PERFORMANCE APPRAISAL FORM



The Finance Appraisal Process

Introduction

This document introduces an appraisal process based around the KSF and the finance technical competency framework. It provides some tips on the introduction of such a process and also gives example forms and guidelines for staff. The appraisal process is ready to be used as it appears here – or it can be amended to suit the particular needs of your finance department.

This document has been produced following popular demand for an appraisal process to be developed which can be used alongside the KSF and the Finance Technical Competencies. It is compliant with the requirements of the KSF and is based on good human resources practice. To support its implementation, an appraisal skills workshop has also been developed with full trainer’s notes, overhead slides and handouts. This is available on the FSD website and can be downloaded and delivered by your own site trainers.

It is important to note that whilst every organisation must have some kind of personal development planning process in place using the KSF, that this particular process is optional. Many finance departments already have robust appraisal processes in place and it is not intended to replace them where this is the case.

However, if you wish to assess people using the Finance Competencies as well as the KSF and your organisation already has an appraisal process in place, which does not do this, then you could use Section 2 from the appraisal form in this package and attach it to your own organisation’s process.

This document has two sections:

[pic] Guidance Notes for Directors of Finance …………………………………………………………. Pages 2-3

[pic] The Finance Appraisal Process

Overview of the Appraisal Process – Guidance notes for staff …………………………… Pages 4-6

Annual Appraisal Meeting & Form - Guidance notes for staff …………………………….. Pages 7-8

Appraisal Meeting Form ……………………………………………………………………..… Pages 9-12

The Finance Appraisal Process

Guidance Notes for Directors of Finance

1 Introduction

A set of technical competencies has been developed for staff in the Finance Function. These have been well received and are being used by many Finance Departments. They are designed to be used alongside the KSF and provide a specifically finance focussed view of skills and knowledge. Integrating the KSF and the competencies into the appraisal process is an obvious step to take and we have been asked us to develop an appraisal process, which facilitates this. It is important to note that this particular process is optional – as many finance departments will already have excellent appraisal processes in place.

2 Objectives, principles and practical features of the appraisal process

There are three sets of issues, which were considered when designing the process.

▪ Objectives – what the process is designed to achieve

▪ Principles – the underlying beliefs on which the process is based

▪ Practicalities – how the process will operate in practice

Each of these is explained in further detail below.

Objectives – what the process is designed to achieve

▪ To review performance and summarise how well each person has done over the previous year.

▪ To focus on the skills and knowledge that individuals need to do their job well - and to identify any additional learning they require.

▪ To identify the skills and knowledge that people need to meet any longer-term career aspirations they may have - and to find ways of helping them to acquire them.

▪ To ensure that each individual has a personal development plan in place.

▪ To help each finance department to identify any common skill gaps and to plan appropriate learning, training and development activities.

▪ To discuss and agree key tasks or objectives for the coming year so that all staff know what is expected of them.

Principles – the underlying beliefs on which it is based

▪ Open and equal – both the individual and the manager are seen to have an equally important contribution to the appraisal process. Nothing is written before hand – both parties meet to share their thoughts and to agree a way forward.

▪ Two-way – the process is for the benefit of both the individual and the organisation. In addition to the usual review of objectives and setting of new targets, each person is asked to think about what would make their job easier and more enjoyable as well as being given the opportunity to share any longer term career aspirations they may have.

▪ Consistent/fair – it is assumed that the same appraisal process will be held for all staff and that people will be given an opportunity to discuss the outcome with a third party if they are unhappy with it.

▪ Upward feedback - the process does not include a detailed upward review. However, staff are encouraged to comment on how their manager might have helped them to have done a better job and what they would have liked their manager to have done more or less of.

Practicalities – how the process will operate in practice

There are some choices to make here. Depending on your decisions, you may need to amend the appraisal forms and guidelines for staff enclosed with this document.

