KSF Support Materials for Finance Function & Related Staff ... - Finance Guidance.pdf · KSF Indicators Possible examples of application The worker: a) communicates with a limited

KSF Support Materials for Finance Function

& Related Staff Groups

Support Material covers roles from:

Financial accounting (inc debtors & creditor payments), Management accounting,

Capital, PFI and investment appraisal, Commissioning

Financial performance management Payroll (inc pay, pensions and expenses)

Internal Audit Financial systems

Produced by the National NHS Finance Staff Development KSF Steering Group Version Seven – July 18th 2005

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Index

Introduction

1 Purpose of the support materials 2 How the support materials were produced 3 Which KSF dimensions are likely to be relevant to each area4 Using the finance competencies alongside the KSF 5 Conclusion & feedback

Page no:

3 4 4 6 6

KSF Dimensions & examples of application

C1 Communication C2 Personal & People Development C3 Health, Safety & Security C4 Service Improvement C5 Quality C6 Equality & Diversity EF1 Systems, Vehicles & Equipment IK1 Information Processing IK2 Information Collection & Analysis G1 Learning & Development G2 Development & Innovation G3 Procurement & Commissioning G4 Financial Management G5 Services & Project Management G6 People Management G7 Capacity & Capability

7 9 11 13 15 17 18 20 28 36 39 41 43 48 53 55

A quick guide to the KSF

57

List of people who have helped to produce the support materials

58

Example of a KSF Outline for a finance role

59


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KSF Support Materials for Finance Staff - Introduction 1 Purpose of the support materials This document has been produced to help staff to produce quality KSF outlines locally. Each KSF outline should be specific to each post. In order to produce an outline, you will need to decide which KSF dimensions apply to the post and at which level (NB: In order to be at a level, all of the KSF indicators need to have been met). You will then need to identify relevant “Examples of Application” for each dimension. These notes are intended to help you with this process; they are not intended to provide you with all of the answers. For more information on the KSF itself, go to our Quick Guide to the KSF. This document provides you with guidance in three ways: 1. We identify which dimensions are likely to apply to different areas of the function. This is not cast in

stone; you may well feel that different dimensions apply and if so, these can be used. 2. We provide you with suggestions of examples of application for each level of each dimension. The

purpose of these is to illustrate the type of activity you may wish to include. The list is not exhaustive – it is illustrative. You will need to add your own examples of application as each KSF outline needs to be tailored to each job.

It should be emphasised that this is not a science; it is an interpretive task. Some of the activities relevant to staff could appear in more than one dimension (and some of our examples of application are repeated under different dimensions). It is for you to decide which dimensions are most suitable and to interpret them as you see fit. Your local KSF advisers will be able to help you with this. Finally, for some of the dimensions we have presented the examples of application under section headings e.g. “financial accounting”, “management accounting” “capital”, “payroll” etc. This format is designed to help you find the relevant examples quickly. However do not interpret the headings too rigidly as you may find relevant examples in areas other than your own. This reflects the fact that different organisation structures will have an impact on which functions perform which tasks. For example, management accounting staff in one organisation might perform roles carried out by financial accounting staff in another.

3. We provide a real example of a KSF outline for a finance role at the end of this document. This includes both a full outline (second gateway) and a subset outline (foundation gateway).

Whatever examples of application you include in the KSF outline, it is important to capture the core elements of the person’s role within them as the outline will be used to assess whether someone can pass through their pay band gateways. NB: The development of KSF outlines is being taken forward on an organisational basis. Whilst this guidance is provided for finance and related functions, you should work with your local KSF team to ensure that the approach being taken is consistent at a local level.


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2 How the support materials were produced We began with the finance competencies (both the personal/managerial ones originally in the Personal Portfolios and the technical ones on the FSD website). The competency frameworks provided us with the material we needed to write the examples of application. We then sought feedback from the KSF/FSD Steering Group and from a wide variety of different organisations specialising in all areas of finance and its related disciplines. Those who have helped are listed at the back of this document. 3 Which KSF dimensions are most likely to be relevant for each area of the function

(NB: It is not intended that you use all of the dimensions for every outline. We only wish to indicate which dimensions might apply. Equally you may wish to choose a dimension that is not indicated in the diagram

below).

National guidance suggests that each KSF Outline could have up to ten dimensions. However it is more important to ensure that the outline reflects the post than it is to stick rigidly to this number. There are six “core dimensions” within the KSF which will apply to all staff. These should appear in all KSF outlines at the appropriate level (one to four). These core dimensions are:

C1 Communication C2 Personal and People Development C3 Health, Safety and Security C4 Service Improvement C5 Quality C6 Equality and Diversity

Core Dimensions C1 – C6

Key for most Finance Staff

IK1 IK2

Key for any people manager

G6

Financial Accounts

G2, G3, G4, G5, G7

Management Accounts

G2, G4, G5, G7

Capital/PFI/ Investment Appraisal

G2, G3, G4, G5, G7

Commissioning (Finance)

G2, G3, G4, G5, G7

Financial Performance Management

G2, G4, G5, G7

Internal Audit

G2, G4, G5, G7

Payroll

G2, G5, G7

Financial Systems

EF1, G2, G5, G7

FSD – G1


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For many finance and related staff, the following two dimensions will also apply:

IK1 Information Processing IK2 Information Collection and Analysis Additionally, if a jobholder manages or supervises other staff, then the following dimension will also apply:

G6 – People Management Additional Dimensions In addition to the dimensions expected to apply to all jobs in the function, there are some which are more suited to different areas. These are shown on the diagram and are as follows: EF1 Systems, Vehicles and Equipment G3 Procurement and Commissioning. In reality it may be difficult for finance staff to meet the

requirements for this dimension as it covers procurement activities too. G4 Financial Management. This dimension is primarily about budgets – however it can be interpreted in

a wider sense (for example it may include activities such as establishment control, control accounts, general ledger maintenance and monitoring).

There are three dimensions which could apply to any area within the function, but which are more likely to apply to senior roles: G2 Development and Innovation. G5 Services and Project Management. G7 Capacity and Capability.

Finance staff development is shown around the edge of the circle as most of those with an FSD lead role will also have another segment of the circle which applies to their main job (e.g. financial accounts, internal audit etc). There is also one dimension which is specific to those in FSD and will need to be added to the outline for those with this role: G1 Learning & development.

Dimensions missed out of the support materials HWB 1 – 10 All of the health & well being dimensions have been excluded as they are

medical/treatment based and will not apply to our staff. EF 2 – Environments & Buildings. This is an operationally based dimension about monitoring,

maintaining and improving buildings and environments (rather than dealing with the finances related to them).

EF3 – Transport & Logistics. In the first version of the KSF, this dimension included moving money. It is

now very much focussed on the operational issues related to transport and the moving of goods/stock. IK3 – Knowledge & Information Resources. This dimension is about accessing and managing

information. This may apply to some roles. However it is unlikely to be of sufficient significance to be included in the KSF outline for most of our staff.

G8 Public Relations and Marketing. This dimension may apply to areas, which have to market their

services (e.g. internal audit and shared services). However it is unlikely to form a major part of the role).


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4 Using the finance competencies alongside the KSF The finance competencies produced in March 2004 and updated in July 2005, were used to add many of the examples of application in this guide. The finance competencies look at the knowledge and skills required within each functional area in finance and as such, provide a different perspective to the KSF. Many functions have used them to help to produce job descriptions and to review the training and development needs of staff. It is recommended that you continue to use this document alongside the KSF as it provides you with a different and important perspective of development across and within each functional area. The finance competencies can be found on the FSD website: www.fsdnetwork.com 5 Conclusion and feedback As many of you are only just beginning this process, we would welcome feedback on these materials. Please send any comments to the FSD website www.fsdnetwork.com. Thank you.


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Core Dimension 1: Communication

Core Dimension 1 – Communication This dimension relates to effective communication in whatever form it takes (oral, written, electronic etc). Level 1 - Communicate with a limited range of people on day-to-day matters

KSF Indicators Possible examples of application The worker: a) communicates with a limited range of people on day-to-

day matters in a form that is appropriate to them and the situation

b) reduces barriers to effective communication c) presents a positive image of her/himself and the service d) accurately reports and/or records work activities

according to organisational procedures e) communicates information only to those people who

have the right and need to know it consistent with legislation, policies and procedures

Communicates with colleagues of their own or other disciplines and with customers of the function, dealing with straightforward queries.

Takes opportunities to meet and to get to know other people. Quickly establishes rapport with and relates to people from a variety of

backgrounds and cultures. Treats other people with courtesy and puts them at their ease. Ensures that the recipient is entitled to receive information that is passed on

and that confidentiality is maintained as necessary. Conveys information to others in a clear, concise, confident and unambiguous

manner avoiding the use of unnecessary jargon. Shares information in an open and helpful manner. Effectively and patiently listens to and shows respect for what others have to

say and tests own understanding. Uses effective questions to establish the true meaning of a situation. Expresses own views with conviction. Expresses disagreement assertively and without giving offence. Prepares properly for team meetings so able to take part in an effective

manner. Makes constructive contributions in team meetings. Makes a positive first impression. Effectively deals with basic customer complaints and queries and knows when

to refer to a more senior member of staff. Prepares concise, well-written documents based on brief outlines, using word

processing software (e.g. procedure notes, standard letters).

Level 2 – Communicate with a range of people on a range of matters KSF Indicators Possible examples of application

The worker: a) communicates with a range of people on a range of

matters in a form that is appropriate to them and the situation

b) improves the effectiveness of communication through the use of communication skills

c) constructively manages barriers to effective communication

d) keeps accurate and complete records consistent with legislation, policies and procedures

e) communicates in a manner that is consistent with relevant legislation, polices and procedures

Builds informal networks of contacts, alliances and partnerships throughout the function, the wider organisation and customers/partners.

Detects the concerns, interests or emotions, which lie behind what people say. Negotiates within agreed parameters (e.g. small purchases/contracts/debt

recovery/audit plans etc). Considers the perspective of others when developing arguments. Anticipates objections and is convincing in responding to them. Monitors the responses of others and adapts own approach appropriately. Knows when to back down or to offer a compromise. Identifies key people and works to bring them on board early on. Reacts positively to the ideas and views of others, trying to achieve a solution,

which meets everyone’s needs. Demonstrates knowledge of the organisation’s formal decision making

processes when communicating with and influencing others. Produces written information to internal standards in a grammatically correct

manner, having analysed the needs of the particular audience.


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Core Dimension 1 – Communication This dimension relates to effective communication in whatever form it takes (oral, written, electronic etc). Level 3 - Develop and maintain communication with people about difficult matters and/or in difficult situations

KSF Indicators Possible examples of application The worker: a) identifies the range of people likely to be involved in the

communication , any potential communication differences and relevant contextual factors

b) communicates with people in a form and manner that: - is consistent with their level of understanding, culture,

background and preferred way of communicating - is appropriate to the purpose of the communication

and the context in which it is taking place - encourages the effective participation of all involved

c) recognises and reflects on barriers to effective communication and modifies communication in response

d) provides feedback to other workers on their communication at appropriate times

e) keeps accurate and complete records of activities and communications consistent with legislation, polices and procedures

f) communicates in a manner that is consistent with relevant legislation, policies and procedures

Effectively gains and maintains attention when speaking to a group of people. Considers the likely context, culture and reactions of others and acts to address

these when planning a communication or negotiation (written or spoken). Develops effective, long-term relationships with external people (e.g.

customers, suppliers, auditors, partners etc). Considers a range of different communication methods and styles in order to

achieve a particular outcome (e.g. producing visual aids and using a variety of presentation techniques to help to explain information to others).

Prioritises information and presents it in a logical, structured way, distilling the critical message (e.g. in internal briefings, meetings or presentations).

Quickly establishes rapport with people in difficult situations. Chairs meetings effectively, creating opportunities for quieter members to

contribute and managing the more outspoken. Presents confidently and assertively to senior managers/partners/customers –

sometimes on contentious issues. Understands sources of power and influence and uses this information

sensitively and with good effect. Plans long term communicating, influencing and/or negotiating strategies to

persuade a particular audience - which may involve several steps over an elapsed period of time.

Thinks on their feet in difficult situations and responds appropriately – modifying the content, structure and style of communication as appropriate.

In difficult situations, works hard to find ways to enable others to agree. Follows internal procedures for dealing with escalated complaints. Produces critical business documents to high quality content and style

requirements (e.g. business plans, internal guidelines, quality documentation etc).

Improves the written and verbal communication of others by identifying grammatical errors and improving the overall layout or approach.

Level 4 - Develop and maintain communication with people on complex matters, issues and ideas and/or in complex situations

KSF Indicators Possible examples of application The worker: a) identifies:

- the range of people involved in the communication - potential communication differences - relevant contextual factors - broader situational factors, issues and risks

b) communicates with people in a form and manner which: - is consistent with their level of understanding, culture,

background and preferred ways of communicating - is appropriate to the purpose of the communication

and its longer term importance - is appropriate to the complexity of the context - encourages effective communication between all

involved - enables a constructive outcome to be achieved

c) anticipates barriers to communication and takes action to improve communication

d) is proactive in seeking out different styles and methods of communicating to assist longer term needs and aims

e) takes a proactive role in producing accurate and complete records of the communication consistent with legislation, policies and procedures

f) communicates in a manner that is consistent with legislation, policies and procedures

Presents a credible, compelling image to senior individuals internally and in other partnership organisations and develops effective relationships with them.

Influences people (internal and external) to change their views and opinions on issues of long term significance for the function.

Represents the function effectively to the external world – through the media/conferences etc.

