Professional, Technical and Operational (PTO) Establishment Review

The manager identifies the need to amend the content of a job description and/or the structure of a team (which is likely to impact the grade of the roles) and discusses the proposed changes with their Strategic People Partner. If they agree the changes are significant and could impact the grade, an application will need to be submitted to the Establishment Review Panel.

In the application, managers will outline the required changes and why they are needed. All applications are subsequently reviewed by the PTO Establishment Review Panel, and line managers will be invited to attend to present their case. Supported by the People Function, these panels will operate across the whole university on a Faculty basis and include Central & Support Services, Academic Services, and Imperial Headquarters.

The role of the Establishment Review Panel is to review the request to ensure it is feasible and aligned with the Faculty Strategy and structure. The panel is not expected to evaluate any job descriptions and/or sign off on a grade. If the panel decides to support the request, the job description(s) and relevant information will go to the weekly Job Evaluation panels (including union membership), where a full evaluation will take place, considering all the relevant information. If the panel decides not to support a request, they will explain their decision to the manager.

Proposals will also need to outline how the changed role will be recruited to if it is approved. Different recruitment options will be used depending on the situation and could include:
• External and internal recruitment
• Internal recruitment - whole university
• Internal recruitment - limited to a specific department or group

Whichever recruitment route is chosen, it will involve a selection process to ensure the person selected has the right skills for the new role.

If the requested changes to a job description submitted to the PTO Establishment Review Panel are approved, the new job description will be submitted to the weekly Job Evaluation panel.

To ensure consistency and transparency within the PTO Establishment Review process, the Progression Team will regularly review decisions, noting any issues of concern or recommendations for process improvement to the Senior Management Team. The SMT will consider an annual report of the PTO Establishment Review process, including an equality impact assessment.

1.0   Policy Statement / Purpose 

    1.1   This policy outlines our approach to reviewing new and existing (occupied) roles, their grades, and structure, and how job evaluation will be used in alignment with this approach to ensure the fair and consistent grading of new and existing roles across the University. 

    1.2   This policy seeks to follow these principles: 

The University has a legal responsibility to ensure that all staff receive equal pay for work of equal value, and processes should exist to ensure that this is upheld.   
The University continues to use the Hay methodology to ascertain the size of roles and will continue to involve Unions in this assessment process. 
Role design should be consistent across the University, as one employer, where possible, whilst ensuring local requirements are supported. 
The University is committed to supporting those who wish to develop their careers whilst at the University and acknowledges that the navigation of career paths varies across different job families and roles at Imperial. 
Career progression in Professional, Technical, and Operational roles normally requires an individual to apply and be selected for vacant roles.  
Transparent and fair selection processes should be followed to allocate individuals to new or changed roles. 
The University is committed to recognising staff members' achievements in their roles through the University staff recognition awards and the Annual Pay Review Framework. 

2.0 Scope 

    2.1   This policy applies to all Professional, Technical, and Operational Roles Services roles between grades 1 and 6, which are evaluated using the Hay job evaluation system.    

    2.2   This policy does not apply to those staff who are included within the Academic, Teaching and Learning job Families who will follow the Academic Promotion process.  

    2.3   This policy does not apply to staff who are included in the Research Job Family, who will follow the Research Promotion Process (unchanged)

3.0   Responsibilities 

    3.1   The Recruitment and Progression Team has day-to-day responsibility for the fair and consistent application of this process.   

4.0   Related Processes 

    4.1   All professional, technical, and operational (PTO) roles are evaluated using the Hay evaluation system.    

    4.2   All PTO job descriptions will be developed based on the requirements of the function and should not be so detailed as to prevent sufficient flexibility for the role to develop in context with operational developments (for example, new software) where required.    

    4.3   The grade of a role is based upon business needs and, therefore, a job evaluation of the duties and responsibilities of the role, not an individual's performance, volume of work, or length of service.  

    4.4   Heads of Department/Managers have autonomy to manage their service and structure within their allocated budget. They are therefore responsible for ensuring that roles do not 'drift' over time, potentially upwards to a higher grade or downwards to a lower grade, without a sound business rationale.   

    4.5   Temporary or one-off additional contributions should be recognised through the Annual Pay Review process, or additional payment processes in discussion with the People Function.  

    4.6   For more information on job families, please see the appropriate section in the . 

5.0   PTO Establishment Review Panels

    5.1 PTO Establishment Review Panel will be established, aligned to University organisational structures (e.g. Faculties, FOGIT, etc.). 

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

• Minimum of four senior managers/HODs
• Strategic People Partner
• Member of Recruitment & Progression Team
• Membership reflects the diversity of the relevant senior management within the Faculty/Department.

