Role Creation/Change Approval SOP

1.1 Objectives (what this SOP must achieve)

Objective	Why it matters	How it’s enforced
Strategic alignment	Roles exist to deliver business outcomes, not ad‑hoc requests	Mandatory mapping to Job Family & Level; Leadership approval
Cost control	Prevent unplanned payroll creep	Finance budget validation before any approval
Role clarity & consistency	Fair titles, comparable levels across functions	Fit to Role/Level Architecture; HR validation gate
Traceability & compliance	Every change is reviewable and auditable	Central logging in Workforce Budget Sheet; document retention
Speed with discipline	Requests move fast but never bypass gates	Time‑bound SLAs and escalation path

1.2 When this SOP is used (triggers)

• New role creation (full‑time, intern/trainee, contract/fixed‑term).
• Replacement hire for an approved, vacant position.
• Role change (title change, level upgrade/downgrade, job family shift, scope/reporting change).
• Conversion (intern/contract → full‑time, or vice‑versa).
• Off‑cycle exception (urgent business need outside annual/quarterly plan).

Notes

• For bulk or programmatic changes (e.g., annual title standardization), run this SOP as a batch with a single approval pack.

• Role eliminations follow workforce planning & org design processes, not this SOP.

1.3 Expected outputs (deliverables)

Deliverable	Owner	Repository
Approved Role Request (Create/Change) with justification	HR (custodian) / Dept Head (author)	HRIS / MIC Docs Library
Budget validation note (salary band + OPEX impact)	Finance	Workforce Budget Sheet
Leadership decision record (Approve / Reject / Revise)	HR (records)	MIC Decision Log
Updated role master (family, level, title, reporting)	HR	Role/Level Register
Communication to stakeholders (HR, Finance, TA, Manager)	HR	Email/MIC Notice

1.4 Success measures (KPIs & SLAs)

Metric	Target
HR validation turnaround	≤ 5 business days from submission
Finance budget check	≤ 5 business days post‑HR validation
Leadership decision	≤ 5 business days post‑Finance confirmation
First‑time‑right submissions (no rework)	≥ 85%
Policy violations (unapproved hiring)	0 per quarter

1.5 Controls & risk coverage

• Segregation of duties: Request (Dept) ≠ , Validation (HR) ≠ , Budget check (Finance) ≠ , Approval (Leadership).
• Single source of truth: No action without an entry in the Workforce Budget Sheet and Role/Level Register.
• Exception governance: Any off‑cycle approval must cite business impact, cost, and expiry/regularization plan.

1.6 References (binding documents)

• Workforce Planning Governance Policy
• Role/Level Architecture Document
• Headcount Plan Sheet (Template)
• Workforce Budget Sheet (Template)

2. Scope

This SOP applies organization-wide and governs every case where a new role is created or an existing role is modified. It defines the boundaries of what is included, what is excluded, and who it applies to.

2.1 Applicability by Employee Type

• Full-time employees – All permanent roles, regardless of department or location.
• Interns & Trainees – Short-term learning roles that may later be converted into full-time.
• Contract / Fixed-Term Staff – Roles created for project-based or specialized assignments.
• Leadership Roles – Any new Manager, Director, VP, or CxO positions.

2.2 Applicability by Activity

This SOP must be followed whenever:

1. New role creation
   • Creation of a position not previously existing in the org chart.
   • Adding capacity in a new function, team, or job family.
2. Replacement hiring
   • Filling a role that exists in the workforce plan but is vacant due to resignation, termination, or transfer.
3. Role changes
   • Title changes (e.g., “Executive” to “Specialist”).
   • Level upgrades/downgrades (e.g., “Senior Consultant” to “Manager”).
   • Changes in reporting line or functional scope.
   • Cross-job-family movements (e.g., Developer → Project Manager).
4. Conversion
   • Intern or contractor being moved into a full-time role.
5. Off-cycle exceptions
   • Any urgent/unplanned role created outside the annual or quarterly workforce planning cycles.

2.3 Exclusions

This SOP does not apply to:

• Temporary workload allocation (e.g., assigning duties during an absence without changing title/level).
• Role eliminations/redundancies, which are covered under Workforce Planning and Exit/Restructuring policies.
• Freelancer/outsourced vendor engagements, governed by Procurement/Finance policies.