Appears to be professional and credible in public presentations. Successfully explains highly complex concepts and information to an audience,

which is unfamiliar with them or not pre-disposed towards them. Takes well thought out action in order to shift entrenched views and opinions. Resolves complex situations where there is no precedent, by gaining

agreement from disparate parties. Creates opportunities in which to explore the opinions and feelings of the other

party, so that appropriate communicating, influencing and negotiating approaches can be planned.

Seeks opportunities to build a positive image of the NHS/the function, maintaining a high personal profile within and outside the organisation.

Leads negotiations internally and externally where the outcome is of strategic significance to the function.

Provides a compelling vision, which inspires people.


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Core Dimension 2: Personal and People Development

Core Dimension 2 – Personal & People Development This dimension is about personal development – of oneself and others through coaching, mentoring, supporting learning, giving feedback etc. For those directly involved in designing and running training events, G1 will also be relevant. Level 1 – Contribute to own personal development

KSF Indicators Possible examples of application The worker: a) with the help of others, identifies:

- whether s/he can carry out the tasks within own job - what s/he needs to learn to do current job better - when s/he needs help

b) reviews his/her work against the KSF outline for his/her post with his/her reviewer and identifies own learning needs and interests

c) produces with his/her reviewer a personal development plan

d) takes an active part in agreed learning activities and keeps a record of them

e) evaluates the effectiveness of learning activities for own development and the job

Is aware of own strengths and weaknesses and has the self-confidence to acknowledge them to others.

Constantly seeks and creates opportunities to develop own competence, demonstrating the importance of continuous learning.

Eager to learn from others in the team. Keeps personal portfolio up to date.

Level 2 – Develop own knowledge and skills and provide information to others to help their development KSF Indicators Possible examples of application

The worker: a) assesses and identifies:

- feedback from others on own work - how s/he is applying knowledge and skills in relation

to the KSF outline for the post - own development needs and interests in the current

post - what has been helpful in his/her learning and

development to date b) takes an active part in the development review of own

work against the KSF outline for the post with their reviewer and suggests areas for learning and development in the coming year

c) takes responsibility for own personal development and takes an active part in learning opportunities

d) evaluates the effectiveness of learning opportunities and alerts others to benefits and problems

e) keeps up-to-date records of own development review process

f) offers information to others when it will help their development and/or help them meet work demands

Requests feedback from colleagues and customers in order to identify own development needs and to continuously improve.

Identifies opportunities for developing own skills. Identifies barriers to own learning and development. Willingly shares own knowledge, skills and experience with colleagues (i.e.

during induction). Gives helpful feedback to others to improve their performance. Expresses positive expectations of others and gives encouragement. Understands how the KSF applies to their area and helps others to do the

same. Provides basic coaching to other staff in own area on own area of expertise

(e.g. payroll calculations, finance systems, ledgers, audit systems and techniques etc).


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Core Dimension 2 – Personal & People Development This dimension is about personal development – of oneself and others through coaching, mentoring, supporting learning, giving feedback etc. For those directly involved in designing and running training events, G1 will also be relevant. Level 3 – Develop oneself and contribute to the development of others

KSF Indicators Possible examples of application The worker: a) reflects on and evaluates how well s/he is applying

knowledge and skills to meet current and emerging work demands and the requirements of the KSF outline for his/her post

b) identifies own development needs and sets own personal development objectives in discussion with his/her reviewer

c) takes responsibility for own personal development and maintains own personal development portfolio

d) makes effective use of learning opportunities within and outside the workplace evaluating their effectiveness and feeding back relevant information

e) enables others to develop and apply their knowledge and skills in practice

f) contributes to the development of others in a manner that is consistent with legislation, policies and procedures

g) contributes to developing the workplace as a learning environment

Proactively seeks opportunities to broaden own knowledge, skills and expertise. Identifies talent in others and seeks opportunities to allow it to thrive. Allows people to take on more challenging tasks in order to develop. Lets go/relinquishes some control in order to develop skills in others. Encourages others to seek their own solutions to problems and allows them to

learn from their mistakes in a non-critical setting. Gives recognition to others when taking on and carrying through development

activities. Sets aside specific time to review the development of people. Gives constructive feedback to others. Conducts effective appraisal meetings, identifying development needs and

setting new, performance-based objectives. Leads the training/coaching of others in areas of expertise. Helps others to prioritise their own development needs and to develop sound

training and development plans and objectives. Evaluates learning activity and balances benefit against cost when deciding

how to develop oneself/others. Ensures that all training and development documentation is completed as

required.

Level 4 – Develop oneself and others in areas of practice KSF Indicators Possible examples of application

The worker: a) evaluates the currency and sufficiency of own knowledge

and practice against the KSF outline for the post and identifies own development needs and interests

b) develops and agrees own personal development plan with feedback from others

c) generates and uses appropriate learning opportunities and applies own learning to the future development of practice

d) encourages others to make realistic self assessments of their application of knowledge and skills challenging complacency and actions which are not in the interest of the public and/or users of services

e) enables others to develop and apply their knowledge and skills

f) actively promotes the workplace as a learning environment encouraging everyone to learn from each other and from external good practice

g) alerts managers to resource issues which affect learning, development and performance

h) develops others in a manner that is consistent with legislation, policies and procedures

Keeps up to date with knowledge and skill requirements of the professional bodies (and others where relevant).

Actively promotes and supports the continuing professional development schemes of the relevant professional bodies.

Creates an environment where learning and development is valued and placed high on the agenda.

Encourages others to think about their long-term career routes and provides opportunities to help them.

Identifies the long-term skill requirements of the team and takes appropriate action, including planning appropriate resources.

Ensures that development activity across the department links with the vision and strategic objectives.

Evaluates the success of departmental development activity and takes appropriate action.

Takes responsibility for developing appropriate skills across the wider organisation.

Pioneers new approaches to training and development within own department and is willing to experiment with new ideas in this field.


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Core Dimension 3: Health, Safety and Security Core Dimension 3 – Health, Safety and Security This dimension focuses on maintaining an promoting the health, safety and security of everyone in the organisation and those who come into contact with it. Level 1 – Assist in maintaining own and others’ health, safety and security

KSF Indicators Possible examples of application The worker: a) acts in ways that are consistent with legislation, policies

and procedures for maintaining own and others’ health, safety and security

b) assists in maintaining a healthy, safe and secure working environment for everyone who is in contact with the organisation

c) works in a way that minimises risks to health, safety and security

d) summons immediate help for any emergency and takes the appropriate action to contain it

e) reports any issues at work that may put health, safety and security at risk

Understands own responsibilities to work healthily and safely. Considers the safety of others before acting. Understands basic requirements relating to personal and information security

and confidentiality at work. Will always act with integrity and will speak out when they feel integrity is being

compromised. Uses appropriate security/audit procedures for paper and IT systems. Follows safety and security procedures for handling cash, cheques and BACS. Identifies health and safety and security risks and reports them appropriately. Knows how to store and use office equipment safely.

Level 2 – Monitor and maintain health, safety and security of self and others KSF Indicators Possible examples of application

The worker: a) identifies and assesses the potential risks involved in

work activities and processes for self and others b) identifies how best to manage the risks c) undertakes work activities consistent with:

- legislation, policies and procedures - the assessment and management of risk

d) takes the appropriate action to manage an emergency summoning assistance immediately when this is necessary

e) reports actual or potential problems that may put health, safety and security at risk and suggests how they might be addressed

f) supports others in maintaining health, safety and security

Has a broad working knowledge of the health, safety and security policies and standards applicable to the function (including internal audit/confidentiality requirements relating to security of information).

Identifies when those standards and regulations are not being met and takes appropriate action.

Knows who to refer to for specialist advice. Ensures that other relevant people are adhering to required standards (e.g.

suppliers, visitors). Ensures safe transition of cash, cheques etc to security company/to bank. Sets an example to others. Responds appropriately to emergency situations (e.g. incident reporting, calling

emergency services etc).

Level 3 – Promote, monitor and maintain best practice in health, safety and security KSF Indicators Possible examples of application

The worker: a) identifies:

- the risks involved in work activities and processes - how to manage the risks - how to help others manage risk

b) undertakes work activities consistent with: - legislation, policies and procedures - the assessment and management of risk

c) monitors work areas and practices and ensures they: - are safe and free from hazards - conform to health, safety and security legislation,

policies, procedures and guidelines d) takes the necessary action in relation to risks e) identifies how health, safety and security can be

improved and takes action to put this into effect

Has a detailed knowledge of the health and safety policies, standards and regulations applicable in the function.

Has a detailed knowledge of the security policies, standards and regulations (in general terms as well as those relating specifically to the function e.g. confidentiality etc).

Monitors adherence to these standards and takes action where required to address issues.

Briefs/trains staff in the use of standards in these areas. Reinforces positive behaviour and provides feedback on behaviour which is

contrary to the standards or to the spirit of them.


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Core Dimension 3 – Health, Safety and Security This dimension focuses on maintaining an promoting the health, safety and security of everyone in the organisation and those who come into contact with it. Level 4 – Maintain and develop an environment and culture that improves health, safety and security

KSF Indicators Possible examples of application The worker: a) evaluates the extent to which legislation, policies and

procedures are implemented in the environment, culture and practices of own sphere of activity

b) identifies processes and systems that do not promote own and others’ health, safety and security

c) regularly assesses risks to health, safety and security using the results to promote and improve practice

d) takes the appropriate action when there are issues with health, safety and security

e) investigates any potential or actual breaches of legal, professional or organisational requirements and takes the necessary action to deal with them appropriately

Keeps informed of best practice in health, safety and security in general as well as in matters relating specifically to the function (e.g. confidentiality etc).

Ensures that the information systems used adhere to requirements for health, safety, security, confidentiality etc.

Sets up systems to monitor, control and audit adherence to the standards as described.

Drafts documentation and guidelines for staff on health, safety, security, confidentiality etc.

Recognises the significance of a change in external regulations and recommends appropriate action.

Anticipates changes in legislation/best practice, assesses the implications and takes appropriate action.

Ensures that all staff are properly trained in the standards required in each of these areas and can understand and use the relevant policies and procedures.

Ensures that the culture of the department supports a healthy and safe working environment.

Creates an environment within the function which ensures the security and integrity of people and information.

Deals assertively and effectively with serious breaches to any of these standards or policies.


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Core Dimension 4: Service Improvement Core Dimension 4 - Service Improvement This dimension is about improving services in the interests of users/customers. It also covers the development of direction, strategy and policy to guide the work of the function or service. Level 1 – Make changes in own practice and offer suggestions for improving services

KSF Indicators Possible examples of application The worker: a) discusses with line manager/work team the changes that

need to be made in own practice and the reasons for them

b) adapts own practice as agreed and to time seeking support if necessary

c) effectively carries out tasks related to evaluating services when asked

d) passes on to the appropriate person constructive views and ideas on improving services for users and the public

e) alerts line manager/work team when direction, policies and strategies are adversely affecting users of services or the public

Challenges current ways of working in own area of work and identifies ways to improve.

Identifies opportunities to improve efficiency and customer service in own area. Assists internal auditors and staff in tasks focused on improving the service

provided by the team. Is open to new approaches and adapts quickly to new situations.

Level 2 – Contribute to the improvement of services KSF Indicators Possible examples of application

The worker: a) discusses and agrees with the work team

- the implications of direction, policies and strategies on their current practice

- the changes that they can make as a team - the changes s/he can make as an individual - how to take the changes forward

b) constructively makes agreed changes to own work in the agreed timescale seeking support as and when necessary

c) supports others in understanding the need for and making agreed changes

d) evaluates own and other’s work when required to do so completing relevant documentation

e) makes constructive suggestions as to how services can be improved for users and the public

f) constructively identifies issues with direction, policies and strategies in the interests of users and the public

Reviews processes and systems in own area/involves staff in order to identify opportunities for improvement.

Works with colleagues and other staff to identify areas for improvement in own area.

Leads the implementation of improvements to services in own area. Identifies ways in which to add value to customer/partner relationships.


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Core Dimension 4 - Service Improvement This dimension is about improving services in the interests of users/customers. It also covers the development of direction, strategy and policy to guide the work of the function or service. Level 3 – Appraise, interpret and apply suggestions, recommendations and directives to improve services

KSF Indicators Possible examples of application The worker: a) identifies and evaluates areas for potential service

improvement b) discusses and agrees with others:

- how services should be improved as a result of suggestions, recommendations and directives

- how to balance and prioritise competing interests - how improvements will be taken forward and implemented

c) constructively undertakes own role in improving services as agreed and to time, supporting others effectively during times of change and working with others to overcome problems and tensions as they arise

d) maintains and sustains direction, policies and strategies until they are firmly embedded in the culture inspiring others with values and a vision of the future whilst acknowledging traditions and background

e) enables and encourages others to: - understand and appreciate the influences on services and

the reasons why improvements are being made - offer suggestions, ideas and views for improving services

and developing direction, policies and strategies - alter their practice in line with agreed improvements - share achievements - challenge tradition

f) evaluates with others the effectiveness of service improvements and agrees that further action is required to take them forward

g) appraises draft policies and strategies for their effect on users and the public and makes recommendations for improvement

Keeps up to date with best practice inside and outside the NHS in order to improve the quality of service provided in own area.

Conducts research to identify long term customer/partner needs. Leads projects to evaluate/audit the effectiveness of various

services/processes/policies and implements the outcomes. Conducts risk assessments on behalf of the function and makes

recommendations for change. Maintains awareness of changes to legislation and plans to make changes

without harming the service which the function provides. Removes barriers to progress and implements changes to

services/processes/policies in own area.

