Establishment Control Policy CCG Policy Reference: FIN 5 Brief Description (max 50 words) Target Audience This policy sets out the process and approvals required before any change in the Clinical Commissioning Group s Funded Establishment can be implemented. All employees of the Clinical Commission Group Action Required Following approval this policy will be applied in full and at all times. It will be reviewed every two years by the Director of Finance and Director of Corporate Development and Assurance to ensure the policy is still fit for purpose. This policy will be raised at all team meetings, and confirm the requirements with the chairs of each Committee, and with CCG executives. The Head of Corporate Services and Risk will add this to the corporate register of all policies and ensure that this policy is reflected on the website. 1
Document Information Title /Version Number/(Date) Document Status (for information/ action etc)and timescale Establishment Control Policy Version 1.1 Accountable Executive Director of Finance Responsible Post Director of Finance holder/policy Owner Date Approved July 2015 Approved By Executive Team and Policy sub group Publication Date 08.07.15 Review Date Due to reorganisation policy review extended to October 2017 Author Finance Controller Stakeholders engaged in N/A development or review Equality Impact Assessment Contact details for further information EQUALITY IMPACT ASSESSMENT This document has been assessed for equality impact on the protected groups, as set out in the Equality Act 2010. This Policy is applicable to the Governing Body, every member of staff within the CCG irrespective of their age, disability, sex, gender reassignment, pregnancy, maternity, race (which includes colour, nationality and ethnic or national origins), sexual orientation, religion or belief, marriage or civil partnership, and those who work on behalf of the CCG Director of Finance Amendment History Version Date Reviewer Name(s) Comments Associated Policy Documents Reference Title Glossary Term Definition 2
EQUALITY IMPACT ASSESSMENT TOOL To be completed and attached to any procedural document as part of main document sited between version control sheet and contents page 1. Does the document/guidance affect one group less or more favourably than ather on the basis of: Race Ethnic origins (including gypsies and travellers) Nationality Gender Culture Religion or belief Sexual orientation including lesbian, gay and bisexual people Age Disability - learning disabilities, physical disability, sensory impairment and mental health problems 2. Is there any evidence that some groups are affected differently? 3. If you have identified potential discrimination, are there any exceptions valid, legal and/or justifiable? 4. Is the impact of the document/guidance likely to be negative? Yes/No N/A 5. If so, can the impact be avoided? N/A 6. What alternative is there to achieving the document/guidance without the impact? 7. Can we reduce the impact by taking different action? N/A N/A Comments For advice in respect of answering the above questions, please contact the Corporate Office, North West Surrey Clinical Commissioning Group. If you have identified a potential discriminatory impact of this procedural document, please contact as above 3
Contents Introduction... 5 What is the Clinical Commissioning Groups Funded Establishment?... 5 What is the Clinical Commissioning Groups Funded Establishment in Post?... 5 Establishment Change Procedure... 6 What is a change to the Funded Establishment in Post?... 6 Who can approve a change to the funded establishment?... 6 How can I obtain approval for a change to the Funded Establishment in post?... 7 Do you have the budget for the change?...error! Bookmark t defined. I have a budget for this change or increase in budget is needed... Error! Bookmark t defined. Process overview... 8 Appendix A Establishment Control Form... 9 4
Introduction This policy sets out the arrangements for the financial management of North West Surrey Clinical Commissioning Group s Funded Establishment. This policy will enable the Clinical Commissioning Group to effectively manage and monitor its Funded Establishment and provide a process for changes to the Funded Establishment when they are required by the organisation to maintain operational effectiveness. What is the Clinical Commissioning Groups Funded Establishment? At the start of every year the Clinical Commissioning Group s Governing Body agree the Whole Time Equivalent posts and through Agenda for Change banding the skill sets of these posts required to deliver our services and achieve our objectives. The total Whole Time Equivalents agreed, up to Board level and stratified by grade, is the Clinical Commissioning Groups Funded Establishment. The Whole Time Equivalent posts agreed don t have to be full time and they don t have to be filled by one person: a Whole Time Equivalent posts can be filled by two people job sharing. The Funded Establishment will be matched by a financial budget estimated at the start of the year to be the total cost to the Clinical Commissioning Group of the Whole Time Equivalent posts. This budget, and the ability to manage but t change the Funded Establishment, will be delegated to a Budget Holder. What is the Clinical Commissioning Groups Funded Establishment in Post? At the start of every year each Budget Holder will be required to agree with Finance: The Funded Establishment they have been delegated; and A listing of all staff currently substantially employed by the Clinical Commissioning Group against each Whole Time Equivalent in the Funded Establishment. This staff listing will be the Funded Establishment in Post When an employee on the Funded Establishment in Post leaves and a replacement is being recruited to the same post the Clinical Commissioning Group Recruitment Selection Policy must be followed. 5
