Under SM&CR, whenever another Senior Manager takes responsibility for a particular Senior Manger function - whether on a temporary or permanent basis, a handover must be completed so any issues or data are available to the Senior Manager's replacement. Corterum allows you to not only capture handovers they are performed, but also to document the process for handovers of any Senior Manager function, so you can lay out exactly what needs to happen in the event of change. Here's how:
Handover Procedures
This section allows you to set out any processes that need to be followed in the event of a future handover, for example, people to be notified or documents to be updated. Here's how to record it:
Click WORKBENCH and then click DATASETS.
Then click SM&CR.
Then choose Senior Managers Regime.
Then click on Handovers.
Then select Handover procedures.
A list of any procedures that you have already recorded will appear.
To amend an existing handover procedure click on the name of the handover, and in the pop-up window that appears, select EDIT. Then edit the data as needed. You can follow on from step 9 below as a guide.
To add a new handover procedure record click the + symbol.
A pop-up window will open.
Under 'Procedure Title' Give the handover procedure a name; e.g. 'Handover for CEO'.
In the 'Author' section choose the creator of this process from the dropdown list.
In 'Procedure Description' describe the process needed to perform this handover effectively.
Under 'Procedure Effective Date', record when this process comes into effect.
Under 'Review date' record when this procedure will be reviewed - regular process reviews are recommended..
You can also upload any supporting documents (or view/remove any already uploaded) by clicking the button under 'Documents'.
Once you are finished editing this dataset - click 'Save' and then 'Close'.
Handover Notes
This is where you'll record the details of the specific responsibilities that are being handed over when a handover occurs so you have a full record of who's responsible for fulfilling senior manager functions, and for what period. Here's how to record it:
Click WORKBENCH and then click DATASETS.
Then click SM&CR.
Then choose Senior Managers Regime.
Then click on Handovers.
Then select Handover notes.
A list of any notes that you have already recorded will appear.
To amend an existing handover notes instance, click on the name of the handover and in the pop-up window that appears, select EDIT. Then edit the data as needed. You can follow on from step 9 below as a guide.
To add a new handover procedure record click the + symbol.
A pop-up window will open.
First, select the appropriate name from the dropdown list of who's preparing the handover in Handover prepared by.
Then, in Handover prepared for, choose the person who will be receiving the handover from the dropdown list.
Give the handover a descriptive tile - e.g 'CEO Holiday note - November 2021', so people can see at a glance what this note is about.
Fill in date created, and last updated by choosing the correct dates from the date picker.
You'll then be asked to list the Senior Manager Responsibilities that are being handed over, and also to identify the person who will take over these responsibilities while the main responsibility holder is unavailable. This is done in Corterum as a table dataset. You can either create a new list of responsibilities, or if you have created a previous set of responsibilities to hand over that is still correct for this period of absence, you can link this handover note to the previously created table dataset:
NB - if you are editing an existing handover note, this table dataset should already have been created, and you can view or amend it by clicking the view table button - which is only available in existing handover note datasets.
To create a new table dataset for Responsibilities handed over:
Click the'Link Table' button, and a new pop-up window will appear.
Select if you want to either create a new dataset or link to an existing one (see below for instructions on linking an existing dataset). Select New.
Select Confirm.
A new pop-up box will appear containing the 'Table dataset'.
You can give the dataset a description to easily identify it in future - for example 'CEO annual leave responsibilities handover' - just click the pencil next to 'Dataset description' in the top-left corner of the pop-up box.
Then in 'Responsibilities handed over for' choose the name of the person who is handing over their responsibilities.
The next section is a table here you can lay out the people to whom responsibility is being handed over, and the specifics of which functions, responsibilities and duties are being handed over.
To start, under Responsibility handed over to, choose the name of the person who will be taking over responsibility from the dropdown list.
Under Senior Manager Functions (SMFs), choose the SMFs that are being handed over - you can select more than one.
Under Inherent responsibilities, click in the free set box to set out any inherent responsibilities that are being handed over.
