West Lothian
Council
Service Restructure
Process
Managers Guide
Corporate Services
July 2013
LIST OF CONTENTS
LIST OF CONTENTS ..................................................................................................................... 2
Introduction ............................................................................................................................... 3
1.
Planning (Appendix 1a - Planning Process Map) ................................................................ 4
2.
Consulting (Appendix 1b - Consulting Process Map) ......................................................... 5
3.
Implementing (Appendix - 1c Implementing Process Map) ............................................... 7
4.
Consolidating (Appendix – 1d Consulting Process Map) .................................................... 9
Conclusion .................................................................................................................................. 9
LIST OF APPENDICES ................................................................................................................ 10
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Introduction
This guide is designed to assist managers carry out service or section restructures. The
guide is designed as an electronic document to provide information on the key stages of a
successful restructure and the associated activities at each stage.
Throughout the guide managers will find hyperlinks to relevant documents and templates to
be used at each stage of the process. Ensuring that a corporate approach is being adopted
to the re-structure and that procedural issues are addressed in accordance with agreed
council policy.
The guide should be read in conjunction with the council’s Workforce Management policy,
which provides practical information on the key stages of implementing organisational
change.
Managers should also refer to A Guide to Workforce Planning, prior to undertaking any
restructure. The guide provides useful information on the workforce planning process,
guidance on analysing the current workforce and identifying the future skills and
competencies required to deliver new and improved services. This analysis will provide the
cornerstone of the restructure and will be used to inform the business case.
The aim of any restructure will be to achieve service improvements whilst delivering
identified efficiencies. To ensure the restructure achieves these outcomes it is essential that
consideration is given at the outset as to why there is a need for a restructure and what the
outcomes will be.
There are 4 key stages to conducting a restructure: (Appendix 1 – process map overview)
1.
2.
3.
4.
Planning
Consulting
Implementing
Consolidating
All restructures should be carried out in accordance with the 5/5 rule where ever possible,
managers’ should have a minimum of 5 direct reports and there should be no more than 5
levels of post from the Chief Executive to front line employees.
HR Support
HR will appoint a project manager who will work with the manager at all stages of the
process to ensure the successful delivery of the restructure ensuring that the process is
conducted in accordance with council policy and that all necessary contractual paperwork is
completed and processed.
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1. Planning (Appendix 1a – Planning Process Map)
Options Appraisal
A successful restructure is dependent on the planning that is undertaken at the start of
the process. There are several key questions that managers need to ask and answer at
this stage:
 What currently works well
 What doesn’t work
 Where are the significant changes in service delivery
 Are there efficiency targets that need to be achieved
 Is there need for process review or do new services need to be delivered
 Could Rapid Improvement techniques assist the restructure
 Is partnership working an option
 Does the service need to be delivered in house, can it be delivered by voluntary/3rd
sector organisations
 How can co-production be encouraged
 Have the needs/numbers of customers changed, if so, how
 What is the current demographic of the workforce
 What impact might any proposed changes have on protected groups as defined
under the Equality Act.
 What are the likely future needs of our customers, clients, service users
 Are there changes in funding, technology, legislation
At the planning stage information should be obtained from a variety of sources –
Covalent, WLAM scores, KPI’s/SKPI’s, Employee/Customer Surveys, customer
complaints, Equality Relevance Assessment or Equality Impact Assessment. The
analysis of this information will highlight areas for improvement; and will support the
need for the creation of new posts/services/teams. Once this information has been
obtained and analysed only then can decisions be made as to the structure of the new
service/team. There are templates for using PESTLE and SWOT analysis tools in
Appendix 2, which you may find useful.
The new structure should be designed to ensure that the service is able to support the
delivery of the corporate objectives contained in the People, Customer and Improvement
Strategies.
