As part of the Organisational Change Process, delegated authority approval may be required to proceed with some or all of the proposed changes – often this will be when you are considering one, or a combination, of the following:
- Restructuring a team/service
- Establishing a new post Redesigning an existing job role
- Disestablishing an existing post
- Evaluation review of an existing job role resulting in a grade change
- Job title change of an existing job role
If you have identified a need for one of these the below will guide you through the key steps, with additional supporting resources also provided.
Business case flow chart
The Business Case Flowchart is designed to guide you through the process of making changes which require a delegated authority business case; along with any associated activities from job evaluation, preparing a consultation pack to undertaking formal consultation and implementation.
For further guidance on business cases and links to supporting resources please also refer to the FAQ’s below.
Not all establishment changes will require a business case and you can progress the following without one:
- for a job title change only please use the job title change form which can be approved by your Cluster Chief Officer.
- to implement a grade change only for an existing post, as a result of a job evaluation review, please use the grade change form which can be approved by Cluster Chief Officer and Chief Officer People & Organisational Development.
- Both these forms can be found below in the key documents section.
Gateway Approvals and Establishment Control Board
During the change process you will require approvals at specified ‘Gateway Checks’:
| Business Case Gateway Checks | |
| Gateway A | Approval to proceed to develop proposals and draft a business case. While no business case is required to be presented at Gateway A; there must be enough detail provided to allow the Chief Officer People & Organisational Development and Chief Officer Finance to understand the request and the rationale for change.
If the proposal will include the requirement for recruitment additional consideration and approval from the Establishment Control Board (ECB) is also needed. Director approval of the business case proposal and any associated recruitment is required at the outset. Liaise with your P&OD Advisor in the first instance who will support accordingly. |
| Gateway B | Approval from the Chief Officer People & Organisational Development and Chief Officer Finance to progress to formal consultation. At Gateway B there must be a draft Business Case presented. |
| Gateway C | Business case approval and sign off by Cluster Chief Officer, Chief Officer People & Organisational Development and Chief Officer Finance, following conclusion of formal consultation. |
These approvals are in accordance with the Powers Delegated to Officers within the Scheme of Delegation, and ensures all proposals support the LOIP, best value and other Council-wide priorities as appropriate. For business case authors this ensures that change proposals are considered against the wider corporate context and ensures a collaborative approach organisationally with a specific focus on people and budget implications.
Gateway and Establishment Control Board Dates:
| Gateway Meeting Date | ECB Meeting – week commencing | ECB BC Tracker Submission Deadline |
| Wednesday 15 May | Monday 20 May | Thursday 16 May |
| Wednesday 29 May | Monday 3 June | Thursday 30 May |
| Wednesday 12 June | Monday 17 June | Thursday 13 June |
| Wednesday 26 June | Monday 1 July | Thursday 27 June |
Please note the above dates may be subject to change – please liaise with your P&OD Advisor to confirm.
Key documents
Frequently Asked Questions
When is Committee Approval needed?
Whilst a delegated authority business case is required to implement structure changes, there may be situations where a report to Committee for approval is first required. This may be where there are wider budget decisions, request for additional finance or wider consideration is required. There may also be times where a general decision has been made through a Committee Report in principle, but a follow up delegated authority business case is required to provide detail of the proposal and formalise the Committee decision.
Is an Integrated Impact Assessment (IIA) required for a delegated authority staff business case?
We have a legal requirement as a public sector organisation to assess the impact of our work on equality groups and assess against human rights, children’s rights and socio-economic impacts. For all delegated authority staff business cases consideration must be given ‘To what extent could the proposal have an unfair or unequal effect on different groups of people within the community or the workforce?’ It is important to ensure that business case lead officers and authors have assessed, acknowledged and captured any positive, neutral or negative impacts that proposals within the business case may have on certain groups. The business case flowchart (see key documents section) details how IIA’s fit within the overall business case process.
It is recommended that business case authors first review existing and/or generic IIA’s relating to organisational structure change to help inform their business case specific IIA requirements. These can be found in the IIA library.