From the dropdown list under Prescribed responsibilities, choose the responsibilities that are being handed over - you can select more than one if needed.
From the dropdown list under Other responsibilities, choose the responsibilities that are being handed over - you can select more than one if needed.
In the comments section, use the free text box to add in any other information that might be needed to complete the handover, or any context that is needed.
You might want to split the handover among multiple people, for example the person handing over might be responsible for both SMF16 and SMF17, and you want these duties to be handled by two different people. If so, click the ADD ROW button at the bottom-right hand side of the pop-up window. Then follow the steps above to fill out the details for the second (or more) persons being handed over to.
Once all responsibility details are complete, click SAVE and then CLOSE.
To use an existing table dataset for Responsibilities handed over:
Click the'Link Table' button, and a new pop-up window will appear.
Select the button to link to an Existing dataset.
Below the New/Existing toggles, there is a list of previously created Responsibilities handed over datasets. If none are listed, then you'll need to create a New dataset by following the instructions above.
Select the dataset you want to link to these handover notes and click the Confirm button.
You'll now be returned to the Handover notes record, and you'll see that the Link table button's text has changed to View table. you can view or change details of this table by clicking the View table button.
If you've made a mistake and linked the wrong table dataset, you can click the X next to the View table button to unlink the datasets and start again.
The next section is another table dataset, this time allowing you to record a Summary of handover issues. Again, as it's a table dataset you can either create a new list of responsibilities, or if you have created a previous Summary of handover issues to hand over that is still correct for this period of absence, you can link this handover note to that previously created Summary table dataset:
NB - if you are editing an existing handover note, this table dataset should already have been created, and you can view or amend it by clicking the view table button - which is only available in existing handover note datasets.
To create a new table dataset for Summary of handover issues:
Click the'Link Table' button, and a new pop-up window will appear.
Select if you want to either create a new dataset or link to an existing one (see below for instructions on linking an existing dataset). Select New.
Select Confirm.
A new pop-up box will appear containing the 'Table dataset'.
You can give the dataset a description to easily identify it in future - for example 'CEO annual leave responsibilities handover issues' - just click the pencil next to 'Dataset description' in the top-left corner of the pop-up box.
Then in 'Summary of handover issues' choose the name of the person who is handing over their responsibilities for these issues to another person.
The next section is a table here you can lay out the issues that are being handed over, and the specifics of concerns and actions that have been done to address the issues.
To start, under Title, use the free text box to give the issue a descriptive name to help people identify it.
Under Issue type, select from the dropdown list what type of issue you are discussing
Under Issue status, you can give a RAG status for the issue if required.
Use the free text box under Details to set out a description of the issue
Under Priority, choose the level of priority needed for this issue.
Use the date picker under Date issue arose to set out when the issue was first noticed.
Use the next date picker under Date issue resolved to choose when the issue has been corrected.
Then, use the free text box to outline the Root cause of the issue.
Next, use the free text box under Remediation actions to outline what steps will be taken to correct the issue.
Then use the date picker under Remediation deadline to select the date by which the remediation should be completed.
You might want to handover multiple issues. If so, click the ADD ROW button at the bottom-right hand side of the pop-up window. Then follow the steps above to fill out the details for the second (or more) issues being handed over.
Once all the issue details are complete, click SAVE and then CLOSE.
To use an existing table dataset for Summary of handover issues:
Click the'Link Table' button, and a new pop-up window will appear.
Select the button to link to an Existing dataset.
Below the New/Existing toggles, there is a list of previously created Summary of handover issues datasets. If none are listed, then you'll need to create a New dataset by following the instructions above.
Select the dataset you want to link to these handover notes and click the Confirm button.
You'll now be returned to the Handover notes record, and you'll see that the Link table button's text has changed to View table. you can view or change details of this table by clicking the View table button.
If you've made a mistake and linked the wrong table dataset, you can click the X next to the View table button to unlink the datasets and start again.
To complete our handover note, we can add any needed documents to support the handover by clicking the documents attached button.
Then just click SAVE and then CLOSE.