⚠️ Important: The below guidance is applicable only to super administrators on LMS² sites.
The SM&CR features available for Access 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 the Senior Managers Regime (responsibilities map)
To set up the senior managers regime and create a responsibilities map, 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.
Create a responsibilities map for an additional legal entity
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, follow the steps below.
Go to the Senior Managers Regime screen.
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.
Save a draft and version control
Any changes made to a responsibilities map are saved in a draft version. You can create as many draft versions as needed to show the impact of changes and keep tracking using version control.
A responsibilities map must be saved as a draft before requesting acceptance of roles and publishing the map.
For guidance on saving a draft follow the steps below.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
Click Save.
Update the name to create a new draft version or don't to update the current version.
Fill in the description and click Save.
Version control
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map.
Expand the drop-down menu next to the map name.
Click Version History to view full details.
Available actions for each version depend on the published state.
Draft maps can be edited and deleted.
Previous live maps can only be viewed or exported.
Manage categories and users in a responsibilities map
You can add and edit categories to tailor your responsibilities map to your organisation’s requirements. Users can be assigned to these categories to accept their Statement of Responsibility (SoR).
To learn how to manage categories and users in your responsibilities map watch the video below.
Add categories
You can add additional categories to a responsibilities map to tailor the map to your organisational requirements.
To learn how to edit the responsibilities map, follow the steps below.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
Click Add Category.
Select a Category Group, then fill in the Code, Category Name and Description.
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 can see this description, giving them all the information they need to accept their responsibilities with confidence.
Edit a category
To edit a category in a responsibilities map, follow the steps below.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
Search for a category and expand its 3-dot menu.
Click an option to edit, delete or mark the category as not applicable as needed.
Click Save.
📌 Note: If a user has been assigned to a Category it can't be deleted, only edited.
Assign users to categories
After adding categories to your responsibilities map, you can assign users to these categories to accept their Statement of Responsibility (SoR).
To learn how to assign users to a category in the responsibilities map, follow the steps below.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
Search for the relevant user then drag and drop them into the correct category.
Expand the 3-dot menu next to user and click Edit.
Select Permanent or Caretaker from the Allocation list.
Fill in the Statement of Responsibilities.
This allows the user to read their individual SoR before confirming acceptance of the role.
Select the Effective Date.
Click Save.
Repeat to assign all relevant users.
You can 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.
Assign multiple users to a category
You can assign multiple users to a category if more than one person holds the same responsibility.
To learn how to assign multiple users to a category, follow the steps below.
Go to the Senior Managers Regime screen.
Click the relevant responsibilities map, then click Edit.
Search for the relevant users and drag and drop them into the correct category.
Expand the category's 3-dot menu, then click Edit Category.
Select whether the responsibilities are Shared or Split from the Role list.
Click Save.
Change the firm type of a 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.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
Click the three dot menu then select Change Firm Type.
Select the relevant Financial Sector and/or Firm Type, then click Confirm.
Click the Changes tab to review the highlighted amendments and removed user responsibilities.
Edit the structure of a responsibilities map
The default reporting line structure that displays in your responsibilities map reflects the one set up on your LMS. You can amend your reporting line structure as needed to make changes, add dotted lines, add custom cards and highlight visual areas.
To learn how to edit the structure of a responsibilities map, watch the video or follow the steps below.
Add custom cards
Custom cards represent people or roles not included on the map, for example, to show reporting lines for certified functions. To add custom cards, 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 + Plus icon.
Click Add custom card, then click the three dot menu and select Change label.
Enter the relevant details into the Name and Role boxes then click Save.
Add visual areas
Visual areas help logically group individuals by role or function. To add visual areas, follow the steps below.
To add a line manager to the custom card, click the relevant three dot menu then select Set Line Manager.
Click the relevant manager's card.
To add a visual area, click the Pencil icon.
Click the + Plus icon.
Click Add visual area, then reshape and position as required.
Click the three dot menu and select Change label.
Populate the Label box with the required details, then click Save.
Edit reporting lines
You can amend the reporting line structure for each of these legal entities, meaning that you can have a different reporting line structure from the one set up in Access LMS Evo. To edit reporting lines follow the steps below:
From the draft version of your map, click the Structure tab.
Click Edit.
Follow the required instructions below and click Save.
Amendment | Instructions |
Change a line manager | Expand the user's 3-dot menu and click Change, then click the new manager's card. |
Remove a line manager | Expand the user's 3-dot menu and click Remove Line Manager. |
Add a line manager | Expand the user's 3-dot menu and click Set Line Manager, then click the new manager's card. |
User reports to more than one line manager | Expand the user's 3-dot menu and click Add Dotted Manager then click the managers card. |
Re-position and reshape lines for visual purpose | Drag the line into the required position and click X to remove the line way point. |
Reset your diagram to reflect the standard reporting lines | Click the Pencil icon, then Reset Diagram. |
Request and confirm acceptance of responsibilities
Before you can publish your responsibilities map, it is required that all users accept their assigned responsibilities.
Request acceptance
After saving a draft version of the responsibilities map, you can request user acceptance of assigned Statements of Responsibilities (SoRs).
To request acceptance of SoRs follow the steps below.
Go to the Senior Managers Regime screen.
Select the relevant responsibilities map, then click Edit.
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 the 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 steps below.
Click the Download Offline Acceptance link under the relevant user to download PDF.
Staff member signs and returns the document.
Scan and save the signed document.
Go to the Senior Managers Regime screen, then select the 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 the relevant user.
Click Choose File, then locate the signed PDF on 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 follow the steps below.
Go to the Senior Managers Regime screen, then select the 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.
Download responsibilities map
Go to the Senior Managers Regime screen, then select the relevant responsibilities map.
Use the drop-down menu to open the LIVE version of the map.
Click the 3-dot menu and select either Download as PDF or Word.