Level 4 – Work in partnership with others to develop, take forward and evaluate direction, polices and strategies KSF Indicators Possible examples of application

The worker: a) effectively engages the public, users of services and other

interested parties in an open and effective discussion on values, direction, policies and strategies for the organisation/services

b) works effectively with others to clearly define values, direction and policies including guidance on how to respond when these are under pressure or interests are in conflict

c) works effectively with others to continually review values, direction and policies in the light of changing circumstances

d) works effectively with others to formulate strategies and associated objectives that: - are consistent with values, direction and policies - are attainable given available resources and timescales - contain sufficient detail for the operational planning of

services, projects and programmes - take account of constraints - realistically balance competing interests and tensions

whilst maintaining values and direction e) communicates values, direction, policies and strategies

effectively to relevant people and enables them to: - appraise and apply them to their area of responsibility - feed in their views and suggestions for change

f) works effectively with everyone affected by direction, policies and strategies to evaluate their impact and effectiveness and feed this information into ongoing improvements

Works closely with partners and customers to advise on the performance and development of future services.

Predicts emerging customer/service requirements and takes early action to meet them.

Focuses attention on appropriate benchmarks in order to identify long-term service improvements.

Ensures new/planned legislation affecting the function is planned for and adopted with positive outcomes.

Removes organisational/functional barriers to long-term progress where possible.

Contributes to wider corporate/service management by advising on performance and identifies opportunities for developing existing and future services.

Demonstrates an awareness of the process of change and of the need to respond to values and culture in planning change.

Anticipates and plans for the effect of change on staff, partners and customers.

Provides appropriate input to management committees (e.g. Finance Committee/Boards/Charitable Funds Committee/Audit Committee) in order to assist with strategic decision-making/improvement activities.

Translates the vision of the organisation into viable plans including measurable performance targets consistent with statutory reporting responsibilities (e.g. financial plans).

Identifies innovative ways of funding services/service expansion.


15

Core Dimension 5: Quality Core Dimension 5 – Quality This dimension relates to maintaining high quality in all areas of work and practice and includes effective team working. Level 1 – Maintain the quality of own work

KSF Indicators Possible examples of application The worker: a) complies with legislation, policies, procedures and other

quality approaches relevant to the work being undertaken b) works within the limits of own competence and

responsibility and refers issues beyond these limits to relevant people

c) acts responsibly as a team member and seeks help if necessary

d) uses and maintains resources efficiently and effectively e) reports problems as they arise, solving them if possible

Consistently produces work, which meets or exceeds standards required. Understands how own work outputs affect those of others. Looks for problems and flaws in work and uses initiative to correct them. Shows willingness to learn from mistakes. Goes out of the way to learn how others perform tasks/routines in order to

learn from them. Demonstrates a concern for accuracy. Has knowledge of and demonstrates the relevant Standards of Professional

Practice. Maintains up to date knowledge of legislative changes affecting own area of

work. Knows who the key stakeholders/customers are. Understands the requirements and interests of relevant

stakeholders/customers and responds to their requests effectively and flexibly, keeping them informed of progress at all times.

Always aims for total customer satisfaction. Proactively identifies and resolves customer queries and concerns, putting the

needs of customers first and acting within guidelines and procedures. Honours promises to customers and to work colleagues and is seen as reliable

by others. Recognises day-to-day issues, which affect the quality of output (e.g.

responsiveness, personal appearance, tact in handling complaints, courtesy, accuracy, speed etc).

Recognises day to day issues which are commercially important to the function (e.g. responsiveness, personal appearance, tact etc).

Conducts basic maintenance of own pc/system/files, identifying and solving simple faults and reporting them to the appropriate person.

Level 2 – Maintain quality in own work and encourage others to do so

KSF Indicators Possible examples of application The worker: a) acts consistently with legislation, policies, procedures and

other quality approaches and encourages others to do so b) works within the limits of own competence and levels of

responsibility and accountability in the work team and organisation

c) works as an effective and responsible team member d) prioritises own workload and organises own work to meet

these priorities and reduce risks to quality e) uses and maintains resources efficiently and effectively

and encourages others to do so f) monitors the quality of work in own area and alerts others

to quality issues

Takes time to understand the nature and activities of other parts of the organisation and of partner organisations and customers, in order to be better able to produce quality work.

Has an overview of the strategy and understands the quality standards, plans and objectives for own department in detail.

Ensures the strategy and section standards, plans and objectives are understood by staff.

Leads team members in identifying and responding to customer’s needs and holds them accountable for the service they deliver.

Works to help the team to develop a culture of excellent customer service. Is resilient and determined in the face of setbacks. Considers customer needs when prioritizing and allocating tasks in the team. Handles customers effectively and assists others in doing so. Informs and advises others of the Standards of Professional Practice when

appropriate. As a part of being a responsible team member, seeking quality in all they do:

- Understands the impact of own style on others and modifies where necessary.

- Values and respects differences in personal style and recognises the importance of difference to good team working.

- Takes on activities outside formal responsibility to support others. - Is sensitive to and tolerant of the needs of others. - Approaches tasks enthusiastically and has visible energy and drive. - Takes responsibility and ensures that things get done if others fail to deliver.

Always acts in the interests of others and of the department. Reduces costs wherever possible without reducing quality.


16

Core Dimension 5 – Quality This dimension relates to maintaining high quality in all areas of work and practice and includes effective team working. Level 3 – Contribute to improving quality

KSF Indicators Possible examples of application The worker: a) acts consistently with legislation, policies, procedures and

other quality approaches and promotes the value of quality approaches to others

b) understands own role in the organisation and its scope and identifies how this may develop over time

c) works as an effective and responsible team member and enables others to do so

d) prioritises own workload and organises and carries out own work in a manner that maintains and promotes quality

e) evaluates the quality of own and others’ work and raises quality issues and related risks with the relevant people

f) supports the introduction and maintenance of quality systems and processes in own work area

g) takes the appropriate action when there are persistent quality problems

Understands the strategy and plans for the function. Contributes to the development of quality standards and quality systems within

own area. Monitors quality in own area and initiates appropriate action. Removes barriers to continuous improvement. Develops strong relationships with customers/suppliers/partners. Resolves complex and/or difficult customer complaints or problems. Leads by example. Uses benchmarking information/analyses to identify where potential benefits

can be realised and makes appropriate recommendations, challenging the status quo.

Level 4 – Develop a culture that improves quality KSF Indicators Possible examples of application

The worker: a) acts consistently with legislation, policies, procedures and

other quality approaches and alerts others to the need for improvements to quality

b) works effectively in own team and as part of the whole organisation

c) prioritises, organises and carries out own work effectively d) enables others to understand, and address risks to quality e) actively promotes quality in all areas of work f) initiates and takes forward the introduction and

maintenance of quality and governance systems and processes across the organisation and its activities

g) continuously monitors quality and takes effective action to address quality issues and promote quality

Understands the strategy and plans for the Service as a whole and has an overview of how all of the plans fit together.

Acts in partnership with partners and customers, becoming involved in their decision-making processes to ensure a more effective delivery of the service.

Challenges and changes ways of working in order to better meet customer needs.

Focuses attention on appropriate benchmarks in order to measure quality, service and efficiency.

Creates a working environment based around excellence, continuous improvement and customer satisfaction.

Sets standards of performance/quality within the function. Creates systems and processes within the function to measure and report on

standards of performance/quality. Seeks to remove organisational/functional barriers to continuous

improvement. Creates an environment, which encourages others to act in partnership with

one another. Demonstrates the Function’s Values in all activities. Ensures compliance in accounting practices with the law and all NHS policies

and procedures. Reviews changes in legislation to decide if there is an impact on the

organisation and advises on how systems/processes need to be adapted to ensure that the new legislation is complied with.

Ensures the organisation has in place adequate SFI’s SO’s, Schemes of delegation and governance arrangements.


17

Core Dimension 6: Equality and Diversity

Core Dimension 6 – Equality and Diversity This dimension highlights the importance of every person acting in ways which support equality and diversity. Level 1 – Act in ways that support equality and value diversity

KSF Indicators Possible examples of application The worker: a) acts in ways that are in accordance with legislation,

policies, procedures and good practice b) treats everyone with whom s/he comes into contact with

dignity and respect c) acknowledges others’ different perspectives d) recognises that people are different and makes sure they

do not discriminate against other people e) recognises and reports behaviour that undermines equality

and diversity

Understands and demonstrates own responsibilities to treat colleagues and all customers/suppliers and other people fairly and equally and in accordance with legislation, policies and procedures..

Level 2 – Support equality and value diversity KSF Indicators Possible examples of application

The worker: a) recognises the importance of people’s rights and acts in

accordance with legislation, policies and procedures b) acts in ways that:

- acknowledge and recognise people’s expressed beliefs, preferences and choices

- respect diversity - value people as individuals

c) takes account of own behaviour and its effect on others d) identifies and takes action when own or others’ behaviour

undermines equality and diversity

Has a broad working knowledge of the equality and diversity policies and standards applicable to own area.

Identifies when those standards and regulations are not being met and takes appropriate action.

Knows who to refer to for specialist advice. Ensures that other relevant people are adhering to required standards (e.g.

suppliers, visitors). Sets an example to others.

Level 3 – Promote equality and value diversity KSF Indicators Possible examples of application

The worker: a) interprets equality, diversity and rights in accordance with

legislation, policies, procedures and relevant standards b) evaluates the extent to which legislation is applied in the

culture and environment of own sphere of activity c) identifies patterns of discrimination and takes action to

overcome discrimination and promote diversity and equality of opportunity

d) enables others to promote equality and diversity and a non-discriminatory culture

e) supports people who need assistance in exercising their rights

Has a detailed knowledge of the equality and diversity policies, standards and regulations applicable in the function.

Sets up systems in own area to monitor, control and audit adherence to the standards as described.

Ensures appropriate action is taken where required. Drafts documentation and guidelines for staff on equality and diversity. Briefs/trains staff in the use of these standards and policies. Reinforces positive behaviour and provides feedback on behaviour which is

contrary to the standards or to the spirit of them.

Level 4 – Develop a culture that promotes equality and values diversity KSF Indicators Possible examples of application

The worker: a) interprets legislation to inform individuals’ rights and

responsibilities b) actively promotes equality and diversity c) identifies and highlights methods and processes to

resolve complaints as a consequence of unfair and discriminatory practice

d) supports those whose rights have been compromised consistent with legislation, policies and procedures and good and best practice

e) actively challenges individual and organisational discrimination

f) evaluates the effectiveness of equality and diversity policies and procedures within the service/agency and contributes to the development of good and best practice

Keeps informed of best practice in equality and diversity. Demonstrates a willingness to consider a variety of employment/working

arrangements when making decision about resourcing the function. Recognises the significance of a change in regulations relating to equality and

diversity and recommends how to apply them in a practical way. Anticipates changes in legislation/best practice, assesses the implications and

takes appropriate action. Ensures that all staff are properly trained in the standards required. Ensures that the culture of the department promotes equality and diversity in

the day-to-day working environment (e.g. training and development opportunities, recruitment, management style).

Deals assertively and effectively with serious breaches to any of these standards or policies.


18

Dimension EF1 – Systems, Vehicles and Equipment (Mostly relevant to financial systems staff)

Dimension EF1 – Systems, Vehicles and Equipment This dimension is about maintaining, monitoring and developing all types of systems, vehicles and equipment. Level 1 – Carry out routine maintenance of simple equipment, vehicle and system components

KSF Indicators Possible examples of application The worker: a) correctly follows routine maintenance schedules and

procedures for the components of systems, vehicles and equipment

b) correctly identifies simple faults in the system/vehicle/equipment and takes the appropriate action to remedy them

c) correctly and safely prepares, uses, cleans and stores equipment, tools and materials

d) carries out activities in a way which: - causes minimum disruption to users - minimises risks to self, others and the work environment - is consistent with legislation, policies and procedures

Unlikely to apply to staff at this level.

Level 2 – Contribute to the monitoring and maintenance of systems, vehicles and equipment KSF Indicators Possible examples of application

The worker: a) correctly follows routine maintenance schedules and

procedures for systems, vehicles and equipment b) accesses readily available and relevant technical data to

inform testing, servicing, diagnosis or repair c) accurately tests systems, vehicles and equipment and

identifies any deviations from required performance standards, together with their likely causes

d) determines and implements appropriate remedial action to deal with performance problems

e) takes the appropriate action if a fault cannot be resolved f) correctly and safely installs and integrates

system/vehicle/equipment components g) carries out activities in a way which:

- causes minimum disruption to users - complies with any relevant service

agreements/maintenance contracts - is consistent with legislation, policies and procedures

Deals with basic queries relating to Chart of Accounts. Undertakes uploads and downloads of information in accordance with

operating timetables and instructions. Runs locally developed software. Ensures back ups/information are processed correctly. Sets up new passwords and administers password rights. Provides first line advice for routine IT problems. Produces system control reports to ensure integrity of ledgers. Uses knowledge of the Chart of Accounts to manage the process of setting up

new account codes. Develops simple PC based solutions to improve financial operations.

Level 3 – Monitor, maintain and contribute to the development of systems, vehicles and equipment KSF Indicators Possible examples of application

The worker: a) correctly carries out regular maintenance of complex

systems, vehicles and equipment consistent with legislation, policies and procedures

b) establishes the standards of performance expected of systems/vehicles/equipment and gathers enough information to monitor their ongoing performance

c) promptly and accurately identifies problems with performance of systems/equipment and makes an appropriate diagnosis of their nature and cause

d) accesses specialist advice and information to help with diagnosis and remedy of problems

e) determines and implements the most appropriate remedy to the problem, taking account of any relevant factors

f) correctly and safely installs and integrates new systems/ vehicles/equipment, handing over to users with full guidance and support

g) offers information to colleagues on how systems/vehicles/equipment should be developed to better meet user needs

Alters software to make it more user-friendly for others. Writes and designs bespoke reports and systems for managers. Maintains and tests disaster recovery procedures. Maintains the overall IT infrastructure required by Finance to enable the

collection, processing and communication of financial data. Identifies and implements methods for maintaining internal control and for

avoiding fraud within the system. Has a good awareness of software and what can be achieved by using

different products. Leads the introduction of upgrades/new IT systems/software across the

department. Provides first line advice and help to solve complex finance/IT problems.


