A Guide to the Establishment Control Process Last update – 25/06/14 (Kate Toone)

What is the Establishment?  The West Berkshire Council (WBC) Establishment is the listing of agreed contracted posts.  Any variation to the existing Establishment needs to have agreement from the appropriate authorising bodies (more details to follow).  Details of current postholders is combined with this information to show vacancies and filled posts. The Establishment does not include casual, agency or temporary workers.

Why and how is the Establishment monitored?  The Establishment Control (EC) process was introduced at the request of Elected Members and is maintained by HR.  The process includes a set of forms which are designed to ensure that all changes to the staffing Establishment are properly recorded.  Once fully completed and received the changes to staff and posts will be recorded on the HR / Payroll system – Resourcelink.  Total Full Time Equivalent (FTE) figures are reported to Corporate Board and Management Board on a regular basis. Any increases in Establishment FTE are shown with funding details and commentary from the forms.

What are the benefits to you?  This control system ensures that the HR system is up-to-date so we can supply you with reports which: Tell you as managers which posts you have in your areas of responsibility. Which posts are filled and which are vacant. Which posts are part-filled, so any spare hours can be identified.

What is the difference between a Post and an Employee? POST:  Each employee has one or more posts (with post numbers) assigned to them.  The post details include: Title, grade, hours, manager, cost centre, location, etc. and the service and directorate the post sits within.  If any of these details about the post are changing an EC1 form should be completed. EMPLOYEE:  The employee details are personal details about that member of staff in a post.  The employee details include: How many hours they work, employment status, grade and spinal column point etc.  If any of these details are changing, an EC2 form should be completed.

What are the Establishment forms?  There are seven Establishment forms: EC1: Change to Establishment EC2NEW : New Starter EC2CHANGE: Change to an existing Employee EC3: Working Patterns EC4: Notice of Leaving WBC EC5: Recruitment Request EC-CC: Change to Cost Centre

Where can I find the forms?  All Establishment Control Forms are on the intranet On the intranet access the Human Resources pages, go to the section for Policies, Procedures, Guidance and Forms for Human Resources and select Establishment Control (EC Forms).  The page link is as follows:  It is very important that the most current forms are used. The forms should be accessed via the intranet rather than saving local copies to your computer. The forms are regularly updated and you need to make sure you use the most up to date version. If you fill in an out of date form, it may not be authorised and you will be asked to complete a new form so that HR get the information required.

EC1: Change to Establishment  Are you creating a new post?  Are you extending a fixed term post?  Are you making a fixed term post permanent?  Do you want to delete a post?  Do you want to transfer the post to another Service?  Are you changing the grade / hours / title / location / cost centre / work style / team / line manager of an existing post?  If so, you need to complete an EC1 Change to Establishment form.

EC2 Forms: New starter & changes to an existing employee  Do you have a new starter? If so, you need to complete an EC2NEW form  Do you need to change the Spinal Column Point (SCP) or the grade of an employee?  Do you need to increase / decrease the hours of an employee?  Are you extending an employee’s contract?  Is a member of your staff being seconded to a different post?  Has a member of staff got a new job in a different service?  Do you want to change an employee’s permanent / fixed term status? If so, you need to complete an EC2CHANGE form

EC3: Working Patterns  Resourcelink records all working patterns, to allow us to accurately report on absence.  Do you have a new starter? What will their working pattern be?  Does the employee have a ‘non-standard’ working pattern?  Are any of your staff changing their working pattern?  If so, you need to complete an EC3 Working Patterns form.

EC4: Notice of Leaving WBC This form is to notify HR of people leaving the Council  Do you have an employee who has resigned?  Do you have an employee who is retiring?  Do you have an employee whose contract is coming to an end?  If so, you need to complete an EC4 Notice of a Leaver form.

EC5: Request to Recruit  To be used for all recruitment.  The form must contain: The reason for the vacancy. Post number and job title, plus other details e.g. hours, grade etc. How and where the post should be advertised. Closing date and interview dates (if possible). Authorisation.  The Corporate HR team will need: Job description and person specification. Advert. Any additional information e.g. details of service.

EC-CC: Change to Cost Centre  This form is used by Finance and HR only – your Finance Manager or Senior Accountant may complete and discuss this form with you during a budget meeting.  Salaries are paid from cost centres.  Cost centres are attached to posts not people.  Cost centres are maintained by HR against posts – Payroll do not manage cost centres.

Other changes to the Establishment  Changes can be made which are not related to people or posts  Team name changes are normally agreed at Service Management Team meetings  Service name changes must be approved by Corporate Board

Where do I send the forms?  All completed forms should be sent to  HR require authorisation, so send completed forms to authorisers as necessary, then collate the authorisations and forms and send them in one to (this is sometimes co- ordinated by Head of Service or Director PAs).  If forms are sent to HR without necessary approvals you will be advised about what is missing and will be asked to re-send the form and approvals again once you have obtained what it missing – HR do not keep forms on file pending approval.

Who needs to approve the forms?  Line Manager: All forms produced.  Finance Manager or Senior Accountant: Any form which has budgetary implications should be discussed with Finance. EC1s and EC5s require you to state that you have sought approval from Finance. EC-CC forms will be sent directly to HR by Finance.  Head of Service: All EC1s, EC2s and EC5s.  Head of HR: Timelord workstyle changes (this is co-ordinated by HR)  Corporate Director (or Chief Executive): EC1s, EC2s and EC5s where the change on the form affects the Head of Service or when the Head of Service is signing the form as the Line Manager.  Portfolio Member: EC1 forms which make changes to the Establishment using new funding should be discussed with your Portfolio Member. The EC1 form requires you to state that you have discussed any new funding with your Portfolio Member.

Additional information  It is your responsibility as managers to ensure that: your forms are completed correctly; all authorisations are gained prior to sending forms to HR.  Forms cannot be processed without authorisations.

Key contacts in HR  HR Manager: Jane Milone  Management Information Officer: Kate Toone  HR Officers: Stefanie Hunt, Hannah Rees  HR Assistants: Amie Heath, Annette Rackham As at July 2014

Summary  What this guide has covered: What your Establishment is. The Establishment Control process and forms. Where to find, how to complete and where to send the forms. Who to ask if you have any queries.