▪ Timing – If there are no guidelines already in place then the recommended time to hold the annual appraisal meeting is shortly after your annual business planning and target setting cycle. In this way, objectives can be cascaded through your organisation to all of the staff. In any case personal development plans now must be produced annually for all staff.

▪ Monitoring - You will need to decide who will collect the forms – and who will monitor them and decide if they have been completed to a satisfactory standard. Will someone be responsible for collating training needs across the department and if so, what do you want them to do with the information? Your HR department will also have reporting requirements around the KSF and you will need to comply with these.

▪ Confidentiality – Your staff will want to know who will have access to the forms and in what circumstances.

▪ Appeals process - You will need to decide how to deal with people who are unhappy about the outcome of their appraisal. The recommended route in the guidelines is that they discuss their issue with their line manager first, that they then speak to their manager’s manager and finally, if the issue is still unresolved, that they speak to HR.

▪ Responsibility – It is also important to be clear about which managers will be conducting which appraisals.

3 Other issues to consider:

Implementing appraisal processes successfully can be a tricky business. Actions you can take to ease the implementation and to increase your chances of success are as follows:

▪ Clearly communicate with staff about the objectives and benefits of the process.

▪ Make sure that managers and individuals understand and have had some awareness training in both the KSF and the Finance Technical Competencies.

▪ Train managers to ensure that they understand the process and also, critically, have the skills required to deliver it effectively (e.g. constructive feedback skills, listening, questioning, summarising, dealing with conflict, motivating, setting objectives etc). A training workshop focussing on developing effective appraising skills is available on the FSD Website. Complete with trainer’s notes, overhead slides and handouts, it can be run locally by a qualified trainer.

▪ Train staff to ensure that they understand the process and also have some of the basic skills required to take part effectively (e.g. listening skills, objective setting, giving and receiving feedback etc).

An Overview of the Appraisal Process

Guidance Notes for Staff

Introduction

These guidelines are to help you to understand the Finance Appraisal Process in detail. They explain what you need to do to ensure that it works for you.

The Appraisal Process has been developed for finance staff in the NHS. If we are to be successful, it is vital that we set and review objectives on a regular basis, that we discuss how we can improve our performance and that we ensure that we have the skills and knowledge we need to do our jobs effectively. At the same time, we need to have the opportunity to discuss what would make our job easier and more enjoyable – and to discuss any longer term career aspirations we may have.

The Appraisal Process has been designed to fulfil each of these criteria. In order to work, the process must be two-way, realistic, honest and constructive. In order to ensure that we are all treated consistently and fairly, the same process will be used for everyone in the department.

The skills, knowledge and competencies used in the appraisal process have been taken from the KSF and from the National Finance Technical Competencies. Details of the latter can be found on the Finance Staff Development Website.

The objectives and characteristics of the process are shown below:

The Annual Appraisal Meeting

The focus of the annual appraisal meeting is on performance, learning and development. It will take place once a year – at the same time as our annual business planning cycle. The appraisal meetings are intended to be quite detailed and are expected to take between one and two hours. The objectives of the meetings are as follows:

▪ To review our performance and summarise how well we have done over the last year.

▪ To focus on the skills and knowledge that we need to do our job well - and to identify any additional learning we may need. This may be in technical/professional skills or in personal skills such as communicating, working in teams or planning.

▪ To identify the skills and knowledge that we need to meet any longer-term career aspirations we may have - and to find ways of helping us to acquire them.

▪ To ensure that every individual has a personal development plan which is updated annually.

▪ To help each finance department to identify any common skill gaps and to plan appropriate learning, training and development activities.

▪ To discuss and agree our objectives for the coming year so that we all know what is expected of us and so that we can continually improve.

In addition it is important that six months after the appraisal, that the manager and individual meet again to review progress against objectives and learning needs and to check if anything needs to be added, deleted or updated.

The benefits of the process

For individuals

▪ You will be able to talk to your manager about your needs and plans twice a year.

▪ You will be able to discuss work related issues and ideas with your manager in an appropriate environment.