2.4 Mandatory Compliance

• All departments, business units, and leadership teams must follow this SOP.
• No role creation or modification may be implemented outside of this process.
• Any violation will be flagged as a policy breach and escalated to Leadership.

3. Responsibilities

This section defines role-wise accountability in the role creation/change process. Responsibilities follow the RACI (Responsible, Accountable, Consulted, Informed) model to ensure clarity and prevent overlap.

3.1 Department Heads / Hiring Managers

• Responsible for initiating requests with full justification.
• Provide details such as job family, level, reporting line, purpose, and outcomes.
• Ensure requests are aligned to business needs and project deliverables.
• Respond promptly to HR queries during validation.
• Communicate approved changes to their teams once HR confirms.

3.2 Human Resources (HR Department)

• Accountable for administering this SOP and maintaining governance.
• Validate role requests against the Role/Level Architecture and Workforce Planning Governance Policy.
• Ensure consistency in titles, levels, and career paths.
• Return incomplete or misaligned requests for revision.
• Maintain all documentation: Workforce Budget Sheet, Role Register, Approval Logs.
• Escalate non-compliance or violations to Leadership.

3.3 Finance

• Consulted for budget validation on all role requests.
• Review salary bands, benefits, and impact on approved workforce budget.
• Flag variances and recommend corrective action.
• Confirm financial feasibility before Leadership approval.
• Maintain records of cost validations linked to each approved/rejected request.

3.4 Executive Leadership / Leadership Committee

• Accountable for final decision-making.
• Review HR validation and Finance notes before granting approval.
• Approve, reject, or request revision for role creation/changes.
• Grant exception approvals for off-cycle or urgent requests.
• Ensure that role additions align with organizational strategy and long-term workforce planning.

3.5 Employees (Informational)

• Informed when their role is directly impacted by a change (e.g., reporting structure, title adjustment).
• Must be notified formally through HR communication once the change is approved.

3.6 RACI Summary Table

Activity	Department Head	HR	Finance	Leadership	Employees
Initiate role request	R	C	I	I	I
Validate against Role Architecture	C	R/A	C	I	I
Budget validation	I	C	R/A	C	I
Final approval decision	I	C	C	R/A	I
Record-keeping & audit	I	R/A	C	I	I
Communication of approved changes	R	R	I	I	I

4. Procedure

All role creation or change requests must strictly follow the steps below. No role may be created, filled, or modified outside of this process.

Step 1: Request Initiation (Department Head)

• The Department Head raises a formal request using the prescribed Role Request Form / Headcount Plan Sheet.
• Mandatory fields include:
  • Job Family and Level (as per Role/Level Architecture),
  • Role title, reporting line, and purpose,
  • Expected outcomes / key accountabilities,
  • Justification (business need, project requirement, attrition replacement, or new capability).
• Replacement requests must also include the name of the outgoing employee and anticipated transition timelines.
• The request is submitted to HR through the designated HRIS / MIC workflow.

Step 2: HR Validation (HR Department)

• HR reviews the request within 5 business days to ensure:
  • Alignment with Role/Level Architecture (no duplication or misclassification),
  • Consistency of title, scope, and level,
  • Compliance with the Workforce Planning Governance Policy.
• If the request is incomplete or misaligned, HR returns it to the Department Head with feedback for correction.
• HR logs validated requests in the Workforce Budget Sheet for tracking.

Step 3: Budget Validation (Finance)

• HR forwards validated requests to Finance within 2 business days.
• Finance reviews cost implications within 5 business days, including:
  • Salary band validation against approved pay ranges,
  • Total workforce cost impact (salary + benefits + statutory costs),
  • Variance against the current Workforce Budget Sheet.
• Finance records its decision (Approved / Rejected / Requires Revision) and returns it to HR.

Step 4: Leadership Approval (Executive Leadership)

• HR consolidates HR + Finance notes and presents the request to Leadership.
• Leadership must provide a final decision (Approve / Reject / Revise) within 5 business days.
• Off-cycle or urgent requests must include explicit justification and may only be approved as exceptions.
• Leadership’s decision is final and binding.

Step 5: Documentation & Record-Keeping (HR)

• Once approved, HR must:
  • Update the Role/Level Register with the new or changed role,
  • Update the Workforce Budget Sheet with cost details,
  • File all supporting documents (request form, validation notes, approval decision) in the HRIS / MIC Documentation Library.
• Rejected requests must also be documented, with reasons for rejection.