Depending on the nature of the proposed changes one or more of the following generic IIA’s may apply to your proposed change – you should detail this within the IIA section of your business case:
- IIA Workforce Reduction, Restructure and Redesign
- IIA Recruitment and Selection Processes (including. Redeployment, Job Matching and Selection for Development Opportunities)
- IIA Job Evaluation Scheme
Full guidance on undertaking an IIA can be found here along with contact details for the Equalities Team who can provide further advice and support throughout.
What information is required for the Establishment Control Board?
The Business Case Establishment Control Board Tracker (BC-ECB spreadsheet) must be completed for any business cases proposals and associated recruitment for consideration at ECB. All Cluster Chief Officers have access to the tracker. They are required to complete all fields for the proposal to be considered; failure to provide the requested information will mean that the proposal(s) cannot be approved. Director Approval must also be confirmed.
There is no need for a completed business case at this stage, but an outline of the proposal, and how it meets the exceptions criteria are required. If there is a draft business case, a link to this can be provided for further information.
How long will it take to complete and implement a delegated authority business case?
This will depend on the complexity of the proposed change and the consultation timeline which will be defined by the scale of employee impacts. Formal consultation can take a minimum of 2 working weeks for a simple change, to 45 calendar days for changes which include risk of employee displacement. Business Case authors should be mindful of the timings of consultation; also a business case which impacts directly on school staff would not generally be consulted on during the school summer holidays.
You will also have to account for Gateway Checks, fortnightly ECB meeting dates and the impact they have on your timeline.
Additionally, you need to factor in other aspects of the change process, such as initial engagement with Trade Unions and employees and time for any job evaluation requirements e.g. where you need to create a new role or review existing roles.
Do I need a full business case for a job title change?
If you are only making a change to a job title you can use the “job title change” form and seek approval from your cluster Chief Officer.
If you are making other changes to the structure which require a business case and identify that a job title change(s) are also required you can include this in your business case also or progress using the job title change form.
Do I need a full business case for a grade change of an existing job role following evaluation review?
No – if the only change is to the grade of an existing role as a result of job evaluation review, you can progress using a “Grade Change” form. The only exception to this advice is if the grade outcome is lower as a result of the job evaluation review AND there is a jobholder(s) in post. In such circumstances your PO&D advisor will support you in progressing this change in a sensitive and appropriate way. Grade change forms require Cluster Chief Officer Sign off and approval from the Chief Officer People and Organisational Development in accordance with the Powers Delegated to Officers within the Scheme of Delegation.
What does the business case consultation pack need to include?
This will vary from exercise to exercise, with size and nature of the change being key factors in deciding. As all consultation must be meaningful then you should ensure that the consultation pack contains clear information outlining what the proposed change is, clarifies why the change is needed and presented in a way which is meaningful to all consultees. This can include:
- business case report
- structure charts (“as is” and “to be”)
- draft job profiles
- clarity on timelines
- any relevant additional paperwork, such as an option appraisals
- summary of feedback/input received from staff as part of engagement activity undertaken
It is recommended that a pre consultation briefing/meeting is held with Trade Union colleagues to summarise the content of the consultation pack and timescales.
Will job evaluation be required?
The Job Evaluation Decision Tree – available on our Job Evaluation and Equal Pay pages – will help to inform if there are any JE requirements arising from your business case proposals, and it is recommend you liaise with a P&OD Advisor to discuss further.
How do I know if job matching or displacement may apply?
Seek advice from your P&OD Advisor to confirm whether job matching and/or displacement may apply to any potentially affected employees within the scope of your proposals.
In general terms where you seek to redesign jobs, as opposed to making a couple of small changes, and/or are considering the disestablishment of a job role held by an employee then you are potentially placing an employee at risk of displacement, and so the job matching or displacement processes will need to be considered and applied accordingly.
Who can provide assistance with the financial implications?