19

Dimension EF1 – Systems, Vehicles and Equipment This dimension is about maintaining, monitoring and developing all types of systems, vehicles and equipment. Level 4 – Review, develop and improve systems, vehicles and equipment

KSF Indicators Possible examples of application The worker: a) gathers and analyses sufficient information to:

- evaluate current performance and capacity of systems, vehicles and equipment

- identify current problems/issues - predict future needs - assess the capacity of systems/ vehicles/ equipment to

meet future needs - identify possible solutions

b) determines appropriate ways of improving the ability of systems/vehicles/equipment to meet current and future needs

c) produces realistic and justifiable proposals for improving the systems/vehicle/equipment which take account of: - all relevant factors - legislation, policies and procedures

d) develops, tests and finalises proposed improvements e) implements improvements once they have been agreed

with the relevant people ensuring that users are given the appropriate support

f) monitors and evaluates the effectiveness of improvements to systems/vehicle/equipment

Keeps abreast of IT developments, evaluates their impact on Finance and advises managers to this effect.

Keeps abreast of developments in Finance, evaluates their implications for the finance system and advises managers to this effect.

Seeks and finds opportunities to apply computer technology to improve finance operations in order to enhance productivity, decision making, control and communications.

Plans the introduction of upgrades/new IT systems/software across the department/organisation.


20

Dimension IK1 – Information Processing (Likely to be relevant to finance staff in all areas. Level 1 is likely to be less relevant to commissioning, financial performance

management and financial systems) Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 1 – Input, store and provide data and information

KSF Indicators Possible examples of application The worker: a) inputs data and information accurately and completely:

- using the correct formats - consistent with legislation, policies and procedures

b) uses available automated facilities for checking the data/information and for resolving difficulties in using applications

c) finds and provides requested data/information using agreed procedures and formats

d) maintains the integrity of data/information using agreed procedures

e) stores data/information safely and correctly

General examples Understands computer systems in use in own area and uses a range of basic

functions to allow the entering and retrieval of information. Spots errors in data and checks information accurately. Has a meticulous approach with good attention to detail.

Financial accounting Files source documents appropriately and in accordance with internal

procedures, ensuring that information is readily retrievable to resolve queries. Assists in the administration of relevant office systems/procedures. Distributes information to people elsewhere in the organisation for

authorisation. Processes expenditure journals, ensuring all records are reconciled and

stored in accordance with internal procedures. Assists with cash collection, including charitable donations, ensuring cash and

cheques are properly receipted, reconciled and banked in accordance with internal procedures and timescales.

Issues and monitors petty cash, keeping appropriate records in line with relevant procedures and following security and confidentiality guidelines.

Processes vouchers for payment in accordance with agreed procedures. Raises invoices and codes the income appropriately, using guidelines to

identify where VAT needs to be added. Checks suppliers’ invoices/credit notes against purchase order information

and processes in a prompt manner in accordance with relevant procedures. Identifies invoices from the self-employed and refers to supervisor/manager

for advice on the tax status of the individual. Identifies invoices from building companies and uses guidelines to process

the invoice or refer to supervisor/manager for advice on whether the Construction Industry Scheme applies.

Deals with straightforward requests/queries appropriately and promptly and knows who/where to go when unable to provide an answer.

Raises manual cheques/generates computer cheques in accordance with agreed procedures.

Operates the day-to-day aspects of the debtors and creditors systems. Operates an effective method of credit control including debt collection.

Management accounting Accurately codes and records direct and overhead costs. Responds to and resolves queries from budget holders, referring them to

others when necessary. Maintains, monitors and inputs information into a variety of databases

ensuring the accuracy and integrity of the data. Maintains appropriate procedure records and audit trails for all activity. Maintains spreadsheets to assist in ensuring that income and expenditure are

recorded accurately. Reconciles financial data on a monthly basis and maintains appropriate

documentation on file. Monitors and reconciles recharges on a monthly basis.

Capital, PFI and investment appraisal Inputs data accurately into the ledger and the fixed asset register (e.g.

depreciation charges). Checks that invoices are correctly coded. Stores the fixed assets register securely.


21

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 1 – Input, store and provide data and information

KSF Indicators Possible examples of application Payroll

Has a basic awareness of the law relating to payroll (e.g. Employment Rights Act, Data Protection etc).

Processes documentation for new starters and for leavers, ensuring that the correct authority is received and that statutory documentation is completed accurately.

Processes due payments and deductions correctly and within specified deadlines, ensuring that documents are appropriately authorised.

Accurately inputs pay data into database. Completes payroll for all staff in a timely and accurate manner. Files information and documentation accurately and promptly on completion

of work. Deals with routine queries accurately and quickly and in a sensitive manner,

understanding the need to treat them confidentially. Internal audit Files source documents appropriately and in accordance with internal

procedures, ensuring that information is readily retrievable to resolve queries. Ensures that information is documented in the appropriate format and

complies with organisational requirements. Assists in the administration of relevant office systems/procedures. Distributes information to people elsewhere in the organisation for

authorisation. Deals with straightforward requests/queries appropriately and promptly and

knows who/where to go when unable to provide an answer. Maintains, monitors and inputs information into a variety of databases

ensuring the accuracy and integrity of the data (e.g. time recording, automated internal audit systems).

Maintains appropriate procedure records and audit trails for all activity. Complies with legislation/policies at all times (e.g. Freedom of Information,

Confidentiality agreements, Data Protection etc). Deals with routine queries accurately and quickly and in a sensitive manner,

understanding the need to treat them confidentially.


22

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 2 – Modify, structure, maintain and present data and information

KSF Indicators Possible examples of application The worker: a) inputs, amends, deletes and modifies data and

information accurately and completely consistent with legislation, policies and procedures

b) establishes requirements and finds requested data/information using agreed procedures and appropriate sources

c) collates, structures and presents data/information as requested using agreed systems and formats

d) maintains the integrity of data/information consistent with legislation, policies and procedures

e) assures the quality of data during modification, structuring and presentation

f) stores data and information safely and in a way that allows for retrieval within appropriate timescales

g) keeps the data/information system up to date

General examples Obtains non-routine information from information systems.

Financial accounting Ensures all income/expenditure is promptly recorded and referenced to the relevant

source documentation. Identifies general ledger account codes/suppliers on the vendor master file/debtor

accounts on the sales ledger that are no longer required. Reviews the system for the daily collection of all cash and cheques including

charitable donations. Reconciles all daily cash balances in respect of all bank accounts. Produces reports to enable reconciliation to the balances sheet. Manages daily bank accounts and petty cash holdings ensuring that all income and

expenditure is promptly recorded and referenced to source documentation. Supervises the administration of local systems e.g. private patients system, patient

travelling expenses, RTA claims, photocopying, car parking, patient’s property and other office tasks.

Maintains accounts payable procedures, ensuring they are accurate and adhere to standing financial instructions.

Reconciles transactions within the ledger and maintains suitable records as required by Audit, the Standing Financial Instructions and internal office procedures.

Reviews and ensures control accounts are reconciled in accordance with the organisation’s procedures.

Reviews the cashbook to ensure the accurate and timely posting of cash receipts against invoices and ensures the accuracy and integrity of the cashbook.

Writes desk procedures in line with statutory and NHS guidelines for use by other finance staff.

Prepares and distributes monthly/other periodic returns (monitoring returns, Charity Commission reports, monthly balance sheet reports, Board reports, cash flow forecasts etc).

Manages the overall integrity of the debt recovery process liaising with debtors and/or external agencies and producing management reports to support the aged debtor analysis when required.

Completes the relevant Construction Industry Scheme returns and where relevant checks if companies have a valid certificate, records details, makes payments and sends them off to the Inland Revenue.

Supervises all transaction processing ensuring that VAT is added, appropriately coded, recovered where possible and charged to the control account, correcting errors when required.

Assists in the preparation of Annual Accounts (e.g. debtor/creditor analysis, subjective analysis etc).

Reconciles the VAT control accounts and prepares the monthly VAT returns in order to meet the statutory time limits.

Deals with more complex queries appropriately and promptly and refers them where required.

Makes ledger entries in respect of out of date payments, recalled BACS entries etc. Undertakes integrity checks on the general ledger e.g. ensures Trial Balance is

complete and balanced.


23

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 2 – Modify, structure, maintain and present data and information

KSF Indicators Possible examples of application Management accounting

Assists in setting recharge budgets and oversees monthly input of recharge information.

Authorises ad-hoc requests for invoices to be raised and ensures income is recorded. Maintains establishment control systems. Maintains systems to support grant claims. Provides information for the completion of annual financial returns.

Capital, PFI and investment appraisal Maintains the asset register and ensures that it is up to date. Deals with capital assets acquired from charitable donations and government grants

appropriately, understanding the impact of these. Ensures that the acquisition of each asset has been appropriately approved. Ensures that the approved capital is appropriately transacted, following internal

controls, guidelines, SFI’s and procurement law. Records correctly the procurement of assets on the ledger, in the balance sheet and

in the asset register. Accounts for the disposal of assets correctly, ensuring they are removed from the

register. Knows whether the asset that is being replaced is a new or replacement asset, and if

it is the latter, correctly removes it from the asset register. Commissioning Supports the reconciliation on a monthly and year end basis, of the expenditure and

where appropriate, the income, into the organisation, reporting on this throughout the year.

Reconciles expenditure against approved commitments for independent sector referrals and referrals to other providers outside of service agreements.

Financial performance management Inputs data and assists in the development of a monthly schedule of progress

against cost improvement and/or savings plans. Payroll Ensures that processing and calculating in respect of tax, national insurance, pension,

sickness, maternity, paternity etc. is accurate and complies with statutory and organisational requirements.

Ensures the accurate completion of all permanent changes to employee records. Follows/adheres to procedures to ensure that confidentiality, accuracy and security of

information is maintained at all times. Provides routine payroll information and reports to outside agencies and to Finance

and Personnel managers as required, in line with confidentiality and security procedures.

Deals with more complex problems and queries relating to payroll. Internal audit Supervises the administration of local systems e.g. Internal Audit automated

systems, quality systems etc. Writes desk procedures in line with statutory and NHS guidelines, for use by other

Internal Audit staff. Deals with more complex queries appropriately and promptly and refers when

required. Completes Internal Audit Annual Plan and ensures accuracy for cost recovery. Ensures the recovery of ad-hoc/consultancy income (e.g. additional work to that in

the annual plan). Follows/adheres to procedures to ensure that confidentiality, accuracy and security

of information is maintained at all times. Keeps sufficient working papers to provide an audit trail.

Financial systems Keeps sufficient working papers to provide an audit trail. Ensures information is processed correctly.


24

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 3 – Monitor the processing of data and information

KSF Indicators Possible examples of application The worker: a) monitors and confirms that others are:

- receiving data and information in a timely way - receiving data and information in a meaningful format - providing data and information at agreed times and in

agreed formats - processing data and information accurately to an

appropriate level of detail in an agreed format - storing data and information securely - maintaining the currency of the data/information

system - transmitting data/information in a way that maintains

its confidentiality - complying with relevant legislation, policies and

procedures b) monitors and confirms that appropriate systems,

controls and processes are in place to: - maintain the efficient flow of information - assure the quality of processed data and information

c) identifies and investigates problems and queries relating to data/information processing and management and takes the appropriate action in response

General examples Ensures that processes are undertaken within key performance

indicators/service level agreements. Financial accounting Maintains authorised signature lists, ensuring they are accurate and adhere to

the Standing Financial Instructions. Identifies whether building work falls within or outside the Construction Industry

Scheme and if it does, ensures that the appropriate action is taken. Manages the production of the cash flow forecast, maintains cash flow

monitoring and budgeting systems and initiates cash draw- down. Ensures that the Standing Financial Instructions, internal office procedure, audit

requirements and the Better Payment Practice Guide are adhered to at all times. Calculates the working balances in order to achieve the External Financing

Limit/Cost of Capital return. Where uncertain how to interpret the rules, refers to the relevant body for advice

(Customs and Excise, local tax advisors, HFMA VAT manual, Treasury Contracted out Guidelines etc)

Signs the VAT returns and takes responsibility for their validity. Deals with complex queries promptly and effectively and makes appropriately

authorised and documented adjustments. Management accounting Ensures team send out budget information in a timely manner. Reviews information to ensure formats used are appropriate to the needs of the

user. Acts as a signatory to the bank mandate schedule to ensure that appropriate

financial controls associated with this process are adhered to. Authorises advertising requests/staff control requests in line with establishment

control systems. Monitors enhanced pension cost commitments and ensures appropriate

accounting requirements are introduced and maintained. Ensures budget holders are receiving and reviewing financial information.

Capital, PFI and investment appraisal Provides advice on PFI, understanding the legal framework and how payments

are built up and work in the long-term. Ensures that all relevant financial returns (including capital monitoring returns)

are completed accurately and on time. Ensures that control accounts and the fixed asset register are

completed/updated accurately and on time. Monitors the calculation of capital charges, estimates and forecast depreciation

charges. Forecasts position against year end projected capital resource limit (CRL).