Step 6: Communication

• HR communicates the decision to:
  • Department Head (for next steps),
  • Finance (for cost tracking),
  • Recruitment team (if new hiring is required).
• If the change impacts existing employees (e.g., promotion, reporting line change), HR issues a formal notification letter / email to the employee concerned.

Step 7: Escalation (if required)

• If a request is delayed or rejected at any stage, the Department Head may escalate through HR to Leadership.
• Any deviation from this procedure must be documented and explicitly approved by Leadership.

5. Timelines

To ensure efficiency and prevent delays, all activities under this SOP are bound by strict timelines. Departments, HR, Finance, and Leadership must comply with the following Service Level Agreements (SLAs):

5.1 Standard SLAs

Stage	Activity	Owner	SLA (Max)	Notes / Escalation
1	Request initiation	Department Head	As per workforce planning cycle	Must use prescribed form; incomplete requests not accepted.
2	Validation of role request	HR	5 business days	Requests pending >5 days escalate to HR Head.
3	Forward to Finance	HR	2 business days (after validation)	Delays flagged in Workforce Budget Sheet.
4	Budget validation	Finance	5 business days	If not closed in 5 days → escalate to Finance Head.
5	Consolidation & submission to Leadership	HR	2 business days (after Finance note)	Must attach HR & Finance validation notes.
6	Final approval decision	Leadership	5 business days	Off-cycle exceptions may require special Leadership review.
7	Documentation update	HR	3 business days (post-approval)	Role/Level Register, Workforce Budget Sheet, and archives updated.
8	Communication to stakeholders	HR	2 business days (post-approval)	Departments, Recruitment, Finance, and impacted employees informed.

5.2 Exception SLAs

• Off-Cycle Requests: Must be reviewed on a priority basis and closed within 10 business days end-to-end.
• Urgent Business Needs: Leadership may fast-track approval within 48 hours if justified in writing.

5.3 Monitoring & Reporting

• HR shall publish a Quarterly SLA Compliance Report to Leadership, highlighting:
  • % of requests closed within SLA,
  • Cases delayed and reasons,
  • Escalations raised.

6. Records & Compliance

6.1 Documentation Requirements

For every role creation or change request, HR must maintain a complete record consisting of:

• Role Request Form (new or change request with justification).
• Validation Notes (HR review outcome, alignment to Role/Level Architecture).
• Finance Validation Note (budget confirmation or variance flagged).
• Leadership Decision Record (approval, rejection, or revision).
• Communication Log (emails or letters sent to Department Heads, Recruitment, Finance, or employees).

6.2 Central Repository

• All records must be stored in the HRIS / MIC Documentation Library under version control.
• Each request must be tagged with a unique request ID for tracking.
• Rejected requests must also be archived with reasons.

6.3 Retention

• Role request records shall be retained for a minimum of five (5) years, or longer if required by statutory or legal compliance.
• Records related to leadership-level roles (Manager and above) must be retained for seven (7) years due to higher governance sensitivity.

6.4 Audit & Monitoring

• HR will conduct semi-annual audits of the Role/Level Register and Workforce Budget Sheet to verify:
  • All filled roles were created/changed through this SOP,
  • No deviations or unapproved hiring occurred,
  • Documentation completeness (forms, approvals, validations).
• Findings will be shared with Finance and Leadership, along with corrective action recommendations.

6.5 Compliance Enforcement

• Non-compliance with this SOP will be considered a policy breach under the Workforce Planning Governance Policy.
• Any unauthorized hiring or role change will be escalated directly to Leadership for corrective action.
• Repeated violations may trigger disciplinary action against the responsible Department Head or Manager.

7. Related Documents

This SOP must be read and applied in conjunction with the following policies, frameworks, and templates to ensure consistency and compliance:

1. Workforce Planning Governance Policy – Defines overall governance, approval flows, and workforce planning cycles.
2. Role/Level Architecture Document – Provides standardized job families, levels, and progression paths.
3. Headcount Plan Sheet (Template) – Standard format for initiating new role requests.
4. Role Change Request Form (Template) – Used for requesting modifications to existing roles.
5. Workforce Budget Sheet (Template) – Tracks approved headcount and financial impact.
6. Succession Matrix (Template) – Used to validate role criticality and identify backups.
7. Performance Management Policy – Ensures role changes and promotions align with fair evaluation practices.