Please contact your finance business partner to discuss financial viability of your proposal as early as possible in the process, as well as to get confirmation of available budget and financial/budget codes which will be required for a business case. Your P&OD Advisor can provide general advice on grades.
Who do I need to consult with and for how long?
The consultation timeline will depend on the scale of change and impact on current employees. Where there is no detriment to jobholders a minimum of 2 working weeks consultation will apply. Where there is potential negative impact on existing employees, such as risk of displacement, then a minimum 45 calendar day consultation period is required. Please liaise with your P&OD Advisor to confirm requirements.
Consultation will include with the Trade Unions, directly affected employees, Cluster Chief Officer, Chief Officer People and Organisational Development, Chief Officer Finance and any other key stakeholders.
You will need to issue consultation letters to directly affected employees outlining the consultation process, the potential impact to them, mechanisms for feedback including an invite to a formal consultation meeting to discuss the proposals. You must also ensure that in consulting with directly affected employees they receive a copy of the business case pack for their full consideration.
You will need to be flexible with your approach and be able to respond to any requests and/or questions from your consultees.
Formal consultation has ended – what do I do next?
You will need to finalise your business case summarising responses to the proposals and include reasons why any alternative proposals have been rejected. Append any FAQs and Trade Union consultation feedback forms received and ensure the consultation section of the business case is fully completed. Seek sign off from your Cluster Chief Officer, then share with your P&OD Advisor who will progress approvals and sign off on your behalf from the Chief Officer People and Organisational Development and Chief Officer Finance.
It may also be necessary to submit to SMT, CMT or Committee for approval where appropriate. LNCT agreement will be necessary first for local arrangements affecting teachers’ conditions of employment.
Once all governance requirements have been satisfied, you can move to implementation of the approved changes.
My business case has been approved – who implements the changes?
Business case authors are responsible for taking forward implementation, however, some changes may be delegated to an appropriate manager/lead officer, for them to progress any employee processes following approval e.g. job matching or displacement.
Your P&OD Advisor will assist you with this and provide advice on taking forward implementation of actions from the business case e.g. creation of posts on the establishment and recruitment, or progressing job matching and displacement in accordance with these processes.
If your Business Case sets out specific details on implementation and/or during formal consultation there was agreement on aspects of implementation these must be adhered to.
How do I recruit to new posts established under a business case?
Please complete the Approval to Recruit form on the Managing Vacancies page and use the Talentlink system to take it forward. The Talent team will also be able to support you with recruitment requests or advertising campaigns etc.
Please refer to the process used by the Talent team to progress requests to recruitment, although in some cases it may be possible to obtain provisional approval to recruit at the BC Gateways.
Where do I get the PO&D reference asked for on the first page of the business case?
Your PO&D Advisor will provide you with this reference – you will not be able to progress your business case without this detail.
Where do I get the information asked for about job numbers etc on the last page of the business case to populate the Establishment Control Information Table?
You should complete as much of the Establishment Control Information table as you can, if there is still detail you do not have then please seek advice from your finance support and/or your P&OD Advisor. Complete information is required in order to update CoreHR and reflect the approved changes to structure.
I’ve never written a business case before, are there examples I could refer to?
As business cases vary so much , depending on internal factors it is not possible to provide examples to refer to. However the business case template is structured in such a way as to capture the key information that those with delegated authority require to make an informed decision and those who are consultees to understand and frame any questions or concerns accordingly.
When writing a business case the following are helpful questions to consider:
- is my proposal clear (including avoiding unnecessary jargon)
- have I explained the business reason for this (and if appropriate why other approaches have been rejected)
- does the proposed change demonstrate best value
- have I clearly linked the proposed change to the LOIP
Your P&OD Advisor will provide support in preparing the business case, and you may want to ask a colleague to read through before you progress.
Further Support
Contact an advisor from the Organisational Change & Design team for further guidance and support on the process and tools. The team will be able to advise whether Delegated Authority Approval, e.g., via Business Case, is required for your change and including your Finance contact in discussions is also critical at an early stage, to ensure that financial viability and best value will be sustained throughout.