▪ You will have a better understanding of what is expected of you.

▪ You will have the opportunity to discuss how your job can be made easier and more enjoyable.

▪ You will have an opportunity to discuss any longer-term career plans/development needs you may have.

▪ You will have a personal development plan which will be created on a yearly basis and reviewed every six months.

For managers

▪ You will have a good understanding of the people who work for you – which will allow you to motivate and manage your team.

▪ You will have a formal opportunity each year to acknowledge good performance and to focus individuals on what they might need to do to improve.

▪ You will have a clear picture of the training/development needs in your team and you will be able to plan learning activities in a proactive way. Over time your team will become more skilled and better able to perform effectively.

▪ You will be able to focus your team on what they need to do, in order to achieve your department’s objectives.

For the organisation

▪ We will be able to ensure that everyone is focussed on achieving the same goals.

▪ We will have a clear focus on performance improvement.

▪ We will have a clearer view of people’s aspirations – and be able to plan more effectively.

▪ We will have an overview of all the learning required and will be able to plan training and development programmes in a more proactive manner.

▪ We will all be more motivated – and therefore more effective and efficient.

What happens to those who join or move jobs part way through the year?

If you are a new member of staff or have recently moved role, then you will need to take part in an annual appraisal meeting within the first few weeks of beginning your new job. It is important to do this, as you need to understand which skills and knowledge are appropriate to your job - and at what level. With your manager you should complete as much of the annual appraisal form as you can (Sections 2, 3 and 4 are the relevant ones). You will then slot into the rest of the process at the appropriate point.

Preparing – what you need to do to prepare for your appraisal meetings

For individuals

▪ Look at each section of the form and decide what you’d like to say. Think of examples to explain your thoughts.

▪ Think about how your job is going and what you have achieved since your last appraisal meeting.

▪ Decide what you see as your strengths and the areas where you feel you could develop more - use the KSF and the finance technical competencies to guide you where relevant.

For managers

▪ Look at each section of the form and decide what you’d like to say. Think of examples to explain your thoughts.

▪ Think about what the individual has achieved, how they have performed and where their strengths and development areas lie - using the KSF and the finance technical competencies to guide you where relevant.

▪ Arrange a time and suitable place for the meeting – allowing sufficient time for both of you to prepare.

Who will see the completed forms?

▪ You and your manager should hold a copy (both of you should sign the form).

▪ The counter-signing manager (your manager’s manager) will also review the form, sign it and may keep a copy.

▪ The form may also be passed to HR who will keep it on confidential file (the pdp element of your form will definitely be kept by HR as will the assessment against the KSF dimensions).

Who should complete the forms and when should they be completed?

If you wish, to help you to prepare, both you and your manager can complete a draft of the form before you come to the meeting (or make your notes on a separate sheet). At the meeting, you can then share and discuss your thoughts and ideas and agree appropriate ways forward. The actions you decide upon should, wherever possible, take both of your views into account. After the appraisal meeting, it is usual for the manager to complete a new version of the form, which he or she will then agree with you.

It is important to remember that whilst completing forms helps us to be consistent, fair and focussed, that it is the process of discussion and agreement that takes place between you and your manager (and not the form filling), that is important.

What happens if you are unhappy with an appraisal meeting or with what your manager has written?

Any person who feels unhappy with any part of the process should speak to their line manager first. If necessary, they can then talk to their counter-signing manager or to a member of the HR Team.