Commissioning Initiates benchmarking exercises on order to evaluate the relative effectiveness

and efficiency of providers and to recommend appropriate action. Financial performance management Coordinates the collection of financial information to meet national requirements. Provides financial benchmarking information and monitors efficiency targets. Provides the information for the production of the financial plan and strategy.


25

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 3 – Monitor the processing of data and information


Oversees and ensures the accurate and timely preparation of payroll for all staff. Implements statutory changes relating to pay and pensions, so that staff are

remunerated appropriately. Deals with enquiries from statutory and non-statutory bodies with respect to

payroll, accurately and efficiently. Reconciles the payroll on an annual basis, ensuring that all pension contributions

are reconciled before the completion of year-end returns. Deals with outstanding, complex problems relating to payroll, where issues

remain unresolved. Maintains procedures to ensure that confidentiality, accuracy and security of

information is maintained at all times. Reviews payroll processes to ensure that they are effective and efficient.

Internal audit Inputs data and assists in the development of a monthly schedule of progress

against the Internal Audit Plan. Ensures Internal Audit Standards, SFI’s, Quality Standards and Internal Audit

Office Procedures are adhered to at all times. Writes desk procedures in line with statutory and NHS guidelines for use by

department staff. Where uncertain how to interpret the rules, refers to the relevant body for advice

(Customs and Excise, local tax advisors, HFMA VAT manual, Treasury Contracted out Guidelines etc)

Deals with complex queries promptly and effectively and makes appropriately authorised and documented adjustments.

Coordinates the collection of information to meet national requirements (e.g. Head of Audit Opinion).

Monitors the processing and collection and communication of data and takes appropriate action/makes appropriate improvements.

Coordinates the sampling and testing of financial and non-financial information to meet national and organisational requirements.

Reviews financial controls, management and payroll functions in order to increase efficiency and improve controls.

Financial systems Monitors the processing and collection and communication of financial data and

takes appropriate action/makes appropriate improvements.


26

Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 4 – Develop and modify data and information management models and processes

KSF Indicators Possible examples of application The worker: a) establishes data and information requirements for

particular target audiences, confirming that these requirements: - take full account of user needs and knowledge base - can be met effectively and efficiently

b) selects sources of data and information which will best meet agreed needs

c) identifies and modifies existing models/processes which are capable of meeting requirements

d) designs and develops appropriate new models and processes which comply with legislation, policies and procedures

e) tests new and modified data and information management models and processes to confirm their fitness for purpose and establishes them within the organisation

f) identifies new and emerging strategies and technologies for processing and managing data and information and evaluates their relevance and potential benefits to the organisation

Financial accounting Designs coding structures for financial systems in accordance with the NHS

manual for Accounts. Develops financial policies and procedures for use by finance and non-finance

staff. Sources/develops and monitors financial systems and processes to ensure

maximum efficiency and effectiveness and compliance with NHS Executive Standards, Statute Law, the Manual for Accounts, Internal and External Audit and customer requirements.

Management accounting Develops and improves financial procedures, systems and processes within the

management accounting function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal requirements.

Capital, PFI and investment appraisal Develops and improves financial procedures, systems and processes within the

capital accounting function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal requirements.

Commissioning Develops and improves financial procedures, systems and processes within the

commissioning function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal guidelines.

Financial performance management Develops the use of sophisticated performance measurement techniques (e.g.

balanced score cards, business excellence model, EFQM) to measure financial and non-financial performance.

Ensures systems and processes are in place to accurately monitor financial performance in a timely manner.

Develops and improves financial procedures, systems and processes within the performance management function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal guidelines.

Payroll Understands the legal and policy implications of changes to NHS pay and

pensions and takes appropriate action. Ensures payroll procedures integrate fully with personnel/HR policies and

procedures. Ensures Local Pay Scale databases are accurately maintained so that staff are

paid in accordance with their terms and conditions. Processes statutory and non-statutory returns in accordance with appropriate

timescales. Manages the control and reconciliation of payroll deduction records, including

payroll creditors, at the end of each accounting period. Controls the treatment of allowances and enhancements for tax, national

insurance and pension status. Provides expert advice to staff about NHS Pensions so that they understand the

benefits and their entitlements under the Scheme. Provides guidance and advice on matters relating to benefit in kind reporting to

the Inland Revenue. Reviews and develops the payroll service as a whole, in order to continuously

improve its effectiveness and efficiency.


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Dimension IK1 – Information Processing This dimension related to the processing and management of data and information for specific purposes. It does not include the analysis or interpretation of data. Level 4 – Develop and modify data and information management models and processes

KSF Indicators Possible examples of application Internal audit

Produces reports in a timely and accurate manner in accordance with the Internal Audit terms of reference.

Reviews compliance with quality systems. Develops policies and procedures for use by staff. Sources/develops and monitors financial systems and processes to ensure

maximum efficiency and effectiveness and compliance with NHS Executive Standards, Statute Law, the Manual for Accounts, Internal and External Audit and customer requirements.

Develops the use of sophisticated performance measurement techniques (e.g. balanced score cards, business excellence model, EFQM) to measure financial and non-financial performance.

Ensures systems and processes are in place to accurately monitor performance in a timely manner.

Develops and improves procedures, systems and processes within the performance management function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal guidelines.

Reviews and develops the service as a whole, in order to continuously improve its effectiveness and efficiency.


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Dimension IK2 – Information Collection and Analysis (Likely to be relevant to finance staff in all areas. Level 1 is likely to be less relevant to commissioning, financial performance

management and financial systems) Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 1 – Collect, collate and report routine and simple data and information

KSF Indicators Possible examples of application The worker: a) collects and collates data/information effectively and to

time, using set systems and consistent with legislation policies and procedures

b) confirms that the data/information meets pre-set quality criteria and reports any quality issues

c) maintains the integrity of data/information using agreed procedures

d) reports the data/information clearly in the required format at the time agreed

General examples Uses IT/software to carry out straightforward tasks (e.g. databases and

spreadsheets). Questions data to tease out the real issues. Ask probing questions – is inquisitive. Knows what data is required – and how to get hold of it. Identifies and resolves discrepancies and variances in data.

Financial accounting Operates the debtors billing system, reporting regularly on the age and status

of outstanding debts and assisting in the preparation and validation of year end debtors for the annual accounts.

Deals with straight forward requests appropriately and knows where to go to for an answer.

Maintains the losses and compensation register. Reports against KPIs e.g. Public Sector Payment Policy, Response Times,

meeting of deadlines. Management accounting Assists in updating and preparing budget statements from the General Ledger

system on a monthly basis, ensuring data is reconciled and updated prior to being sent out.

Capital, PFI and investment appraisal Provides reports on capital expenditure and disposals in line with the finance

function timetable. Payroll Calculates statutory and non-statutory deductions accurately and in

accordance with the legal and organisational requirements. Checks the authorisation and accuracy of temporary variations to the payroll

before payment. Deals with routine queries accurately and quickly and in a sensitive manner,

understanding the need to treat them confidentially. Internal audit Inputs data into spreadsheets/electronic working papers for analysis. Deals with straight forward requests appropriately and knows where to go to

for an answer, understanding the need to treat issues confidentially.


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Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 2 – Gather, analyse and report a limited range of data and information

KSF Indicators Possible examples of application The worker: a) identifies and agrees:

- the question/issue to be addressed by the data/information

- the nature and quantity of data/information to be collected

- the quality criteria which the data/information should meet

b) effectively uses appropriate methods and sources for obtaining and recording the data/information

c) confirms that the data/information meets the agreed quality criteria and takes appropriate action if it does not

d) collates and analyses the data/information using methods appropriate to: - the initial questions which the data/information is

intended to answer - the nature of the data/information

e) reports the data and information at the agreed time using presentation, layout, tone, language, content and images appropriate to: - its purpose - the people for whom it is intended - agreed formats and protocols

f) complies with relevant legislation, policies and procedures throughout

General examples Uses IT/software to carry out more complex analysis tasks (e.g. databases

and spreadsheets). Carries out detailed analysis of data. Identifies trends in data. Anticipates problems and issues based on available evidence. Processes and interprets information presented in tabular or graphical form

quickly and accurately. Looks for and uses both qualitative and quantitative data where appropriate. Analyses information from different perspectives. Makes logical assumptions and inferences about data

Financial accounting Produces ad-hoc reports as required and answers queries promptly and

accurately, referring people when necessary. Management accounting Produce ad-hoc reports as required and answers queries promptly and

accurately, referring people where necessary. Assists in the analysis of income and expenditure, identifies variances and

provides back up information to managers in an appropriate format. Capital, PFI and investment appraisal Accounts for the revenue consequences associated with the acquisition of a

new asset and ensures that these are appropriately budgeted for and approved.

Evaluates the age of an asset when it is entered onto the asset register and at the point of disposal, assesses whether there is any residual life/value and evaluates the implications of this.

Ensures that the capital charges associates with an asset have been calculated correctly.

Ensures that the balance sheet correctly reflects all acquisitions and disposals, depreciation and indexation and reconciles it to the asset register.

Commissioning Assists with the monitoring and reporting on the performance of service

agreements, liasing with other staff where required. Monitors Out of Area Treatment (OATs) block contracts in order to gain

maximum value for money. Supports data collection/validation exercises for annual returns. Supports the agreement on year-end indebtedness, taking account of agreed

performance variations. Financial performance management Gathers, analyses and monitors information to assist with the

preparation/monitoring of the LDP. Assists in preparing information for the production of the financial

plan/strategy and for financial performance management reporting. Deals with queries on issues relating to performance management. Assists with the collation, evaluation, comparison and reporting of externally

collected data – e.g. reference costs. Gathers and evaluates data to assist with the monitoring and reporting of

achievement against the internal performance management targets.


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Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 2 – Gather, analyse and report a limited range of data and information


Completes complex, non-routine calculations relating to pay accurately and quickly, ensuring that the correct authority has been obtained.

Deals with statutory deductions (e.g. court, council tax, child support deductions) from pay, ensuring adherence to legislative requirements and following the rules for the deductions of such payments.

Calculates pay termination payments, including redundancy payments, ensuring their correct treatment for tax and national insurance liability and ensuring that redundancy documentation is completed accurately.

Deals with enquiries from statutory and non-statutory bodies with respect to payroll, accurately and efficiently.

Internal audit Undertakes a variety of audit work across a range of clients, working as a part

of a larger team and under some supervision. Uses knowledge of audit principles and practices to perform allocated audit

assignments and tasks, in line with the appropriate quality standards and guidelines.

Uses knowledge of why the audit is taking place to suggest improvements to the way the audit is structured and to the testing process.

Produces clear, objective and convincing conclusions, which are based on sound judgement and an evaluation of risk and which are well supported by the appropriate documentation.

Ensures that all significant conversations with the client and all other relevant documentation are correctly and appropriately recorded and filed.

Knows when to refer issues and questions and deals with queries from clients promptly, effectively and efficiently.

Designs tests and combinations of tests to ensure that all material risks are addressed without excessive duplication of evidence.

Completes time management information on a monthly basis, monitors and reports against plan and enforces accurate reporting.

Assists with the monitoring and reporting on the performance of service agreements, liasing with other staff where required (e.g. performance against plan).

Supports data collection/validation exercises for annual returns (e.g. Statement of Internal Control).

Analyses benchmarking information and highlights areas for further investigation.

Assists with the collation, evaluation, comparison and reporting of externally colleted data (e.g. Internal Audit Reviews).

Gathers and evaluates data to assist with the monitoring and reporting of achievements against the internal performance management targets.

Financial systems Analyses IT problems and provides advice as required to finance staff. Produces system control reports to ensure integrity of ledgers. Prepares ad-hoc reports for managers and client organisation as required.


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Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 3 – Gather, analyse, interpret and present extensive and/or complex data and information

KSF Indicators Possible examples of application The worker: a) formulates and agrees with others:

- the questions to be answered and issues to be addressed by the data/information

- the concepts to be used for data and information collection, management, analysis, interpretation and reporting

b) identifies appropriate and valid sources which can provide data and information of sufficient quality and quantity

c) identifies, develops and implements a range of valid, reliable, cost-effective and ethical methods for addressing the agreed questions and issues, minimising disruption to the people providing the data/information and complying with relevant legislation, policies and procedures

d) defines and implements search strategies for reviewing data and information and summarising the results

e) monitors the quality and quantity of the data and information and takes the necessary action to deal with any problems and maintain data quality

f) collates and analyses data and information using methods appropriate to: - the initial questions/issues to be addressed - the nature of the data and information

g) interprets, appraises and synthesises data and information appropriately and identifies: - consistency and inconsistency in outcomes - any limitations in the analyses used and continually holds issues raised open to question

h) develops justifiable and realistic conclusions and recommendations to time and presents them using format, layout, images and structure appropriate to: - the needs and interests of the intended audience(s) - accepted conventions and protocols - the intended purpose of the presentation

General examples Creates new formats, databases and spreadsheets for self and others to use

in the analysis of complex information. Processes complex, often ambiguous data with many different aspects. Uses established techniques to evaluate data (e.g. SWOT analysis, problem

solving techniques). Reviews reports and analyses prepared by others and identifies flaws/issues

which need further investigation. Uses statistical and mathematical concepts when analysing information. Interprets forecasts and translates them into useful management information. Designs audits or surveys to elicit specific information. Sifts, selects and presents information to others in order for them to make

policy level decisions. Financial accounting Produces an analysis of which contracted out services VAT is being

recovered under. Prepares the Financial Accounts/Charitable Funds Accounts in accordance

with relevant guidelines and legislation. Uses detailed knowledge of VAT and tax legislation to advise others on

whether VAT should be charged and whether it can be recovered in more unusual / greyer areas (e.g. whether can recover VAT under contracting out rules. PFI schemes, purchasing items from Charitable Funds etc).

