The Personnel Due Diligence (PDD) tab holds your firm's due diligence records for each user and Key Personnel member, supporting the employee due diligence obligation in Part A of an AML/CTF program. From here you can run an assessment in Firm Verify, upload one completed elsewhere, set the next review date and manage existing records.
Contents
Navigation
1 |
Open Firm. From the Main Toolbar, click Firm. |
2 |
Go to Personnel. Select the Personnel tab. |
3 |
Open the PDD tab. Select the person, then select the Personnel Due Diligence tab. |
Tab not showing?
A dedicated role authority controls the tab, so it only appears for roles your firm has granted it to. See Role permissions.
PDD status
The person's record header shows a PDD status alongside their Training status, based on 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 is within the next 30 days, including today. |
| Overdue | The Next Review Date has already passed. |
Review Due and Overdue always take precedence over the other statuses, 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. The date must be in the future; if you enter today or earlier, you'll see "Cannot be a date in the past."
The date is also updated when you complete an assessment or upload a PDD record with a next review date. If you leave that date blank, the existing date on the tab is kept.
Starting an assessment
Select Start PDD to assess the person in Firm Verify using the guided wizard. Records created this way show a FirmVerify Generated tag. For each step, see Personnel Due Diligence Wizard.
Only one assessment can be in progress for a person at a time. If one already exists, Start PDD takes you to that record instead.
Uploading a PDD record
Select Upload PDD to record an assessment completed outside Firm Verify, then complete the fields below and select Save.
| 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. |
| Rationale for the decision | Why you reached that outcome. Optional. |
| 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; must be a future date. |
Managing existing records
Records are listed with the most recent date of assessment first. An In Progress record always appears at the top. Each record shows the purpose of the PDD, date of assessment, who assessed it and the outcome.
Select the actions menu on a record to see what you can do. The options depend on your role permissions:
| Action | Who sees it | What it does |
|---|---|---|
| Edit | Users with Add/Edit Personnel Due Diligence | Opens the record so you can change it. In Progress and completed records can both be edited, including the decision, date of assessment, next review date and evidence. Wizard records open in the wizard; uploaded records open in the Edit PDD window. |
| Delete | Users with Add/Edit Personnel Due Diligence | Removes the record after you confirm. This can't be undone. A deleted record no longer counts towards the person's PDD status or next review date. |
| View | Users with Personnel Due Diligence only | Opens the record read-only. Documents can be downloaded but not changed. |
Role permissions
| Authority | Allows you to |
|---|---|
| Personnel Due Diligence | View the tab and its records (In Progress and completed) read-only, and download documents. |
| Add/Edit Personnel Due Diligence | Start an assessment or upload a PDD record, edit and delete records, upload documents, and update the Next Review Date. |
Available to: Account Owner and Admin roles have both authorities by default. View Only roles have Personnel Due Diligence but not Add/Edit Personnel Due Diligence. Your firm's Account Owner or Admin can change this in role settings.