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Contents
Personnel Due Diligence: upload and record keeping
A Personnel Due Diligence tab now sits alongside Details and Training on user and Key Personnel records. It holds your firm's due diligence evidence against the individual it concerns, supporting the employee due diligence obligation in Part A of an AML/CTF program. This release covers attaching an assessment completed outside FirmVerify. Running an assessment inside FirmVerify comes later, with the PDD wizard.
Navigation
| From the Main Toolbar, click Firm |
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| Then select the Personnel tab. |
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PDD status
The person's record header shows a PDD status alongside their existing Training and Status indicators, derived from the assessment with the most recent date of assessment.
| Status | When it shows |
|---|---|
| Not Started | No PDD assessments exist for this person yet. |
| In Progress | The most recent assessment is still in progress. |
| Completed | The most recent assessment has an outcome of Suitable or Not Suitable. |
| Review Due | The Next Review Date falls within the next 30 days. |
| Overdue | The Next Review Date has already passed. |
Note: Review Due and Overdue always take precedence over the other statuses above, so an upcoming or overdue review is never hidden.
Setting the next review date
Select the Next Review Date field, choose a date, then select Save. If you enter a date that is today or earlier, you'll see the message "Cannot be a date in the past." This check only applies when you edit the date directly on this tab, not when a date is set automatically from an uploaded assessment.
Uploading a PDD record
Select Upload PDD to record an assessment completed outside FirmVerify.
| Field | What to enter |
|---|---|
| Assessed By | Pre-filled with your name. Editable. Required. |
| Purpose of PDD | The reason for the assessment, for example new personnel, an internal transfer, or a triggered review. Required. |
| Date of Assessment | Pre-filled with today's date. Editable. Required. |
| Decision | The outcome: Suitable or Not Suitable. Required. |
| PDF upload | Supporting evidence. Up to 10 files, in PDF, DOC/DOCX, JPEG/JPG or PNG format. Required. |
| Next Review Date | Pre-filled with the review date already shown on the tab. Optional; if left blank, the existing date is kept. |
Managing existing records
Once one or more assessments exist, they're listed with the most recent Date of Assessment first, though any In Progress record always appears at the top. Each record can be viewed, and In Progress records can also be edited or deleted.
- Edit and Delete — available while a record is In Progress.
- View — available once a record is Suitable or Not Suitable. Uploaded documents can be downloaded but not edited or deleted.
Role permissions
- Personnel Due Diligence — view the tab and existing records, and download documents from those records.
- Add/Edit Personnel Due Diligence — start, edit, view and delete records, upload documents, and update the Next Review Date.
Available to: Account Owner and Admin roles by default, with both authorities enabled. View Only roles have Personnel Due Diligence enabled by default, but not Add/Edit Personnel Due Diligence. Your firm's Account Owner or Admin can adjust this in role settings.