Produces ad-hoc management reports to assist executive decision-making. Provides advice to individuals wishing to contribute to charitable funds and

deals with all matters relating to legacies and bequests, maintaining a permanent legacy register.

Reviews capital projects to determine what proportion of VAT can be recovered.

Conducts tax planning in order to minimise the amount of VAT that needs to be paid and to maximise the amount that can be recovered within the law and NHS Guidelines.

Completes the annual Partial Exemption Calculation as required by Customs and Excise.

Manages the working capital balances in order to achieve the External Financing Limit on a monthly basis and ensures effective use of cash balances within Department of Health Guidelines.

Follows up and resolves highly complex financial queries and knows where to find information on financial matters where unsure of a particular issue.

Ensures production of timely, relevant and accurate information for monthly and annual reports.

Ensures all losses and compensation incidents and claims are captured, investigated and reported within the correct categories (in line with the Losses and Special Payment Register).


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KSF Indicators Possible examples of application Management accounting

Analyses benchmarking information and highlights areas for further investigation.

Assists NHS managers by providing financial information and advice to support the development of annual business plans, ensuring capital requirements are identified and the information is used to inform decision-making processes.

Maintains a record of management costs and reports on progress towards target management cost reductions, as required by NHSME where necessary.

Prepares financial option appraisal requests/recommendations for revenue items for presentation to the Board.

Tracks income reports to ensure monies from all sources are coming in. Uses detailed knowledge of SFI’s and SO’s to provide accurate and timely

financial support, information and advice in a user-friendly manner to a range of managers including budgetary control, contract pricing, financial planning and identifying CIP’s/CRE'S.

Calculates reference costs for patient and other services to meet local and statutory requirements within agreed timescales.

Uses understanding of GMS/PMS/GP Contracts and regulations relating to funding issues (e.g. the Red Book), to calculate the financial aspects of contracts.

Makes appropriate adjustments to contracts/payments when exception changes occur (e.g. list size reductions).

Capital, PFI and investment appraisal Creates reports on capital related financial information for the relvant5 capital

review bodies/for the Board and completes relevant financial returns. Identifies when VAT can be recovered and deals with other issues relating to

VAT and ensures that appropriate action is taken. Uses investment appraisal and risk management techniques, an

understanding of whole life costs, discounted cash flows, value for money and an understanding of issues around the investment in the infrastructure of the service, to provide advice on investment decisions.

Conducts financial assessment of capital business cases, testing the rationale behind investment decisions and using knowledge of the business case requirements outlined in the Capital Accounting Manual.

Undertakes investment appraisal analysis when looking at capital versus lease purchase decision.

Evaluates and approves the costs for capital projects provided by other suppliers.

Tests investment plans at an early stage to see if they are suitable for PFI or not.

Conducts analysis to understand financial risk and advises accordingly. Conducts best value and benchmarking analyses. Applies whole life costs and facilities management costs in financial

evaluation. Calculates and depreciates assets appropriately through the asset register. Provides advise on PFI, understanding the legal framework and how

payments are built up and work in the long-term. Conducts tax planning in order to minimise the amount of VAT that needs to

be paid and to maximise the amount that can be revered, within the law and NHS guidelines.

Coordinates and manages the financial adjustments impacting on the CRL and EFL.

Calculates impairment of assets and financial consequences and advises Director of Finance in a timely manner.


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KSF Indicators Possible examples of application Commissioning

Analyses how money has been spent by speciality and by programme area. Leads the data collection/validation exercises for annual returns e.g. OAT’s. Compares reference costs of providers to highlight relative efficiencies and to

help drive the process of continuous improvement. Provides the lead financial input into LDPs, coordinating the financial

modelling and ensuring the development of an affordable financial plan which delivers the required targets.

Uses analysis of how money is spent by speciality and programme area to make recommendations on future requirements and funding.

Costs care pathways to identify the most cost effective ways of delivering care.

Financial performance management Identifies where resource/cash brokerage is required and assists the in the

subsequent monitoring and management of it. Assists in the identification, analysis and subsequent management of risk. Leads on the collation, evaluation, comparison and reporting of externally

collected data – e.g. reference costs. Uses financial benchmarking data and efficiency target data to make

recommendations for improvement. Payroll Provides more complex, ad hoc financial, statistical and management

information/reports to line managers and personnel managers. Deals with complex enquiries from statutory and non-statutory bodies and

from staff, accurately and efficiently. Reconciles the payroll on an annual basis before the completion of year-end

returns. Provides advice on tax status for self-employed/PAYE queries.

Internal audit Performs allocated audit assignments of a more complex/ad-hoc and perhaps

non-financial nature, in accordance with the NHS Mandatory Standards and the local quality system where relevant.

Produces accurate and timely management information and reports on contract performance as requested by either the client or by internal management.

Conducts tests, audits and consultancy assignments of a highly complex nature, often requiring a wider business perspective and covering non-financial issues.

Assures the quality of all audit opinions produced by the team and produces the Head of Audit Opinion for each client, using judgement and an understanding of risk to identify material findings and to make sensible, substantiated and convincing recommendations.

Guides clients as they write their Statement of Internal Control ensuring consistency with the Head of Internal Audit opinion.

Prepares and presents reports to Audit Committees and to other Board level bodies as required, presenting a professional image at all times and demonstrating a deep knowledge of the clients’ businesses and of NHS issues.

Financial systems Writes and designs complex bespoke reports for finance managers. Evaluates the impact of IT and finance developments and advises finance

managers accordingly. Provides first line advice and help to solve complex IT problems.


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Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 4 – Plan, develop & evaluate methods & processes for gathering, analysing, interpreting & presenting data & information

KSF Indicators Possible examples of application The worker: a) gathers and analyses sufficient information to:

- evaluate current performance and capacity in data and information analysis and presentation

- identify compliance with legislation, policies and procedures

- identify current problems/issues - predict future needs - assess capacity to meet future needs - identify possible solutions

b) determines and implements appropriate ways of improving data and information analysis and presentation, taking account of relevant factors

c) produces realistic and justifiable proposals for improving data and information analysis and presentation

d) develops, tests and finalises proposed improvements e) ensures that users of data and information analysis and

presentation are given the appropriate support in their effective use

f) monitors and evaluates the effectiveness of improvements to data and information analysis and presentation

g) uses own knowledge, skills and experience to influence others’ information collection and management

General examples Monitors overall performance against KPIs, ensuring requirements are met. Investigates and explains reasons for not meeting KPIs and implements

remedial actions. Ensures that the organisation/service meets changes in reporting

requirements due to changes in statutory requirements, organisational changes or structural change in the NHS.

Financial accounting Reviews performance against targets and key performance indicators. Reviews whether key performance indicators are meeting the needs of

the organisation. Advises others on statutory obligations in accordance with the Standing

Financial Instructions (SFIs). Reviews overall efficiency and effectiveness of finances and makes

recommendations/decisions based on analysis of financial information. Provides appropriate financial input to board level management

committees in order to assist with strategic decision-making. Ensures the Annual Financial Accounts give a True and Fair view.

Management accounting Monitors and improves the processes for financial reporting, ensuring

internal and external requirements are achieved. Produces reports and returns on financial performance for Board level

discussions/decision making and for external and statutory purposes. Capital, PFI and investment appraisal Conducts strategic financial assessments and provides financial input to

large capital project business cases, testing the rationale behind investment decisions and using an understanding of the strategic context to inform conclusions.

Commissioning Ensures all commissioning finance systems are in place and are working

efficiently and effectively and are integrated with the activity system, which identifies the implications of PbR.

Financial performance management Ensure that appropriate financial performance frameworks are

developed and implemented and ensures that the associated financial performance management systems and processes are in place.

Payroll Reviews payroll processes to ensure that they are efficient and effective. Produces payroll performance indicators and monitors performance

against them. Initiates/develops auditing methods to validate compliance with agreed

policies and procedures. Ensures recipients of complex reports have the understanding to enable

them to use the complex data effectively. Obtains feedback from recipients of reports and recommends alteration

to reports to ensure best quality information.


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Dimension IK2 – Information Collection and Analysis This dimension is about gathering, analysing and interpreting data and information for a wide range of purposes. Level 4 – Plan, develop & evaluate methods & processes for gathering, analysing, interpreting & presenting data & information

KSF Indicators Possible examples of application

Internal audit Advises others on statutory obligations in accordance with the Standing

Financial Instructions (SFI’s). Follows up and resolves complex audit queries and knows where to go

to find information when required. Produces audit reports/returns for board level discussions and for

external and statutory purposes and ensures that the Head of Audit Opinion for all clients’ gives a true and fair view.

Develops internal quality standards and writes policies and procedures for use by audit staff, monitoring the adherence to these on a continual basis.

Provides appropriate Audit input to board level committees in order to assist with strategic management.


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Dimension G1 – Learning and Development (Primarily applies to finance staff in an FSD role)

Dimension G1 – Learning and Development This dimension is about structured approaches to learning and development. It will be relevant to those involved directly with training needs analysis and designing, facilitating and evaluating training programmes. Level 1 – Assist with learning and development activities

KSF Indicators Possible examples of application The worker: a) identifies with the relevant people the activities to be

undertaken to support learning and development b) undertakes the task effectively and to time consistent with

legislation, policies and procedures c) reports any difficulties or problems at an appropriate time

to a team member

Finance staff development Prepares equipment for finance training courses/events. Prepares learning/conference environments. Prepares learning materials and resources. Supports learners and team members during learning and development. Prepares and collates evaluation forms.

Level 2 – Enable people to learn and develop KSF Indicators Possible examples of application

The worker: a) agrees with the team the purpose, aims and content of the

learning and development and own role in the process b) prepares thoroughly for own role addressing any issues in

advance c) supports learning

- recognising individuals’ particular needs, interests and styles

- using the agreed methods and approaches - in a manner that stimulates individuals’ interest,

promotes development and encourages their involvement

- by developing an environment that supports learning - consistent with legislation, policies and procedures

d) gains feedback from learners and relevant others on the effectiveness of learning and development and their ideas for how it can be improved

e) reflects on and evaluates the effectiveness of learning and development using feedback from learners and others

f) discusses own evaluation with the team and agrees how learning and development might be improved in the future

This level may not be relevant to finance staff.


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Dimension G1 – Learning and Development This dimension is about structured approaches to learning and development. It will be relevant to those involved directly with training needs analysis and designing, facilitating and evaluating training programmes. Level 3 – Plan, deliver and review interventions to enable people to learn and develop

KSF Indicators Possible examples of application The worker: a) identifies:

- the purpose and aims of learning and development interventions

- the learning and development needs of the individuals who are to be involved

- the time and resources available b) develops and agrees a plan of how learning and

development will be facilitated c) undertakes own role in supporting learning and

development - developing an environment conducive to learning - recognising individuals’ particular needs, interests and

styles - using the agreed learning and development methods

and approaches - in a manner that stimulates individuals’ interest,

promotes development and encourages their involvement

- consistent with legislation, policies and procedures - supporting and promoting others’ contribution - in a manner that reflects the criticality of the work and

the related decisions d) makes any necessary adjustments to the plan as the work

proceeds to promote learning and development and better meet learners’ needs

e) gains feedback from learners and relevant others on the effectiveness of learning and development and their ideas for how it can be improved

f) evaluates the effectiveness of learning and development informed by learners, others in the team and own reflections and use the evaluation to inform future practice

Finance staff development Produces plans for learning and development activities in own

organisation/team including: - aims and objectives - content and timing - design of learning materials - methods and approaches to be used - who will be involved and their respective roles - resources - how the environment will support learning - assessment purposes and methods - methods of evaluation

Gathers feedback from finance/other staff taking part in learning events. Evaluates feedback from learning events and makes recommendations and

implements future changes


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Dimension G1 – Learning and Development This dimension is about structured approaches to learning and development. It will be relevant to those involved directly with training needs analysis and designing, facilitating and evaluating training programmes. Level 4 – Design, plan, implement and evaluate learning and development programmes

KSF Indicators Possible examples of application The worker: a) identifies with those commissioning learning and

development programmes: - the purpose and aims of programmes - the relationship of one programme to another, and to

related learning needs - the starting points and learning needs of learners - the time and resources available - any contextual factors that need to be taken into

account in learning designs b) designs overall learning and development programmes

that: - are appropriate to the interests of the commissioners

and the needs of learners - contain phased and inter-related objectives, methods

and approaches - make best use of the resources available - are consistent with good learning practice - identify how programmes and their component parts will

be evaluated - specify relevant legislation, policies and procedures

c) details the inter-relationships between the different learning and development components

d) agrees the designs of overall programmes and individual components with the relevant people making any necessary modifications as a result

e) agrees with the programme team how programmes will be implemented and supports them throughout the process responding to arising issues

f) monitors the delivery of programmes for their effectiveness in meeting their aims and objectives

g) evaluates the effectiveness of programmes and uses the outcomes to improve future programmes

Finance staff development Conducts training needs analyses across several organisations/departments

in order to identify learning needs. Designs learning events and programmes – often for several organisations at

a time. Commissions learning events and programmes. Monitors the delivery of learning programmes across a patch. Evaluates learning programmes and events against objectives and makes

improvements.


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Dimension G2 – Development and Innovation (May apply to finance staff in any area – but likely to be most relevant to senior roles)

Dimension G2 – Development and Innovation This dimension is about the development, testing, review and appraisal of new concepts, ideas, methods and practices. Level 1 – Appraise concepts, models, practices, products and equipment developed by others

KSF Indicators Possible examples of application The worker: a) identifies new developments made by others that might be

relevant to own area of work b) critically evaluates and reviews developments to determine

if and how they could be applied within own area of work c) proposes the adoption of relevant developments within

own work area to relevant decision makers

Builds on the ideas of others to produce a different and improved end result. Prepared to experiment with new ideas even when it carries a risk of failure.

