas. Custom cards represent people or roles not included on the map—for example, to show reporting lines for certified functions. Visual areas help logically group individuals by role or function.

For guidance on adding custom cards or visual areas, watch the video or follow the steps below.

From the draft version of your map, click the Structure tab
Click Edit.
To add a custom card click the Pencil Icon.
Click the + icon.
Click Add custom card then, expand it's 3-dot menu and select Change label.
Populate the Name and Role boxes with the required details and click Save.
To add a line manager to the custom card, from it's 3-dot menu select Set Line Manager.
To add a visual area click the Pencil Icon.
Click the + icon.
Click Add visual area then, reshape and position as required.
Click it's 3-dot menu and select Change label.
Populate the Label box with the required details then click Save.

Assign or remove users to categories in the responsibilities map

After adding relevant categories to the responsibilities map, assign users to these categories to accept their Statement of Responsibility (SoR), then publish the responsibilities map.

To learn how to assign users to a category in the responsibilities map, watch the video, or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
Click Edit. Search for and select relevant category.
Search for and select relevant user, then move their profile next to category.
Repeat steps 4 and 5 to assign multiple users.
Click the 3-dot menu in Category.
Click Edit Category, then click Role.
Select the relevant responsibility, then click Save.

Responsibility details

Now specify whether the users will be allocated to the position on a Permanent or Caretaker basis, and add details of the responsibilities.

Click the 3-dot menu next to the relevant user.
Click Edit, then select Permanent or Caretaker as needed.
Populate the Statement of Responsibilities (SoR) box with description outlining the elements of the role the user is responsible for.
Repeat steps 1 to 3 for each user to allow the user to read their individual SoR before confirming acceptance of the role.
Enter a date the allocation of role will be effective from in the Effective Date box.
Click Save.

View categories assigned to users from the Person tab in the responsibility map.

The Role column is populated with the user's job title as entered in the Employment Details tab of the user's profile.

Save a draft of responsibilities map

After creating the responsibilities map, assigning individuals to relevant categories, and completing their Statements of Responsibilities, save the map as a draft.

This step must be completed before requesting acceptance of roles and publishing the map. You can create as many draft versions as needed to show the impact of structural changes.

For guidance on saving a draft, watch the video or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
Click Save to a create a new version.
To create a new draft, enter a name and description.
Click Save.

Version control

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
To view the version history of the map, click the drop-down menu next to the map name.
Click Version History to view details of each version.

Available actions for each version will depend on the published state.

Draft maps can be edited and deleted.
Previous live maps can only be viewed or exported.

Request acceptance of responsibilities

After saving a draft version of the responsibilities map, initiate the request for user acceptance of assigned Statements of Responsibilities (SoRs).

Each individual must review and confirm acceptance, either online or offline, before the responsibilities map can be published.

To request acceptance of SoRs, watch the video or follow the instructions below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
Click Map Status then select the relevant draft version of the responsibilities map.
Click Changes, then click Request Acceptance.
Check the confirmation page then click Confirm.

This action sends notification emails to all related users. The email link directs recipients to My Profile – Responsibilities, where responsibilities can be accepted or rejected.

The responsibilities map then updates to Pending Acceptance. Administrators access the Acceptance tab to view the acceptance status for all assigned users.

Accept responsibilities in the responsibilities map

Assigned users receive an email requesting acceptance of their responsibilities. Acceptance can be completed online or offline.

⚠️ Important: All responsibilities must be accepted before the responsibilities map can be published.

Online acceptance

Clicking the email link directs the user to the Responsibilities section of their profile.
Click View on relevant pending update.
Click Accept/Reject.

📌 Note: If a user rejects their responsibilities, a reason must be provided. This reason appears in the Acceptance tab of the responsibilities map, allowing the administrator to review it, make any necessary changes, and resubmit the responsibilities for acceptance.

Offline acceptance

As an alternative to online acceptance, a PDF form can be downloaded for the user to sign. This option becomes available only after the acceptance requests have been sent.

To do this, follow the below steps.

Click the Download Offline Acceptance link under relevant user to download PDF.
Staff member signs and returns document.
Scan and save signed document.
In Access LMS Evo, switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map.
Use the drop-down menu to open the Pending Acceptance version of the responsibilities map in version control.
Click the Acceptance Tab, then click Upload Offline Acceptance under relevant user.
Click Choose File then locate the signed PDF you have saved to your computer.
Click the Tick to confirm, then click Upload.

The user details will show as Accepted and the document can be downloaded and viewed at any time by clicking the Download link within the Acceptance area.

Publish responsibilities map

Once all users confirm acceptance of their responsibilities, the Responsibilities Map can be published.

For guidance on publishing, watch the video or follow the steps below.

Switch to admin view.
Click Settings then select Global Settings.
Click Senior Managers Regime, then select relevant responsibilities map..
Use the drop-down menu to open the Pending Acceptance version of the responsibilities map in version control.
Click the Acceptance tab, then click Publish Live.