The Appraisal Meeting and Form

Guidance Notes for Staff

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|1 Review of last year |

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|The aim of this first section is to summarise the work you have completed over the last year and to record your objectives and how you performed |

|against each one. At a glance, it ought to give a flavour of the main elements of work on which your appraisal is based and explain how your |

|performance can be measured. It is a good place to start your discussion. |

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|You should think about what you have done well and why – so that this can be repeated next year. You can also think about what you could have done |

|better and what would have helped you in this. |

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|You are also asked how you feel your manager has helped you over the year and what you’d like him or her to do more of or less of to help you to do|

|a better job in the future. Please note that this section is optional; you do not have to complete it. If you do complete the section, your |

|manager is asked to comment on what you say. |

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|2 Review of current skills and knowledge |

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|The skills and knowledge dimensions shown on the form are further defined in the KSF Framework Document (October 2004). You can find the Finance |

|Technical Competencies on the Finance Staff Development Website (). |

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|The levels of each dimension and/or competence required by your job have already been established and should be entered on the form before you |

|begin. Additionally, for the KSF assessment, you will need to decide which outline level you are working towards (e.g. foundation or full). |

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|In the appraisal meeting you can discuss your “current level” of knowledge or skill with your manager. It may be below, the same as or above what |

|is required for your job. You can discuss and agree any areas where you need to develop new skills or knowledge and include any evidence and any |

|comments to support your views. |

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|A space is allowed for comments on any additional skills or knowledge, which you feel you have and which may be useful to your department, but |

|which aren’t reflected elsewhere on the form. |

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|NB: In addition to completing Section 2, you will almost certainly be asked to complete your organisation’s KSF form (which will repeat what you |

|record here). If your organisation also has its own appraisal process and form, then Section 2 can be used on its own as an attachment to that form|

|in order to enable you to assess skills against the Finance Competencies as well as the KSF. |

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|3 Focus on next year |

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|The purpose of this section is to discuss and agree your objectives for the year ahead. Your objectives may fall into two categories: |

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|Task based objectives, which will focus on the tasks and targets, which you need to achieve in the coming year. |

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|Skill based objectives, which will be developed after discussing the KSF and finance competencies with your manager and which may refer to the need|

|to develop your skills in a particular area (e.g. communication, planning, IT, payroll etc). |

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|Although there are no formal limits on how many objectives you should have, a guideline of no more than eight is recommended. |

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|There is also an opportunity to discuss and record any other issues relating to your job satisfaction or to your longer-term career aspirations. |

|These might include for example, a wish to broaden your experience in your current job, to move into a new role, to develop specific skills, to |

|work with different people, or to take on developmental projects. |

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|Discuss your ideas with your manager and agree what is realistic. Please note that this section is optional – you may not wish to discuss your |

|future career and/or you may be quite content with your current job. |

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|Personal Development Plan |

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|The purpose of this section is to discuss and agree any training required to help you to do your current job better. It can also be used to record |

|any long-term development needs you may have - which you agree with your manager. |

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|In thinking about development opportunities, do consider wider learning opportunities, which may be useful to you. For example, how much do you |

|know about other departments or about finance elsewhere in the NHS? What could you do to acquire useful knowledge in these areas? |

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|It is important to note that whilst formal training courses have a proper role to play, that this is by no means the only way of training and |

|developing people. Indeed, the evidence suggests that training which takes place on the job is often more effective and long lasting than other |

|more formal types of learning. Suitable learning opportunities could include taking on new tasks, taking part in projects, secondments or coaching |

|from your manager or other team members. |

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|The first column asks you to state the actual learning need (e.g. “improve my time management skills”). |

|The second column asks you to state the KSF dimension or finance competence, which the learning need relates to. |

|The third column asks for the activity that is required to meet that need (e.g. “coaching”, “training course”, etc). |

|The fourth column asks for details about who will initiate the learning, how it will happen (e.g. “centre wide course”, “manager to organise” etc) |

|and details of any resource/funding requirements.. |

|The fifth column asks for a completion date (e.g. “by the end of the year”). |

|The sixth column asks how you will know that the training has been successful (e.g. “I will be able to complete the accounts on time every month |

|for the following six months”). |

|The last column asks you to prioritise the training need using the scale shown below the box. It may not always be possible to provide all the |

|training/development that is requested in a given year. The priority scale will help managers to apportion fairly the training budget where |

|relevant. |

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|Lots of additional help and guidance on personal development planning can be found in the Personal Portfolio, which is available to all Finance |

|staff. You could also refer to the FSD website () for ideas and practical help with your development. |

