Guidance for Line Managers

The new process was designed, agreed to, and supported following discussions with the Faculty Operating Officers, the Technicians Network, the Provost’s Board, the Operations Committee, and the Joint Trade Unions.

Establishment review concerns changes to a department's organisational structure that result in a change in the number of posts available at one or more grades. The process is based on departmental business needs, and individual staff members cannot initiate an Establishment Review.

The university previously used a Job Level Review (JLR) process by which individual members of staff could be put forward by line managers or make a personal application to be considered for regrading to a higher job level. This paper process is no longer available, as the university wishes to ensure that job opportunities are available to a wider range of staff from all backgrounds and that selection is via a formal interview.

• Equal pay for work of equal value - The university has a legal responsibility to ensure that all staff receive equal pay for work of equal value, and processes should be in place to uphold this.
• Roles assessment using the Hay methodology - The university continues to use the Hay methodology to ascertain the size of roles and will continue to involve Unions in this assessment process.
• Consistency of role design - Role design should be consistent across the university, as one employer, where possible, whilst ensuring local requirements are supported.
• Support for staff career development through other processes - The university is committed to supporting those who wish to develop their careers and acknowledges that navigating career paths varies across job families and roles.
• It is NOT a ‘promotions’ process - Career progression in professional, technical, and operational roles normally requires an individual to apply and be selected for vacant roles. As such, the PTO Establishment Review process is not a ‘promotions’ process.
• Transparency in how roles are created & individuals move into them - Transparent and fair selection processes should be followed to allocate individuals to new or changed roles.
• Recognition of staff achievements through other processes - The university is committed to recognising staff members’ achievements in their role through the university staff recognition awards and through the Annual Pay Review Framework.

• The change is to focus on the role/structure
• It is a reorganisation so that jobs can go up and down in grade
• Applies when changes to a department's organisational structure result in a change to 1 or more posts (currently with staff in place)
• It applies when the duties of a job change, NOT the performance of an individual
• This new process brings consistency and transparency to how we change roles and appoint people to them
• New process facilitates local scrutiny to ensure consistency across the Faculty/Department
• Ensures role changes are recognised, understood & supported across the Faculty/Department
• This is not the route to recognise staff for individual performance that is covered by other methods, e.g., responsibility allowance or the pay review exercise.

• Promotion in PTO roles normally requires an individual to apply for a vacancy.
• The PTO Establishment Review is not a ‘promotions’ process, but is one way a role can become available for people to apply to.
• The other way is the “usual” recruitment process, where individuals apply for advertised vacant posts.
• Posts that become available through either process are filled via a selection process that typically includes an interview.
• Staff will have the opportunity & support to apply for new roles created via the PTO Establishment Review.
• Career progression may have to be outside the current job, team, department, faculty, or the university.

• Managed on a local (Faculty Level) with support and a framework from the People Function.
• Only applies to Professional, Technical and Operational roles.
• Termly meetings to review proposals for changes.
• Focus on roles and structures, not individuals.
• Is forward-looking - not retrospective.
• Establishment Review Panel, with guidance from the People Function, authorises the process for filling the role.

This process is focused on:

• Changes to existing roles/structures, NOT new roles that do not impact existing roles
  within the structure.
• Changes that represent a 20% or more change to the role's duties.
• The requirements of the role/the department, not the individual.
• Ensuring the right structure is in place for roles and their levels.
• Agreeing on changes in roles before they are implemented.

If your proposal meets these criteria, it must be submitted through the PTO Establishment Review process.

If the above scenario does not match your case, your People Partner will advise you on the next steps, e.g., submit role to JEP, no evaluation required, etc.

1. Line Manager discusses changes with Strategic Support

    Review required?

        a. No - Follow Minor Change Process

        b. Yes - Process continues

Start Point

The trigger for this process would normally be that a line manager wishes to make changes to a job description, and those changes may (a) impact the grade of the role and/or (b) impact other roles within the department.

This process is focused on the role or department's requirements, not the individual. This is not about an individual promotion process, but about ensuring the right structure is in place for roles and their levels.

If the proposal represents a change of 20% or more to the job description, it must be submitted through the Establishment Review process. If not, it will be managed by the Line Manager through the ‘Minor Change’ process.

Formal consultation is required for all changes of 20% or more. Consultation will be managed by Strategic Support and begin once the Establishment Review and Job Evaluation processes have been completed.

2. The Head of Department reviews and approves the application

    Application approved?

       a. No - End of process

       b. Yes - Process continues

Approving the Application

The department must review and approve the application, including the financial aspects of the proposal. This approval will normally be undertaken by the HoD and DOM (or their equivalents).

We are not proposing to include a formal approval step in the application process. The person submitting the online form will be asked to provide the name (s) of the manager(s) within the department who have approved the application.

3. Line Manager submits the Establishment Review application on the Staff hub Portal

Submitting and Processing the Application

All requests submitted to the Recruitment & Progression Team in advance of the meeting by the appropriate deadline and in the correct documentation.

Establishment Review Panel meetings will be arranged on a rolling basis and publicised by the Recruitment & Progression Team.