Preparing the Business Case
At this stage a business case (template is in Appendix 3) should be produced based on
the analysis undertaken, presenting the proposed structure, outlining the reasons for the
restructure, the benefits achieved, the outcomes that will be delivered, associated costs,
how success will be evidenced, timescales for implementation and any negative/positive
impact on equality. If any statutory services will be affected by the proposed restructure
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then legal advice should be sought on the proposals. The business case should be
signed off by the relevant Head of Service and Depute Chief Executive.
In addition to the business case, a timescale for the re-structure should be prepared
(Appendix 4).
As part of planning stage, new and/or revised job outlines should be prepared in the
standard format.
As an indicative timescale the Planning stage should be completed within 12/16 weeks.
HR Support
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role of critical friend
ensure restructure carried out in accordance with council standards and policy
assist with preparation of job descriptions
liaise with other services as necessary, legal, IT, finance
provide management information – staffing numbers, grade, employment status etc
2. Consulting (Appendix 1b – Consulting Process Map)
Consultation Brief
To ensure that a robust and comprehensive consultation is undertaken and that the
consultation is carried out in accordance with council policy, a consultation and
communication plan should be prepared (Appendix 5). The plan will provide a blueprint
for the consultation, and it is important to ensure that there is also a record of meetings,
comments, actions etc.
As part of the consultation consideration should be given as to whether or not it is
necessary to consult with customers, clients, service users or other services/partner
agencies, in an effort to obtain their views and inform the service restructure.
In line with the council’s support of collective bargaining, the relevant trade unions should
be consulted in relation to proposed new structures, and associated job outlines. Trade
Unions will be consulted on the Equality Impact Assessment process as part of the
consultation.
To enable individuals to make informed decisions on the proposed restructure, a series
of meetings will need to be held at which copies of the proposed structure, clearly
indicating reporting lines and copies of draft job descriptions, proposed grades, should
be made available. It is important to stress that at this point these are only proposals
and that no decisions will be made until the consultation process has concluded and
consideration given to responses/suggestions received.
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A record of questions, issues raised, at the consultation meetings, should be taken and a
written response to these issues circulated to all staff for information. A template for this
has been provided in Appendix 6.
Timescales
The plan will detail the timescales for consultation, taking into account any significant
holiday periods. Where ever possible all employees should be spoken to face to face,
this can take place as part of team or service meetings and at this stage of the process it
is not necessary to consult with employees individually. It is, however, important that
arrangements are made to consult with employees who are on maternity leave, long
term absence, secondment etc. Best practice would suggest that following briefings
employees should be given 2 weeks to consider and respond to the information.
As a best practice guide the consultation should be concluded within no more than 16
weeks and sooner if possible.
The proposals should be reviewed in light of the responses/suggestions received and
where appropriate amendments made. This amended information should again be
circulated to employees for any final comments. When this process has been concluded
finalised structures and job descriptions should be provided to employees. A further
briefing is recommended to conclude collective consultation and to outline the
arrangements for implementation. A draft implementation plan should be prepared for
this purpose (Appendix 7).
Only once the collective consultation has concluded should one to one discussions take
place with those employees who are likely to be displaced as a result of the restructure.
Section 188
As part of the consultation process, the Restructure Responses Template, which is
issued monthly by HR Systems and Information Management Team, must be completed
and returned. The template details those employees who are potentially at risk of being
displaced as a result of the restructure and therefore will be subject to redundancy
consultation procedures.
This information is collated corporately and creates the statutory S188 return to the
Secretary of State for Business, Innovation and Skills.
Fixed term contracts which are coming to a natural end do not need to be reported.
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HR Support
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advice on consultation style, timescales, content
deal with general and individual employee issues in relation to terms and conditions
assist with preparing new structure/job descriptions
advice on completion of job evaluation paperwork
include relevant information on S188 return
3. Implementing (Appendix 1c – Implementing Process Map)
The key stages of implementing the re –structure are as follows:
 Grading
 Pools for transfer, matching, interview
 Displaced employees
Grading
In accordance with council policy any new posts or posts which have undergone a
material change in terms of the duties or responsibilities of the post will require to be
graded. For these posts the appropriate grading paperwork should be completed. The
cost centres for the posts should be identified at this point.