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|Signatures |

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|There is space for your line manager and your counter-signing manager to sign the form and for you to sign it too. |

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Appraisal Meeting Form

|Name: | |Job title: | |

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|Manager’s name: | |Date of appraisal: | |

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|1 Review of last year |

|Summarise the work completed over the last twelve months |

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|Describe the main objectives of the job |

|Task based objectives |Measure of achievement (how you know |What was done well |What might have been done better & what|

| |it was achieved) | |would have helped |

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|Skill based objectives |Measure of achievement (how you know |What was done well |What might have been done better & what|

| |it was achieved) | |would have helped |

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|Additional comments |

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|Optional feedback for manager from individual |

|Describe what you have found helpful about the way your manager has |What if anything, would you like your manager to do more of or less of next|

|managed you this year |year - in order to help you to do a better job? |

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|Manager’s comments on the above |

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|2 Review of current skills & knowledge (NB: If you wish, this|

|Section can be used on its own as an attachment to your organisation’s appraisal form to allow assessment against the Finance Competencies as well |

|as the KSF) |

|Assess the individual’s current level of skill compared with that required by the job (using the relevant KSF dimensions) |

|No: |Dimension name |Dimension type |Foundation |Full outline |Current |Evidence |Comments |

| | | |outline level |level |level | | |

|C2 |Personal and people |Work related | | | | | |

| |development | | | | | | |

|C3 |Health, safety and security |Work related | | | | | |

|C4 |Service improvement |Work related | | | | | |

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|C5 |Quality |Work related | | | | | |

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|C6 |Equality and diversity |Work related | | | | | |

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|Any additional comments |

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|Assess the current level of competence compared with that required by the job using the Finance Technical Competencies |

|A detailed description of each competence can be found on the FSD Website |

|Finance Technical Competence |Level required by|Evidence |Comments |

| |job | | |

|Governance & Risk Management | | | |

|Customer Focussed Business Advice | | | |

|Using IT | | | |

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|Any additional comments |

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|Use this space to capture details of any additional skills, knowledge or experience |

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|3 Focus on next year |

|Task based objectives |Date to be completed |Measure of achievement (how you’ll |

| |by |know it’s been achieved) |

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|Skill based objectives |Date to be completed |Measure of achievement (how you’ll |

| |by |know it’s been achieved) |

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|Optional focus on job satisfaction/personal development |

|Use this section to comment on any improvements or changes to the role and to record any longer term career aspirations. Where relevant, record |

|any actions you agree. |

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|4 Personal Development Plan |

|Include here any agreed learning needs to help with the current job - together with any longer term learning required to support career |

|progression |

|Learning need |Relevant KSF |Activity (what will I do) |By whom/ |Target |Measurable outcomes – how |Priority* |

| |dimension or | |how/ |completion |will you know that the | |

| |finance | |funding? |date |activity has been effective?| |

| |competence | | | | | |

* Desirable for the individual - Mandatory - Essential for the role - Desirable for the organisation

|Signatures |

|Individual | |Date |

|Manager | |Date |

|Counter-signing Manager | |Date |

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The documents in this section can be given to staff to explain how the appraisal process will work - and to help them to complete the appraisal form (which is also included).

If you make any changes to the process, these notes and forms will need to be amended accordingly.

The Finance Appraisal Process

Finance Appraisal Process

Guidance Notes for Directors of Finance

Example appraisal form & completion guidelines for staff

This process is written to provide Finance Directors with a useful, focussed tool to be used in the appraisal process. The document will help the function to meet the demands of both the Agenda for Change KSF and the detailed professional and technical competency assessment required by the accounting bodies. Both the NHS and the professional CPD requirements can therefore be met within this appraisal process.

Finance Staff Development - March 2008

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