Funded Establishment Change Procedure What is a change to the Funded Establishment? Changes to the Funded Establishment are as follows: 1. Employee Contract Change Within Budget (e.g: Skill Mix Changes); 2. Employee Contract Change Requiring Additional Budget; 3. Employee Contract Change Requiring Reduced Budget; 4. Transfer of a post to New Cost Centre; 5. New Post; 6. Removed Post. All changes to the Clinical Commissioning Groups Funded Establishment must be approved in line with this policy before they any recruitment process is entered into or contractual commitment (whether actual or implied) is made with an existing or prospective Clinical Commissioning Group employee Who can approve a change to the funded establishment in post? Change 1 Employee Contract Change Within Budget (e.g: Skill Mix Changes) 2 Employee Contract Change Requiring Additional Budget Approvals Required Agreed at 1:1 with Chief Executive and Director If due to an Agenda for Change rebanding: Directors. CSU HR Business Manager to be informed. Any other reason: Executive Management Team approval. CSU HR Business Manager to be informed. 3 Employee Contract Change Requiring Reduced Budget If due to an Agenda for Change rebanding: Directors. CSU HR Business Manager to be informed. Any other reason: Executive Management Team approval. CSU HR Business 6
Change Approvals Required Manager to be informed. 4 Transfer Post to New Cost Centre Deputy Director of Finance. 5 New Post Executive Management Team approval. CSU HR Business Manager to be informed. 6 Removed Post Executive Management Team approval. CSU HR Business Manager to be informed. How can I obtain approval for a change to the Funded Establishment? An Establishment Control Form must be completed before any change to Funded Establishment is commenced. This form is attached in Appendix A below. Each form will be sequentially numbered and logged by the Clinical Commissioning Group s Finance Department. Once the Form is approved in line with this policy the Clinical Commissioning Group s Human Resources Team will commence the change process. This could be the start of the recruitment process, the start of a restructuring process of a post, or is post to be removed from the establishment, or ather action. The Finance Department will retain the final approval document. 7
Process overview The process can be seen as follows: A change in Funded Establishment is required Contact the Finance Department to obtain a Establishment Control Form Review the Establishment Control Policy to identify the approvals required and complete Establishment Control Form. Review completed but t authorised form with the Finance Team. Obtain approvals required (if a Committee approval is required the form will be signed by the most senior member of that Committee) and submit: Original to Financial Department for retention. Copy to Human Resources Team alongside the forms required from the Recruitment Selection Policy or other applicable policies if staff reduction or movement is required. 8
Appendix A Establishment Control Form Section 1: Change to Budgeted Establishment Type of Change (Please tick): Employee Contract Change Within Budget (e.g: Skill Mix Change) Go to Section 6 Employee Contract Change Requiring Additional Budget Go to Section 2 Employee Contract Change Requiring Reduced Budget Go to Section 2 Transfer Post to New Cost Centre Go to Section 3 New Post Go to Section 4 Delete Post Go to Section 5 Section 2: Changes to Current Employee Contracts Current Post Title Position Number New Post Title Current Grade New Grade Current WTE Revised WTE Current Budget Revised Budget External Funding (if applicable) Net Budget Increase / (Decrease) Please go to Section 6 if this change creates an increase in budgetary commitment Section 3: Transfer Post to New Cost Centre Current Post Title Position Number Current Cost Centre New Cost Centre 9
Section 4: New Post New Post Title Cost Centre Line Manager New Grade WTE Start Date End Date (or state if permanent employment) Required Budget External Funding (if applicable) Net Budget Increase / Decrease Please go to Section 6 Section 5: Delete Post Current Post Title Current Post Number Current Grade Current WTE Current Budget Section 6: Business Case Please provide business case to support: i. Creation of a new post ii. Increase in cost of current post. iii. Changes in skill mix (please detail current posts and proposed new posts) For a new post or a regrading of an existing post please also attach copy of job description and the revised structure chart. Section 7: Financial Impact Budgetary Implications: Increase / (Decrease) Checked by Finance: 10
Section 8: Signatories Head of Service Name Signed Date Director Name Signed Date Approval by Executive Team Name Signed Date: Please return to Finance Department once all signatories have been obtained For Finance Use New Post Number 11