    5.3   If large or complicated changes are to be discussed, the Strategic People Partners may recommend the attendance of Colleagues (e.g. Employee Relations, Learning and Talent, Senior Staff) 

    5.4   The role of the PTO Establishment Review Panel is to discuss the request. The panel should review the business case to ensure it is 

• Feasible  
• Realistic 
• In line with the Faculty/department/University Strategy  
• Consistent with similar roles and structures 

    5.5   The panel is not responsible for the evaluation any job descriptions and cannot agree the grades of any new roles. This will normally be done later by the appropriate Job Evaluation Panel.    

6.0   PTO Establishment Review Process 

    6.1   Changes to individual roles, groups of roles and organisational structures will be submitted to PTO Establishment Review panels for discussion and approval, except minor changes (less than 20%) of roles, which should be managed through the ‘minor change’ process.

    6.2   Requests for a PTO Establishment Review (ER) of an existing role(s) will be manager-led and accompanied by a business case for the proposed change in grade.  

    6.3   Unless exceptional circumstances apply, the University will only accept applications for Establishment Review on the basis of a clear business case provided by the line manager and where there has been a significant change to the responsibilities of the role which will be ongoing (i.e., not temporary). 

    6.4   If a manager is solely seeking to create a new post(s), with no related changes to, or deletion of existing roles, this would not need to go to the PTO Establishment Review Panel and would be created and recruited to in the normal fashion.  

    6.5   Applications will not normally be considered outside of scheduled PTO Establishment Review Panel meetings. 

    6.6   Should a manager be uncertain of whether a role is eligible for consideration by the PTO Establishment Review process, they should contact their Strategic People Partner for advice. 

    6.7   To make a PTO Establishment Review submission, the line manager must submit the following documents electronically: 

A job description in the appropriate University format that accurately reflects the current role and includes a completed person specification.   
Organisation Chart showing any changes to the Departmental structure, reporting lines and any similar or related roles in the department. 
Application Form, which must be completed and signed by the line manager and supported by the Head of Department or Departmental Operating Manager

    6.8   The PTO Establishment Review submission should also outline how it is proposed that the role(s) in the structure will be filled. Where possible, and in accordance with the Change Management Policy and section nine of this policy, access to apply for new roles should be as open as possible.

    6.9   The proposal should consider how individuals holding existing roles may be affected by the implementation of any new structure.  

    6.10   The People Function will provide templates for submissions to ensure that the above criteria are covered and will provide training, support and advice for managers wishing to make submissions where necessary. 

    6.11   Managers, and potentially their line manager, who make submissions to the panel will be invited to discuss their proposal and answer questions from the panel. Whoever attends to present the submission must understand the context of the request and be able to provide detailed answers to any questions from the panel.

7.0   Outcome of PTO Establishment Review submissions 

    7.1   Where a new role is agreed by the PTO Establishment Review panel, the revised job description will be submitted to the weekly job evaluation panel for formal job evaluation if necessary. 

    7.2   If the Job is evaluated at a different grade to that anticipated, the proposal may need to be resubmitted to the panel for reconsideration as this may affect the implementation of the structure. 

    7.3   Guidance on the appointment to roles following the outcome of PTO Establishment Review can be found in section 9 of this policy.

    7.4   Following the outcome of PTO Establishment Review discussions, consultation processes with staff may be initiated according to the Change Management Policy, and with the support of the People Function.

8.0   Governance and Regular Review 

    8.1   A written record of each meeting should be taken, clearly outlining any decision taken and additional actions or information required.  

    8.2   If a submission to the PTO Establishment Review Group is unsuccessful, the group may ask for the submission to be resubmitted with further information or changes in the context of feedback from the group. 

    8.3   To ensure consistency and transparency within the PTO Establishment Review process decisions will be regularly reviewed by the Recruitment and Progression Team, noting any issues of concern or recommendations of process improvement to the People Function Senior Management Team. An annual report of the PTO Establishment Review process, including an equality impact assessment, will be considered by the People Function SMT.  

    8.4   A high-level process document will be developed and regularly reviewed to outline how the PTO Establishment Reviews will operate. Faculties will be able to develop and deliver their process according to local need within this framework.

9.0   Guidance on appointment to roles following PTO Establishment Review 

    9.1   Where a proposal is approved at PTO Establishment Review and involves significant changes to, or deletion of, existing role(s), consideration needs to be given as to whether any new/significantly changed roles within the structure could be considered Suitable Alternative Employment for the existing postholders of the affected posts. Initial priority for these roles will be given to staff within the current team who are impacted by these changes.  

    9.2   A post is considered Suitable Alternative Employment where the employee has the knowledge, skills, qualifications, and experience to perform the new role; and the terms and conditions of the work are no less favourable (e.g., similar job duties, responsibility, status, location, pay/grade, and hours compared to their current post). 

    9.3   The question of the suitability or otherwise of any post in the new structure is (as part of the overall proposal) subject to the formal consultation process with the staff member and will normally need to be ascertained via a priority interview (as per section 9.5). 