Level 2 – Contribute to developing, testing and reviewing new concepts, models, methods, practices, products and equipment KSF Indicators Possible examples of application

The worker: a) confirms with relevant information sources:

- the nature of the activities required - any particular factors to take into account and selects appropriate ways of developing, testing and reviewing concepts, models, methods, practices, products and equipment

b) conducts the activities for which s/he is responsible using the agreed methods and consistent with legislation, policies and procedures

c) reports the findings and outcomes of developments, tests and reviews to the people who need them supported by own recommendations on the value of the development

Spends time developing innovative ideas and solutions to problems. Uses creative techniques to re-design and improve processes and ways of

working in own area. Questions and challenges the status quo. Demonstrates an enthusiasm for change. Prepare, report and assist with the development of new systems.

Level 3 – Test and review new concepts, models, methods, practices, products and equipment KSF Indicators Possible examples of application

The worker: a) scans the environment to identify new and emerging

developments of potential relevance to their work b) appraises developments and identifies the benefits they

could bring and any potential risks c) determines with others those developments that are

worthy of testing and how this can best be achieved d) tests and reviews developments in a way which:

- is ethically and methodologically sound - enables a rigorous evaluation of their feasibility, benefits

and risks - involves all relevant parties in the process - complies with legislation, policies and procedures

e) evaluates the outcomes of testing and reports them in the correct format to the people who need them

f) makes recommendations to appropriate people regarding the implementation of developments

Seeks and welcomes new thinking – both across and outside the NHS. Benchmarks the function/own area in order to identify areas for improvement. Actively seeks input from other sources

(customers/partners/users/suppliers/other functions etc) in order to identify ways to improve.

Sees and provides new perspectives for others. Shares best practice across the function and with other functions in other

organisations.


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Dimension G2 – Development and Innovation This dimension is about the development, testing, review and appraisal of new concepts, ideas, methods and practices. Level 4 – Develop new and innovative concepts, models, methods, practices, products and equipment

KSF Indicators Possible examples of application The worker: a) scans the environment to identify new and emerging

developments of potential relevance to their work and priorities for further development

b) designs, develops and tests new and innovative concepts/models/methods/practices/products/equipment in a way which: - is ethically, technically and methodologically sound for

the nature of the innovation - enables a rigorous evaluation of their feasibility, benefits

and risks - involves all relevant parties in the process - complies with legislation, policies and procedures

c) evaluates the outcomes of testing and modifies innovations to improve their quality

d) publicises the innovations in the appropriate places to inform the development of others’ knowledge and practice

e) evaluates feedback on the innovations and uses it to improve future developments

Tests information gained through benchmarking and other research to identify further improvements.

Creates strategies and plans for improvements and monitors and evaluates their implementation.

Creates an environment, which encourages others to be innovative.


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Dimension G3 – Procurement and Commissioning (May be relevant to some staff in capital/PFI/investment appraisal, commissioning, financial accounting and management accounting.

In reality it may be difficult for finance staff to meet the indicators for this dimension as it covers procurement activities too).

Dimension G3 – Procurement and Commissioning This dimension is about procuring and commissioning products, equipment, services, systems and facilities. Level 1 – Monitor, order and check supplies of goods and/or services

KSF Indicators Possible examples of application The worker: a) monitors resource use and arranges for more:

- when this is necessary - within limits of own responsibility and authority - consistent with legislation, policies and procedures for

commissioning and procurement b) checks the delivery of goods and/or services and identifies

any issues c) takes the appropriate action in relation to issues with

goods and/or services communicating effectively with those involved to address the issues

d) supports effective use of goods and/or services consistent with requirements and specifications

e) reports on the delivery of goods and/or services and any issues in line with requirements

Financial accounting Issues and monitors controlled stationery items. Checks suppliers’ invoices/credit notes against purchase order information

and processes in a prompt manner in accordance with relevant procedures. Commissioning Raises invoices for patient related activity and seeks authorisation where

applicable.

Level 2 – Assist in commissioning, procuring and monitoring goods and/or services KSF Indicators Possible examples of application

The worker: a) Maintains an effective communication with those

responsible for the overall commissioning and procurement process

b) Undertakes delegated activities effectively and consistent with legislation, policies and procedures

c) Monitors the delivery of goods/services procured which are under his/her control at regular intervals using appropriate methods

d) Identifies problems wit the delivery of procured goods/services and takes the appropriate action

e) Maintains accurate, legible and complete records of the commissioning procurement and delivery of goods/services and makes them available to the relevant people

Financial accounting Manages payment processes on a day-to-day basis.

Capital, PFI and investment appraisal Ensures that the acquisition of each asset has been appropriately approved. Ensures that the approved capital is appropriately transacted, following internal

controls, guidelines , SFI’s and procurement law. Commissioning Monitors and reports on actual performance against service agreements;

identifies variances and, working with colleagues, takes corrective action where necessary to ensure that all targets are met.

Provides support to the financial input to assess and appraise bids made to NHS and non NHS bodies.


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Dimension G3 – Procurement and Commissioning This dimension is about procuring and commissioning products, equipment, services, systems and facilities. Level 3 – Commission and procure products, equipment, services, systems and facilities

KSF Indicators Possible examples of application The worker: a) negotiates and agrees with relevant people the

commissioning and procurement requirements for specific products, equipment, services, systems or facilities, that are consistent with commissioning and procurement systems and with legislation, policies and procedures

b) plans and documents a procurement programme that: - is consistent with overall procurement systems and the

needs of interested people - can be monitored and modified as circumstances

change c) recommends and agrees a form of contract that is

appropriate to procurement requirements and clearly specifies the parties to the contracts and their rights and responsibilities

d) coordinates and manages the process of negotiating, awarding and monitoring contracts taking the appropriate action when there are any arising issues

e) supports suppliers to deliver effectively and develop their capabilities

f) ensures that the provision of products, equipment, services, systems or facilities are effectively monitored against specifications

g) provides clear and timely information on overall procurement and commissioning systems to the people responsible

Management accounting Takes financial responsibility in the competitive tendering process to ensure

that best value is achieved and opens and acknowledges receipt of tenders in accordance with the SO’s and SFI’s.

Capital, PFI and investment appraisal Undertakes investment appraisal analysis when looking at capital purchase

versus lease decisions. Evaluates and approves costs for capital projects provided by suppliers.

Commissioning Manages the overall commissioning portfolio, negotiating service agreements

with providers/commissioners, ensuring that spending plans hit target, that objectives are achieved and that the requirements of the LDP, NSF and other specific targets are met.

Sets up the performance management of service agreements in line with an integrated finance and activity system – and identifies the financial implications for the organisation.

Provides the financial lead into the commissioning of primary care/secondary care e.g. prescribing, specialist services.

Leads the financial performance management of service agreements in year and the use of in year reserves.

Provides advice on the commissioning implications of business cases, PFI proposals and any other special projects and ensures that they provide value for money and deliver business objectives.

Models the financial implications of PbR, Patient Choice and Practice Based Commissioning.

Level 4 – Develop, review and improve commissioning and procurement systems

KSF Indicators Possible examples of application The worker: a) works with others to identify and agree appropriate

aspects of commissioning and procurement systems that: - are supportive of the direction, strategies and policies of

the organisation - are consistent with legislation, policies and procedures - take account of the context in which the commissioning

and procurement is taking place b) negotiates and agrees with the relevant people clear and

effective plans for effectively taking forward commissioning and procurement

c) negotiates with others to put in place sufficient supporting mechanisms to ensure that commissioning and procurement takes place effectively

d) works with others to take forward the implementation of commissioning and procurement and ensures it is effective in practice

e) gains sufficient information on the effectiveness and efficiency of commissioning and procurement to make adjustments as and when they are necessary

f) evaluates the effectiveness and efficiency of commissioning and procurement at key intervals to identify the need for more fundamental improvements

Commissioning Oversees the maintenance and development of the financial systems

which support the allocation of commissioning budgets to individual provider organisations.

Oversees the maintenance and development of an integrated financial and activity performance management system for monitoring the performance of service agreements, which also identifies the implications of PbR and potential commitments from the commissioning reserve.

Takes a long-term strategic view of commissioning to ensure that local health needs will be met and that value for money is secured.

Manages the implications of commissioning services under the financial flows regime.

Keeps up to date with NHS policy changes relating to commissioning and leads the implementation of new processes e.g. PbR, Patient’s Choice, Practice Based Commissioning etc.


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Dimension G4 – Financial Management (May be relevant to finance staff in most areas. Level 1 is likely to be less relevant to commissioning and financial performance

management) Dimension G4 – Financial Management This dimension is about the management of financial resources. It includes activities such as making proposals for expenditure, authorising and controlling the use of financial resources and agreeing, monitoring and reviewing budgets. Level 1 – Monitor expenditure

KSF Indicators Possible examples of application The worker: a) monitors expenditure against agreed budgets to support

effective financial management and consistent with legislation, policies and procedures

b) identifies any actual or potential deviations from budgets and reports these to the appropriate person

c) provides information to the relevant person on the current spend against budget

Management accounting Assists in updating and preparing budget statements from the General Ledger

system on a monthly basis, ensuring data is reconciled and updated prior to being sent out.

Assists in the analysis of income and expenditure, identifies variances and provides back-up information to managers in an appropriate format.

Ensures information on monthly expenditure against budget is sent to the relevant person.

Capital, PFI and investment appraisal Accounts for the disposal of assets correctly.

Internal audit Analyses information financial/budget information in order to identify potential

issues and problems.


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Dimension G4 – Financial Management This dimension is about the management of financial resources. It includes activities such as making proposals for expenditure, authorising and controlling the use of financial resources and agreeing, monitoring and reviewing budgets. Level 2 – Coordinate and monitor the use of financial resources

KSF Indicators Possible examples of application The worker: a) gives relevant people opportunities to provide information

on the use of financial resources b) makes and presents to the relevant people

recommendations regarding financial resource use which: - take account of relevant past experience - take account of trends and developments - are consistent with sound financial management - are consistent with legislation, policies and procedures

c) plans and schedules how agreed budgets will be used d) identifies any actual or potential deviations from budgets

and recommends corrective action to the appropriate person

Financial accounting Ensures all income and expenditure is recorded. Reconciles all daily cash balances in respect of all bank accounts. Manages daily bank accounts and petty cash holdings ensuring that all

income and expenditure is promptly recorded and referenced to source documentation.

Reconciles transactions within the ledger. Reviews and ensures control accounts are reconciled in accordance with the

organisation’s procedures. Management accounting

Maintains, monitors and develops through the ledger, income and expenditure budgets.

Authorises ad-hoc requests for invoices to be raised and ensures income is recorded.

Holds routine budgetary meetings with budget holders/managers and provides advice in line with SFI’s and SO’s.

Investigates variances on budgets and makes required budget or expenditure adjustments in accordance with established procedures.

Monitors actual performance against contracts and highlights areas for concern/further action.

Contributes towards costing reviews and makes recommendations. Maintains establishment control systems.

Capital, PFI and investment appraisal Maintains the asset register and ensures that it is accurate and up to date. Ensures that the acquisition of each asset has been appropriately approved. Ensures that approved capital is appropriately transacted. Accounts for the revenue consequences associated with the acquisition of a

new asset and ensures that these are appropriately budgeted for and approved.

Ensures VAT is recorded appropriately. Commissioning Supports the reconciliation on a monthly and year end basis, of the

expenditure and where appropriate, the income, into the organisation, reporting on this throughout the year.

Reconciles expenditure against approved commitments for independent sector referrals and referrals to other providers outside of service agreements.

Monitors the commissioning budgets and reports on progress against them on a monthly basis, identifying areas for concern.

Prepares monthly service agreement payments and reconciles payments to the ledger on a monthly basis.

Updates monthly financial schedules to action approved variations to the service agreements.

Prepares monthly service agreement payments for district and specialist services.

Financial performance management Assists in preparing information for the production of the financial plan and

strategy (e.g. preparing an investment plan that forms part of the LDP).


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Dimension G4 – Financial Management This dimension is about the management of financial resources. It includes activities such as making proposals for expenditure, authorising and controlling the use of financial resources and agreeing, monitoring and reviewing budgets. Level 3 – Coordinate, monitor and review the use of financial resources

KSF Indicators Possible examples of application The worker: a) gives relevant people opportunities to provide information

on the use of financial resources b) presents recommendations and requests to the relevant

people regarding financial resource use which: - take account of relevant past experience - take account of trends and developments - are consistent with organisational objectives and

policies - are realistic, justifiable and of clear benefit - are sufficient to support the activities within his/her

control c) negotiates and agrees the allocation of financial resources d) supports and encourages budget holders to make efficient

and effective use of financial resources e) plans, schedules, controls and monitors the use of

financial resources against agreed budgets f) identifies any actual or potential deviations from budgets

and works with the budget holder to find effective ways of handling it

g) reviews the allocation and use of financial resources and agrees appropriate improvements

h) provides appropriate support to others to improve their knowledge and understanding of financial resource management

Financial accounting Manages the production of the cash flow forecast and maintains cash

flow monitoring and budgeting systems. Manages the working capital balances in order to achieve the External

Financing Limit on a monthly basis and ensures effective use of cash balances within the Department of Health Guidelines.

Manages cash balances and cash flow within the Department of Health Guidelines.