Upon submission, all proposals will be reviewed in advance to ensure they have completed all relevant paperwork for the Establishment Review Panel.

4. Recruitment and Progression (R&P) team receives and logs the application

5. R&P team checks that the application is complete

6. R&P team prepares and distributes documentation to the Establishment Review Panel

Establishment Review Panel Membership

The manager making the proposal will be invited to present their case to the Establishment Review Panel and respond to any questions.

The Establishment Review Panel will be chaired by the appropriate Senior Manager, e.g. Faculty Operating Officer (FOO)

The membership of each Faculty committee will be decided by each committee chair, and can be rotated, subject to the following minimum criteria:

• Minimum of four senior managers/HODs 
• People Function Strategic Partner
• Member of Recruitment & Progression Team

The Recruitment and Progression team will be responsible for administering the Establishment Review process.

7. Establishment Review Panel considers application(s)

    Panel supports the application?

        a. No - End of process

        b. Yes - Process continues

Role of the Establishment Review Panel

The role of the Establishment Review Panel is to discuss the request and agree on the outcomes requested. The panel should review the business case to ensure it is feasible, realistic, in line with the Faculty Strategy and structure, and doesn’t create any duplication of work/role.

The panel is not expected to evaluate any job descriptions and/or sign off a grade. This will be done later by the appropriate Job Evaluation Panel.

Record keeping and appeals

A written record of each meeting should be kept, clearly outlining any decisions made and any additional actions or information required.

As this process does not involve submissions from individuals, there is no appeals process. The Establishment Review group may, however, ask for the submission to be resubmitted with further information or changes following its feedback.

8. Submit application to Job Evaluation Panel

9. Job Evaluation Panel assesses job level

10. R&P team notifies the Line Manager of the outcome

11. Change management process

12. Initiate recruitment process

Change Management, Recruitment & Selection

The proposal should consider how individuals holding existing roles may be affected by the implementation of any new structure. The Strategic Partners can provide support in understanding the best approach to implementing the change. All changes would need to be implemented in accordance with the university’s Change Management procedure.

Where a proposal results in the deletion of one or more roles and/or the creation of new roles, individuals occupying the deleted roles will be considered for assimilation into the new role(s).

Where more than one individual is eligible for consideration for the new role(s), the role(s) will be ring-fenced, and a competitive internal recruitment process will be initiated.

Where a higher-grade role is available that is deemed a suitable alternative employment for an individual, the individual will be interviewed for the role to assess their suitability. If the individual is unsuccessful and no other suitable role is available, they will be eligible for redundancy.

Where no suitable candidates are identified within the existing roles/team, a full recruitment process will be initiated.

• April - Managers to submit requests
• May - Establishment Review Panels
• In the future, every term with the possibility of ad hoc meetings

The PTO Establishment Review Panel will be chaired by the appropriate Senior Manager, e.g. Faculty Operating Officer (FOO)

The membership will be decided by each committee chair, and can be rotated, subject to the following minimum criteria:

• Minimum of four senior managers/HODs
• People Function Strategic Partner
• Member of Recruitment & Progression Team

The panel should reflect the organisation's diversity at that level.

Please keep the day of the panel free, as you will be expected to attend and present your business case for 15 minutes per case.

Before submitting an application

1. “Line manager” identifies a need to make changes to a job description and/or structure

Those changes may:
a) impact the grade of the role and/or
b) impact other roles within the department.

2. Manager discusses with the People Partner

3. Manager updates Job Descriptions and team structure

4. The manager must get support from the department for their proposals, including the financial aspects of the proposal. 

This approval will normally be undertaken by the HoD and DOM (or their equivalents)

After submission

5. Once the manager is happy with the proposal and has support from the People Partner/Dept, they can submit paperwork

6. The manager will be invited to the panel to present their case verbally and may be supported by their line manager if appropriate

7. Establishment Review Panel reviews the request

8. New job description goes to Job Evaluation Panel

9. The manager needs to fill the vacancy as agreed in the proposal

This will include some form of assessment (normally an interview) of an individual's suitability for the new role

1. What is the proposed level of any new or altered role?
2. Approval for budgetary impact and details on the resources to fund any required increase in the staffing budget.
3. Explain how the duties and responsibilities for the role have changed: A. Address changes in the complexity and scale B. Likely duration of the change(s).
4. Provide details if these changes impact another role/team
5. The business case. The reason for the request, e.g., a change in the external environment (new regulatory requirements, substantial changes in volumes) or an internal opportunity to improve efficiency and effectiveness (by redesigning processes), and the benefits associated with the change.
6. The intended method to fill any new role. This must follow established university processes and be proportionate to the scale of the proposed change. A. Need to follow the university’s Change Management procedure. B. Discuss this with your Strategic People Partner
7. CID Number for current post holders
8. Org chart and job descriptions (pre and post changes)

Support from the People Function

• Strategic Partners
• Website

Career progression support at the university

• Support from Talent & Culture

Additional Resources

• Change Management Policy
• Guidance on Job Descriptions
• Frequently Asked Questions
• Scenarios