Recording senior manager details in SMCR

This guide explains how to record senior manager details against an employee record using the Statement of responsibilities workflow with the add-on SMCR (Senior Manager and Certification Regime) module.
 

Contents

• How to add senior manager information
• Using the statement of responsibilities workflow
• Producing a statement of responsibilities
• Reviewing and accepting a statement of responsibilities
• Related articles

How to add senior manager information

• Go to Personal > Personal Details.
• Select the employee.
• Select the Senior Manager Details tab.
• Click Add new record and enter the date the employee entered the regime, click Update against the row to save
• If the employee has previously held different SMFs, add additional date rows. Click Edit against an existing row to make changes
• Make sure the earliest date recorded remains correct.
• It is also possible to add end dates if known.

• This creates the foundation for assigning senior manager functions and responsibilities and means the person will be available to select in the Statement of responsibilities workflow

Using the statement of responsibilities workflow

• The SOR workflow helps you allocate senior manager functions (SMFs) and responsibilities, and generate an official Statement of Responsibilities
• Go to Employee Checks & Compliance > SMCR > Statement of Responsibilities Workflow

• Click the subset if needed for further search options or to reset the criteria if the right people aren't listed 
• Select the senior manager which will move you onto the Senior Management Functions tab for that person
• Choose the relevant SMFs by enabling the slider against them and then click Add or Remove to move them into the correct list.  The slider at the top of each column can be used to select all

• Click Next to move on to the Responsibilities tab and select responsibilities as required. (If responsibilities have been pre selected and linked to the relevant Senior Manager Function (SMF) in the Senior Management Functions page, these will automatically be assigned and an orange triangular icon will inform you of this).

• Click Next to Review your selections
• The Responsibilities section will highlight any changes, hover over the icons for information. You can add notes in the Reason box against a responsibility to document changes

• Click Produce Statement of Responsibilities to generate and choose one of the following options:
  • Create SOR without document (employee logs in to accept)
  • Upload document (your own SOR template)
  • Generate document (from letter store template)

Note: An SMCR Document File Category needs to be configured before a Statement of Responsibilities document can be saved against an employee's record. A ticket should be raised to Ciphr to get this configured, however you must specify which category should be used. Tip: It's possible to update this in System Configuration; however, it involves creating a copy of the File Categories report in Report Designer so you can add the Group Category ID to the report to view it in the Base Data. You can then add the associated ID number in system configuration.

Producing a statement of responsibilities

Create SOR without document

• Selecting this option will invite the employee to accept the Statement of Responsibilities by sending an email
• Select the 'Create SOR Without document' option and the system will confirm success:

• You can now create another Statement of Responsibilities or view the Statement of Responsibilities in the Senior Manager Details page by selecting the appropriate option.

Upload document

• Selecting this option allows the upload of an existing Statement of Responsibilities and also gives the ability to choose the Status - Assigned, Accepted or Rejected.

• Select the document and choose the relevant status, then click on Upload and produce Statement of Responsibilities

Generate document

• Choosing this option produces a pre populated template of the Statement of Responsibilities from the Letter Store

• Care should be taken when using this option that all the relevant fields are completed for the employee and that the template meets the organisations requirements. 

Reviewing and accepting a statement of responsibilities

• This process is completed by senior managers:

1. Log in to HR or open the notification email and click the link
2. Go to Employee Checks & Compliance > SMCR > Senior Manager Details
3. Select the Statement of Responsibilities from the dropdown box at the top of the page.

4. Choose to Accept or Reject.

   

5. If accepting, Senior Managers will need to confirm their acceptance. They will also have the opportunity to upload an existing or updated Statement of Responsibilities if this option is switched on in System Configuration.

6. If rejecting, enter a reason so the HR or compliance team can review and update the document.

7. All actions are recorded with date and time stamps.

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