From receipt of the completed grading paperwork to completing the grading process
should take no longer than 4 weeks.
Pools
Individuals should be placed in interview pools in accordance with the arrangements laid
down in the council’s Workforce Management Policy.
Key points to note are:
 When establishing pools a comparison should be made of job outlines in the new
structure with those of posts in the existing structure. This process should be carried
out using a “top down” approach. A template to assist in the process of employee
migration to the new structure has been provided in Appendix 8.
 Transfer – where an employee(s) is in a post that is essentially unaffected by the
restructure in terms of duties, responsibilities they will transfer directly into the new
structure.
 Matching – where there is slight difference between the duties of the new post and
the existing post, but in the main the key elements of the post remain unchanged
then employee(s) will be matched to the new post. Where there are more employees
than posts, then ring fenced interviews will be carried out for those employees
affected. If an employee is unsuccessful at this stage, then they will only be
considered for lower level posts, once the matching process for employees at that
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level has been concluded. It is unlikely that there will be a match between the
existing and proposed posts unless 75% of the post is retained within the proposed
job description.
New posts where matching is not appropriate, then these posts will be advertised
internally within the service in the first instance, only where it has not been possible
to fill the post will a wider recruitment exercise be undertaken.
Unsuccessful employees can either be offered voluntary severance/early retiral,
where there is a business case to support this, or be placed on the council’s
redeployment list whilst a search for suitable alternative employment is undertaken.
Employee’s can be considered for early retiral/voluntary severance at any stage of
the re-structure.
Redeployment
Employees on the redeployment list will remain in the service area, on their current
salary, whilst a search for suitable alternative employment is undertaken. As per the
policy this search will last for a period of 9 months, at the end of which if no suitable
alternative employment has been found then the employee will be given the appropriate
contractual notice of termination. If an employee is successfully redeployed and this is to
a lower graded post, then they will receive 12 months’ salary conservation, on a cash
conserved basis, from the date of displacement. It is the responsibility of the service, the
employee and HR to search for suitable alternative employment.
More information on the council’s redeployment policy consult the relevant faq’s under
Managing Organisational Change.
Contractual Issues
To conclude the implementation stage of the process it is important that all of the
appropriate HR paperwork is completed, this will enable; new contractual documentation
to be issued, HR systems to be updated with correct employee information, reporting
lines and cost centres aligned to the appropriate budgets. HR will assist in ensuring that
all back office changes are implemented.
As an indicative timescale the Implementing stage should be completed within 8/12 weeks.
HR Support
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advice and support on the creation of the implementation plan
advice on creation of interview pools
assistance on preparation and placement of job adverts
deal with individual employee issues in relation to terms and conditions
displaced employees placed on redeployment list and contained on S188 return
information re various assessment techniques
advice on preparation of grading paperwork
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grading process – establishment of panels, posts graded and formally signed off
back office – creation of new posts, update HR Systems with changes
issue contractual documentation
liaise with finance re changes to budgets/cost centres
4. Consolidating (Appendix 1d – Consolidating Process Map)
Once posts have been advertised and filled and the new structure implemented, the final
stage of the re–structure, consolidating, should be completed. The re –structure will not
achieve the benefits identified in the business case, at the planning stage, if action is not
taken to embed the changes and deliver the identified service improvements/savings.
Again, as with the other stages in the process a plan should be prepared for this stage of
the process. The consolidation plan template is provided in Appendix 9
The consolidation plan will be used to inform customers, clients, service users, other
services and partner agencies, of the changes that have been implemented, changes to
service delivery and new contact details, if appropriate.
Changes to job roles, may result in training/development needs for some individuals, as
part of the appointment process a training needs analysis should be undertaken to
identify any skills/knowledge gaps and this information used at the consolidation stage to
prepare a development plan for the service.
It is important to review the process, has the re-structure achieved the outcomes
identified in the business case, if not, why not, and are any remedial actions necessary?