    9.4   Where the post is considered Suitable Alternative Employment and is on the same pay/grade as the existing post, the postholder will normally be assimilated into the newly created post. Where more than one member of staff is eligible for assimilation into a post at the same grade, the post will be ringfenced for the affected individuals, and a competitive process must be completed. This process will be organised by the People Function in collaboration with the line manager, following our usual People Function policies. 

    9.5   Where a higher graded post* is available that could be deemed Suitable Alternative Employment for an employee, the employee will be given a priority interview for the post, to ascertain their suitability. If the employee is unsuccessful at the interview, they will be placed at risk of redundancy. In cases where more than one employee is in contention for a post at a higher grade, the post will be ringfenced for the affected employees, and this interview will be conducted competitively.  

    9.6   Appointment to a new/significantly changed post in the structure will depend on the skills and experience of the employee. Consideration should be given as to whether the necessary skills could be obtained quickly through appropriate training. For further guidance, please refer to the University's Change Management Policy 

    9.7   Where there is no available Suitable Alternative Employment within the new structure; either because no posts meet the criteria outlined in section 9.3, or because the employee has been unsuccessful at interview (as per section 9.5 or section 9.6); the employee will be considered at risk of redundancy. 

    9.8   Any individuals displaced from a role at this stage would follow the University's Change Management Policy and steps would be taken to find SAE elsewhere in the

    9.9   Any remaining new posts within the structure will normally be appointed to via a full, competitive recruitment process.  

         *This should compromise of at least 80% of similar duties and responsibilities to their current substantive role.  

10.0   Employee Cases

    10.1   If an employee has evidence to suggest the grade of their role should be reviewed, they should discuss this with their line manager to explain their case and to submit a request in the usual manner.

    10.2   If the individual is not able to gain the support of their line manager and they do not agree with the decision of their line manager this should be raised with their Strategic People Partner who will act as an independent advisor in the case.

List of Faculties and the appropriate PTO Establishment Review Panel Dates

If you wish to make a submission to the appropriate PTO Establishment Review Panel, the following documents will support you:

• PTO Establishment Review Policy
• PTO Establishment Review Application Form
• PTO Establishment Review Process Map (view Establishment Review Process step-by-step tab on Guidance for Managers web page for an accessible version)
• Guidance for Line Managers on writing Job Descriptions
• PTO Establishment Review Guidance for Managers
• PTO Establishment Review FAQs

Strategic Support provides personal and responsive People Function support for Senior Managers and Academic Leaders across the University. They will work in partnership with you to support you through the process. They will provide advice on complex employment relations issues and advise on change initiatives. Please find the Strategic People Function contacts for your area.

If this is not the appropriate solution for your needs, there are other options which might be more relevant. Your Strategic People Partner can help you decide the best course of action for your business needs.

The University is committed to recognising staff members' achievements in their role through the University staff recognition awards, and through the Pay Review Framework. 

The University provides a range of learning and development opportunities for all staff. Training courses, coaching and mentoring are available through the Learning and Talent Team.  

Career Development Support for PTO Staff

Career development will mean different things to different people. Your career goals may relate to progressing in your field or specialism, changing career direction, expanding your career focus, or you may not be clear about what they are yet.  

As Learning and Talent, we want you to be aware of the different avenues of support to help you work out your career goals and/or find ways to work towards achieving them.

Our aim is to equip and empower you to take responsibility and control for your learning and career development through the provision of a range of development solutions for you to access:

Check out our  Thriving at Imperial section, where the focus is on developing core skills for your professional development, including communication, career development, all to support your effectiveness at Imperial.

Apprenticeships Pages - Apprenticeship programmes are available across a range of occupations and at a variety of levels, right through to Masters, allowing staff and Managers to gain new skills and qualifications on the job.

Micro coaching for staff and Managers—Micro-development sessions are short, targeted coaching conversations designed to support all Imperial staff with their learning and development needs. If you are a manager, this could involve exploring your own or your staff's learning and development. Micro-Development Sessions (office365.com)—Book a micro-development session with a member of the team.

For teams/departments wishing to explore career development for their teams, please contact Nichola Stallwood (Deputy Director of Talent and Culture)

Career Moves

The Career Moves toolkit supports staff in thinking and reflecting on their careers. At Imperial, we have identified six career moves that staff tend to take: Ladder, Grid, Voyage, Rooted, Expedition, and Boomerang. This offering empowers staff to take control of their careers and equips managers with the skills to have meaningful developmental conversations. 

Mentoring

Imperial's mentoring scheme is available to all university staff. Mentoring is a widely used development tool that has proven to positively impact effectiveness, confidence, and career advancement. Our mentor pool continues to grow, and there is good representation across job families and Faculties.