Handover Management

Purpose

Structured inter-phase handover process for the waterfall lifecycle. Governs artefact inventory, open items log, risk register transfer, phase transition readiness checklist, and formal handover sign-off. Ensures continuity between phases without losing context or leaving unresolved items.

The handover is the formal transfer of accountability from one phase team to the next. It is not a rubber stamp — it is a governance record that every artefact, register item, and open decision has been explicitly accounted for.

When to Use

• Preparing the handover package for any phase gate (Gate A through Gate H)
• Reviewing completeness of handover artefacts before gate submission
• Transferring open register items (risks, assumptions, clarifications, dependencies) from one phase to the next
• Obtaining formal handover sign-off from the current phase lead
• Any time phase transition readiness is being assessed

Instructions

Step 1: Identify the Gate and Artefact Set

Determine the gate label (A–H) and the corresponding mandatory artefact list from references/gate-criteria-reference.md.

For Gate C (Phase 3 → Phase 4), the mandatory set is:

• hld.md
• lld.md
• interface-specifications.md
• adr-set/ (directory with at least 1 ADR file)
• control-matrix.md
• test-design-package.md
• operational-design-package.md
• security-design-review.md
• ai-control-design-note.md
• design-approval-pack.md
• assumption-register.md (updated with Phase 3 assumptions)
• clarification-log.md (updated, all blocking design items resolved or tracked)

For Gate B (Phase 2 → Phase 3), refer to references/handover-checklist.md Section 2.

Step 2: Conduct Artefact Inventory

For each mandatory artefact:

• Check it exists in .waterfall-lifecycle/artefacts/phase-N/
• Check it contains no unfilled {{variable}} placeholder tokens
• Check it has been reviewed (not in draft status)
• Record status: complete / incomplete / missing

An artefact with placeholders is incomplete, not complete. Gate cannot proceed with any incomplete or missing artefacts.

Step 3: Transfer Open Register Items

Review the following 5 register types from the current phase:

• Risk register
• Assumption register
• Clarification log
• Dependency log
• Evidence index

For each open item:

• Add a transition_note explaining why it was not resolved in the current phase
• Assign or confirm an owner for the next phase
• Copy the item to the next phase's register, preserving the original ID and history
• Document the transfer count per register type

Step 4: Complete the Phase Transition Readiness Checklist

Assess against the 8 exit criteria for the current gate (see references/handover-checklist.md). Record pass/fail per criterion. Any fail result is a blocker — the handover package cannot be submitted until the blocker is resolved or formally waived.

Step 5: Obtain Formal Sign-off

The designated sign-off authority must review and sign the gate approval pack.

For Gate C: Architecture Lead + Solution Architect. For Gate B: Requirements Lead + Business Owner.

Sign-off requirements:

• All exit criteria are pass
• No CRITICAL open items without explicit carry-forward approval
• All mandatory artefacts have status complete

Sign-off must happen before gate submission — it cannot be retroactive.

Step 6: Generate Handover Summary

Produce a handover summary document covering:

• Artefacts handed over (status: complete / incomplete per artefact)
• Open items transferred (count by register type)
• Transition decisions (anything deferred, with reason and owner)
• Sign-off record (authority name, date, method of confirmation)

File the handover summary in .waterfall-lifecycle/gate-reports/ before Phase N+1 begins.

Key Principles

1. No artefact left behind — every mandatory artefact must be accounted for: either present and complete, or explicitly deferred with a documented reason and named owner.
2. Open items travel forward — unresolved risks, assumptions, and clarifications transfer to the next phase register with transition notes; they do not disappear between phases.
3. Placeholders are blockers — any artefact with unfilled {{variable}} tokens is not complete; the gate cannot pass until placeholders are resolved.
4. Sign-off is binding — formal sign-off on the gate pack is the governance record; it cannot be retroactive and must occur before gate submission.
5. Phase N+1 acknowledgement — the receiving phase PM must explicitly acknowledge inherited open items before Phase N+1 work begins; inherited items are not surprises, they are documented transfers.

Reference Materials

• references/handover-checklist.md — per-gate artefact checklists and transition readiness criteria
• references/gate-criteria-reference.md — gate pass/fail criteria for all gates
• references/lifecycle-overview.md — full phase boundary definitions

Quality Checks

• All mandatory artefacts for the gate are present and have status complete
• Zero unfilled {{variable}} placeholder tokens in any artefact
• The 5 transfer register types (risk, assumption, clarification, dependency, evidence index) have been reviewed and open items transferred to the next phase
• Exit criteria checklist is 100% pass before gate submission is requested
• Sign-off authority has reviewed and signed the gate approval pack (not just been listed)
• Handover summary is produced and filed before Phase N+1 begins