Has the process produced some unexpected outcomes and are any amendments to
structure/process required as a result?
HR Support
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assist with development of consolidation plan
conduct Training Needs Analysis
source development interventions
Conclusion
Following the four stages in this process will ensure that a consistent planning approach is
undertaken to re-structures enabling the achievement of identified milestones, service
improvements/efficiencies.
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APPENDICES
Appendix 1 – Service Restructure Process Map (overview)

Appendix 1a – Planning Process Map

Appendix 1b - Consulting Process Map

Appendix 1c - Implementing Process Map

Appendix 1d - Consolidating Process Map
Appendix 2 – SWOT/ PESTLE Analysis template
Mandatory Templates
Appendix 3 – Business Case
Appendix 4 – Project Plan Timetable
Appendix 5 – Communication & Consultation Plan
Appendix 6 – Employee Consultation
Appendix 7 – Implementation Plan
Appendix 8 – Employee Migration
Appendix 9 – Consolidation Plan
Appendix 10 – Sign Off Sheet
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Service Restructuring Process Overview
HR Actions
Service Actions
Planning for Change
Appendix 1
Consulting on Change
Implementing Change
Collect data
for options
appraisal
Business
Case
Signed off
Consult
Employees/
trade unions
Prepare
Implementation
Plan
Implement
new
structure
Advice/
Management
Information
Advice on
change
process/ job
descriptions
Advice on
developing
Communication/
Consultation
Plan
Advice on
Workforce
Management
Policy
Support on Job
Evaluation/ HR
Admin
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Confirm ‘go
live’ date
Advice on
readiness
Consolidating Change
New structure
Implemented
Advice &
Support on
unresolved
issues
Implement OD
Plan
Phase 1: Planning for Change
HR Actions
Service Actions
Links: 1. PESTLE/ SWOT tools
Collect data to
undertake an analysis
producing an options
appraisal for service
restructure
Provide advice &
relevant Management
Information including the
consideration of
council’s established
standards/ strategies
Appendix 1a
2. Business case Template
Submit Business Case
for approval in relation
to established
governance
Prepare a Business Case for
service restructure including
costs and timescales
Business Case signed off
Advice &Support on:
Phases of change
process
Preparation of job
outlines
Provide advice on
employee relations
implications & provide
relevant Management
Information
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Phase 2 - Consulting on Change
HR Actions
Service Actions
Links: 1. Communication/ Consultation Plan Template
Prepare
Communication/
Consultation
Plan for all
stakeholders
Advice on
Communication/
Consultation
Plan including
timescales &
Section 188
requirements
Appendix1b
2. Consultation Record Template
Meet with the
Trade Unions on
the proposed
changes
Meet with
affected
employees and
brief them on
the proposed
changes
Advice and
support on
discussions
Advice and
support on
presentation of
information to
staff including
job descriptions
and proposed
structures
Draft an
Implementation
Plan
Meet with
affected
employees to
address collective
queries and
confirm
implementation
arrangements
Advice on the
Implementation
Process
Advice and
support in dealing
with TU &
employee queries
and the
application of the
org change policy
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Confirm to
Trade Unions
the
implementation
arrangements
and timescales
Advice and
support
Phase 3: Implementing the Change
Appendix 1c
HR Actions
Service Actions
Links: 1. Workforce Management Policy & Procedures
Begin Implementation as
per Plan
Advise on
process and
employee
communication
Grade posts as
Required
Advice and
Support on Job
Evaluation and
set up grading
panels
Undertake
employee
migration to new
structure
Advice and
Support on
matching pools,
vacant posts.
Contractual
changes
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Recruit to vacant
posts meet with
any displaced
employees
Advice and
Support on
redeployment
process
Confirm go live
date
Advice and
Support on
readiness for ‘go
live’
Phase 4: Consolidating the Changes
Appendix1d
HR Actions
Service Actions
Links: OD Plan Template
New structure
implemented
Review business case
to determine progress
towards benefits of
change
Develop a consolidation
plan
Support service in
developing consolidation
plan, advising on:

Performance
Management

Learning &
Development

Employee
Communication
Provide advice on any
HR admin issues and
any continuing
workforce management
issues
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Implement
consolidation plan
Appendix 2
SWOT Analysis
Conducting a SWOT analysis is a useful way of identifying the strengths and weaknesses of a service, it can be used to help identify areas that
are perhaps not performing well and areas for future development.
As part of the process an analysis should be undertaken of management information: PI’s, WLAM scores, customer information, audit, external
inspections etc.
Areas to consider:
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Weaknesses
Areas to Consider:
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Advantages of the service
What do you do better than anyone else
What unique resources do you have
What do customers see as your strengths
Areas to consider:
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Strengths
Opportunities
Threats
Areas to Consider:
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Trend data
Improvements in technology
Changes in legislation
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What could you improve
What should you avoid
Areas of financial pressure
Financial constraints
Efficiency savings
Competition
Staff demographics
Statutory changes
Changes in demand
PESTLE Analysis
Conducting a PESTLE analysis is a useful way of identifying where external pressures/challenges may come from for a service.
Areas to consider:
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Economic
Areas to consider:
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Accountability
Transparency
Equal Opportunity
Diversity
Best Value
Partnership Working
E- government
Public/private Finance
Areas to consider:

Political
Social
Technological
Areas to consider:
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Changing customer expectations and
needs
More sophisticated market
Changing demographics
Changing employee expectations,
work/life balance
Inequalities and deprivation
Qualifications, skills and competencies
Flexible working opportunities
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Pay rates
Skills shortages
Economic development plans
Cost of living
Housing costs
Corporate risk
Innovation
Information Technology
Communications
Improved transport
New ways of working
Areas to consider:
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Legislation
Environmental
Areas to consider:
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Service obligations
Employment legislation
Equalities Act
European Directives
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Increased awareness
expectations
Local markets
Pressure groups
Environmental targets
and
Appendix 3
Service Restructure – Business Case
1
2
3
4
5
6
7
Introduction
 Outlining the current structure
Background
 What are the drivers for restructuring – service improvements, achieving
efficiencies, legislative, technological changes, changing demographics,
partnership working
Proposed Structure
 Outline of proposed structure
 Clearly identifiable reporting lines
 Draft job descriptions and proposed grades
Rational for re- structure (areas that should be considered)
 People
 Processes
 Technology
 Legislation
 Financial
 Partnership Working
 Co-production
 Efficiency targets
Benefits/Outcomes
 Improved performance
 Achievement of efficiencies
 Increase in partnership working
 Streamlined processes
 Reduction of duplication
 Space rationalization
Risks
 Unable to achieve performance/efficiency targets
 Failure to deliver at capacity/volume required
 Potential redundancies
 Service not structured/resource to meet changing customer needs
 Capability/competency issues
 Outcome of Equality Relevance Assessment/ Equality Impact Assessment
Costs
Discussions to be undertaken with Finance to ensure that the restructure is fully costed.
Costs to include; staffing, purchasing new technology, licences, development costs, and
where appropriate anticipated savings are identified.
8
Timescale
At this stage proposed timescales should be identified for each stage of the process,
with an identified completion/implementation date.
9
Sign Off
Depute Chief Executive:
Date:
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Appendix 4
Outline Timetable
Task
Start
1
Business Case Prepared
2
Business Case signed off
3
Initial Consultation
4
Team Meetings
5
Feedback from Team Meetings
6
Complete Equality Impact Assessment*
6
Finalise Structure Proposals
7
Issue Revised Structure Details
8
Consultation on Detail
9
Confirm Beginning of Implementation
10 Preparation and Grading of Job Outlines
11 Job Matching/Appointment Process
12 Complete required contractual paperwork
13 New Structure in Place
14 Produce Consolidation Plan
15 Implement Consolidation Plan
*Only if a full assessment is required
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Finish
Appendix 5
Stakeholder
Communication & Consultation Plan
What do they need How will we
What actions are
to know
inform them
required
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Who will lead on
this
Concluded by
Appendix 6
Employee Issues/Queries Log
Ref
Theme
Question
Response
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Appendix 7
Implementation Plan
1
Action
Finalise Job Descriptions
Responsible
Taking into account information obtained from
consultation exercise.
Duties, responsibilities,
qualifications accurately reflect the needs of the service
and the demands of the post
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2
Job Evaluation
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3
Existing job descriptions amended/updated
New job descriptions created
Prepare job evaluation paperwork for new posts or
posts that have undergone a material change
Completed paperwork signed off by Depute Chief
Executive and Chief Executive
Posts assessed by grading panel
Grade signed off by Head of Service, Depute Chief
Executive and Chief Executive
Appointment to new posts (Transfer, Matching, Ring
Fenced Interview, Open Recruitment)
This stage should be undertaken in accordance with the
council’s Workforce Management Policy and Appendix
12 Migration Arrangements completed to reflect actions
taken.
4
Complete contractual paperwork

5
Paperwork completed and new contractual
documentation issued to employees
Go live date
 Agree and publicise the “go live” date
 New/revised structures, processes, procedures are
implemented and have been publicised to
employees/customers etc
 Initial performance indicators have been identified
and agreed to reflect the change in service
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Timescale
Appendix 8
Employee Migration
Current Functional Area
Employee
Substantive Post
New Functional Area
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New Post
Status
Appointment
Process
Appendix 9
Consolidation Plan
1
Introduction
The purpose of the consolidation plan is to:
 ensure that the benefits of re structuring identified in the business case have
been achieved
 new working arrangements are in place and operating efficiently and effectively
 identification of any remedial actions
 evaluating the success of the change
Any outstanding actions associated with the re structure should be transferred into
future Service Management Plans, to ensure that they are embedded into service
activities.
2
Process/Work Review
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3
Employee Development
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4
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Review existing employee communication arrangements in line with new
reporting lines
Create schedule for employee communication including; PRPDP, one to ones
and team meetings
Scheduling, where necessary, customer and stakeholder communication events
Management/Planning
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6
Conduct training analysis to identify skills gaps for teams and individual
employees
Identify appropriate learning and development activities
Schedule activities and allocate appropriate budget spend
Communication

5
Audit existing work allocation arrangements
Existing processes have been reviewed/amended to support the new structural
arrangements
Implement new procedures and arrangements
Review existing health and safety arrangements in relation to service changes
Identify any outstanding IT/Finance issues and agree timescales for resolution
Revise scheme of delegation and governance arrangements to reflect changes
to structure/reporting arrangements
Business Case Evaluation
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Review success criteria identified in business case and ensure that anticipated
benefits have been realised
Undertake remedial actions to ensure that anticipated benefits are realised
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Appendix 10
Sign Off Sheet
Before moving to the next stage of the restructuring process each stage must be signed off,
to ensure that all relevant actions have been completed.
Stage
Actions
Planning
Business case prepared
 Proposals
 Rational
 Benefits/outcomes
 Risks and costs
Business case agreed
 Timescales for implementation
Consultation meetings timetabled
Appropriate
amendments
made
to
proposals
One to one meetings held with employees,
where necessary
Equality Impact Assessment complete
Job descriptions are finalised and issued
Grading paperwork prepared
Grading panels arranged
Posts graded and signed off
Pools created for transfer/matching
Transfer/matching process concluded
Displaced
employees
referred
to
redeployment list
Contractual paperwork completed and
sent to HR
Re-view
and
revision
of
existing
processes, working arrangements
Training Needs Analysis undertaken
Development activities identified and
arranged
Issue communication brief to customers,
stakeholders
Business case evaluation undertaken
Consulting
Implementing
Consolidating
Date
Completed
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