Management accounting Coordinates and manages the processes of annual budget setting and

routine financial reporting to agreed timescales. Uses detailed knowledge of SFI’s and SO’s to provide accurate and

timely financial support, information and advice in a user-friendly manner to a range of managers including budgetary control, contract pricing, financial planning and identifying CIP’s/CRE'S.

Monitors and forecasts expenditure trends/budgetary performance on a monthly basis, identifying significance for budget holders and advising them appropriately.

Ensures all changes in services or developments are identified and that the resource implications are quantified and accounted for.

Act as a signatory to the bank mandate schedule to ensure that appropriate financial controls associated with this process are adhered to.

Authorises advertising requests/staff change requests in line with establishment control systems.

Maintains a schedule of lease agreements ensuring appropriate expenditure forecasts are made and included in the routine expenditure statements.

Reviews methods of cost allocation, apportionment and absorption and agrees changes as required.

Develops costs for services in line with national costing guidelines and ensures that costs are fairly allocated.

Calculates reference costs for patient and other services to meet local and statutory requirements within agreed timescales.

Monitors enhanced pension cost commitments and ensures appropriate accounting requirements are introduced and maintained.

Analyses financial benchmarking information and highlights areas for further investigation.

Identifies threats to financial viability and agrees corrective action plans with the relevant managers when required.

Uses monitoring/performance data against contracts to take corrective action where necessary and to inform relevant people of over/under spending.

Advises others on guidelines relating to new money and growth (e.g. access/PC Incentive Scheme monies); monitors expenditure and claims back money when not spent.

Capital, PFI, investment appraisal Assists with the development of budgets associated with changes to

maintenance and capital charge costs. Ensures that the revenue consequences of capital schemes are properly

assessed and accounted for (e.g. staffing costs, consumables, maintenance and repairs etc).

Works with the Estates Department and the Director of Finance to control capital expenditure and manage the Capital Programme, monitoring the CRL/EFL and accurately forecasting spend against it.


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Dimension G4 – Financial Management This dimension is about the management of financial resources. It includes activities such as making proposals for expenditure, authorising and controlling the use of financial resources and agreeing, monitoring and reviewing budgets. Level 3 – Coordinate, monitor and review the use of financial resources

KSF Indicators Possible examples of application Commissioning

Assists with the financial input to the LDP. Liaises with other NHS and non NHS bodeies where host/lead

commissioning arrangements exist to manage expenditure implications and performance variations.

Coordinates the detailed work required for in-year reporting on the expenditure and performance position to the senior managers and the board.

Provides the financial input to the management of commissioning budgets, providing advice to budget manager about required corrective action.

Sets up pooled budget arrangements and monitors financial outcomes/performance.

Financial performance management Develops and monitors financial performance improvement plans

(PIPS). Ensures that all organisations understand their financial allocations and

targets and that robust performance and accountability agreements are in place.

Provides a monthly schedule of progress against cost improvement and/or savings plans.

Appraises financial plans and business plans and makes recommendations for approval.

Works with budget holders to ensure that the organisation remains within resources and that value for money and recurrent balance is secured in the long term.


47

Dimension G4 – Financial Management This dimension is about the management of financial resources. It includes activities such as making proposals for expenditure, authorising and controlling the use of financial resources and agreeing, monitoring and reviewing budgets. Level 4 – Plan, implement, monitor and review the acquisition, allocation and management of financial resources

KSF Indicators Possible examples of application The worker: a) in consultation with relevant others, develops clear plans

for acquiring, allocating and managing financial resources which - support the organisation’s vision, values, strategies and

objectives - take account of current and potential future constraints

and opportunities - have clear inter-relationships to procurement and

commissioning processes, systems and requirements - comply with legislation, policies and procedures

b) implements methods, processes and systems for acquiring, allocating, and managing financial resources which: - support the organisation’s vision, values, strategies and

objectives - comply with legislation, policies and procedures

c) monitors the acquisition, allocation and management of financial resources in order to: - evaluate the performance of service, projects and

programmes - identify problems/issues - predict future needs and shortfalls - identify trends - assess capacity to meet future needs

d) reviews plans, methods, processes and systems related to the acquisition, allocation and management of financial resources and modifies them to improve their effectiveness

e) provides appropriate support to others to improve their knowledge and understanding of financial resource management

Financial accounting Conducts tax planning in order to minimise the amount of VAT that needs to

be paid and to maximise the amount that can be recovered within the law and NHS guidelines.

Ensure that the annual accounts give a true and fair view. Prepares cash flow forecasts and forecast balance sheet.

Management accounting Develops and improves financial procedures, systems and processes within

the management accounting function in order to increase efficiency and customer satisfaction and in order to comply with statutory and internal requirements.

Provides and manages a financial support structure to assist with the budgeting and business planning processes and ensures resources are managed as effectively and efficiently as possible.

Provides advice/education on business management issues in order to improve financial awareness, performance, cost effectiveness and efficiency, revenue generation and to maximise the use of assets.

Manages and reports on reserves, ensuring correct amount of money is set aside for developments and that it is accurate and properly managed/accounted for.

Develops and maintains systems to monitor and update the financial plans and advises on corrective action where necessary.

Takes a strategic view on budget proposals across the organisation; advises on the validity/affordability of budget plans and ensures the organisation spends within agreed budget limits and that value for money is secured in the long term.

Produces reports and returns on financial performance for Board level discussions/decision making and for external and statutory purposes.

Capital, PFI and investment appraisal Develops the financial aspects of the organisation’s capital plans and

programmes and ensures progress against them is monitored and reported.

Conducts strategic financial assessments and provides financial input to large capital projects business cases, testing the rationale behind investment decisions.

Commissioning Provide the lead input into LDPs, coordinating the financial modelling

and ensuring the development of an affordable financial plan which delivers the required targets.

Uses analysis of how money has been spent by speciality and programme area to make recommendations on future requirements and funding.

Financial performance management Leads the financial aspects of the negotiation and agreement of the LDP

ensuring that resources are balanced against the delivery of NHS targets.

Leads on the production of the financial plan and strategy. Oversees and monitors the implementation of financial Performance

Improvement Plans, initiating appropriate action where required. Reviews the internal performance of the organisation against

performance management targets, links financial performance with service performance and makes appropriate recommendations/takes appropriate action.

Ensures systems and processes are in place to accurately monitor financial performance in a timely manner.


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Dimension G5 – Services and Project Management (May apply to finance staff in any area – but most likely to be relevant to senior roles)

Dimension G5 – Services and Project Management This dimension is about the management of projects and/or services and activities within those. Level 1 – Assist with the organisation of services and/or projects

KSF Indicators Possible examples of application The worker: a) identifies with the team the activities to be undertaken to

support services and projects b) undertakes activities effectively and to time consistent with

legislation, policies and procedures c) reports any difficulties or problems at an appropriate time

to a team member d) keeps accurate records of activities and makes them

available to people at the time that they need them

General examples Sets own work goals on a daily and weekly basis, prioritising and managing

own workload to deliver to time and quality requirements. Resolves conflicting demands on own time effectively. Manages the expectations of others and provides accurate estimates of the

time it will take to complete tasks. Monitors progress on tasks and sees them through to completion. Prepares for events in the future, especially when less busy. Puts processes in place to monitor and control the accurate completion of

their own activities. Stays calm in a crisis and takes appropriate action. Understands limits of own authority.

Level 2 – Organise specific aspects of services and/or projects

KSF Indicators Possible examples of application The worker: a) obtains full, relevant information on specific aspects of

services and projects for which s/he is responsible and how they relate to other parts of the service or project

b) ensures that everyone involved in the specific aspects of services/projects for which s/he is responsible has relevant and appropriate information about the work and their role within it, and confirms their understanding of their role

c) ensures that planned resources are available for people to use at the time they need them

d) coordinates activities making sure that they run smoothly and work well together and are consistent with legislation, policies and procedures

e) effectively undertakes activities to support the efficient working of services/projects

f) monitors the implementation of those aspects of services/projects for which s/he is responsible against agreed plans and takes prompt corrective action when activities are not consistent with plans

g) monitors the outcomes of those aspects of services/projects for which s/he is responsible to confirm that their objectives are met and alerts service/project managers to any issues

General examples Plans tasks carried out by a small number of people to deliver goals to time

and quality requirements. Uses basic project management techniques to create project plans and to

monitor progress against plans. Considers a range of options before deciding on and planning a course of

action. Plans the best use of resources, resolving conflicting priorities where

necessary. Monitors and communicates progress against plans. Sets up systems for others for organising and monitoring work. Demonstrates flexibility in task/project completion, being able to change plans

when required. Stays calm when coordinating/planning under pressure. Contributes to the development of long term plans for own area. Plans and organises a work schedule to ensure that allocated tasks are

undertaken as effectively as possible and involve the least amount of disruption.

Identifies the most efficient way of conducting work so that it is completed within the required budget and time.


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Dimension G5 – Services and Project Management This dimension is about the management of projects and/or services and activities within those. Level 3 – Prioritise and manage the ongoing work of services and/or projects

KSF Indicators Possible examples of application The worker: a) identifies and assesses for operational planning

- the ways in which services/projects contribute to the achievement of organisational/partnership direction, aims and objectives

- what needs to be achieved in services/projects - the inter-relationships between different parts including

critical paths - who needs to be involved in the planning and

implementation of services/projects - potential risks - priorities and targets - the impact of legislation, policies, procedures - methods and processes for reporting, controlling and

communicating b) enables people delivering services/projects to understand

their role and its relationship to others c) provides advice and support to people on day-to-day

priorities, risks and issues d) gathers enough information to monitor the delivery of the

service/project against overall plans and promptly identifies and investigates any issues

e) determines and implements the most appropriate ways of addressing issues taking account of any relevant factors

f) gains feedback on how to improve service/project delivery and uses it to improve future practice

g) provides information to the people who hold overall responsibility for services/projects when they appear to be ineffective or inefficient in meeting requirements

.

General examples Produces long-term strategic/business plans which coordinate a broad range

of tasks from a variety of people. Develops complex costings/budgets as a part of the planning output. Plans more complex projects or tasks involving a variety of people (internal

and/or external) and many different factors. Identifies and analyses potential risks & plans contingency actions. Is prepared to take calculated risks when planning and implementing work. Plans resources to maximise efficiency and to minimise delay and conflicting

priorities. Monitors the work completed by others to ensure tasks are completed to time

and quality requirements. Differentiates between strategic and tactical activity when making and

implementing plans. Financial accounting Checks duties are appropriately segregated within the department and

ensures that all controls are in place. Manages day-to-day tasks in the department, ensuring that all income is

recovered and recorded promptly in the General Ledger, receipted properly and reconciled to source documentation.

Manages day-to-day tasks in the department, ensuring payments to suppliers are made and reconciled to source documentation promptly, accurately and efficiently.

Manages and prepares year-end timetables for the effective running of financial accounts, including planning for internal and external audit.

Effectively manages the financial systems to meet audit requirements and ensures details of audit recommendations are implemented.

Management accounting Coordinates and manages the processes of annual budget setting and routine

financial reporting to agreed timescales. Capital, PFI and investment appraisal Develops and maintains the capital programme, ensuring that forecast

capital charges are calculated correctly. Commissioning Monitors and reports on performance against service agreements. Coordinates the detailed work required for in-year reporting on the

expenditure and performance position to the board of commissioning. Financial performance management Monitors the financial aspects of development projects, advising others when

action is required.

Payroll Oversees the accurate and timely preparation of payroll for all staff.


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Dimension G5 – Services and Project Management This dimension is about the management of projects and/or services and activities within those. Level 3 – Prioritise and manage the ongoing work of services and/or projects


Prepares and delivers the strategic, annual and operational audit plans based upon a comprehensive assurance and objective driven risk assessment process that demonstrates a detailed understanding of the client’s key issues.

Works closely with the client to agree the format and objectives of the audit and to agree how the findings will be reported, managing client expectations with regard to the nature, extent, timing and cost of the process.

Assists the client to identify future audit activities which will add value to their organisation.

Ensures on a day-to-day basis that all aspects of the terms of reference for particular clients are met and works closely with clients to agree any changes to those objectives or plans.

Takes appropriate and timely action when clients reject audit conclusions or when they disagree with or are unhappy about any part of the audit service.

Financial systems Plan, implement and monitor the introduction of amendments to finance

systems/new systems, identifying and managing the risks and taking account of finance operational plans and timescales.


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Dimension G5 – Services and Project Management This dimension is about the management of projects and/or services and activities within those. Level 4 – Plan, coordinate and monitor the delivery of services and/or projects

KSF Indicators Possible examples of application The worker: a) works with others to identify and produce plans that

contain all the necessary detail for managing and delivering services and/or projects and that are: - consistent with legislation, policies and procedures - supportive of the organisation’s/partnership’s direction,

strategy and objectives b) negotiates and agrees with others how to put in place

sufficient supporting mechanisms to ensure that services and/or projects are managed and delivered effectively

c) works with others to put in place methods, processes and systems for implementing service/project plans

d) monitors the delivery and management of services and/or projects in order to: - evaluate performance against plans - identify issues - predict future needs and shortfalls - identify trends and developments - assess capacity to meet future needs

e) reviews plans, methods, processes and systems for managing services and/or projects and modifies them to improve effectiveness

f) provides appropriate support to others to improve their knowledge and understanding of service and/or project management

General examples Develops a long-term vision for the function which takes account of strategic

needs of the organisation. Breaks down the vision and creates a plan of how to achieve it, using an

optimum combination of time and resources. Plans, organises, monitors and controls high profile, complex, long-term

projects involving a variety of partners. Plans & organises groups or programmes of projects, analyzing critical paths

in order to establish interdependencies and plan appropriate actions. Plans appropriate action in situations where the degree of risk is significant. Makes strategic plans and decisions under extreme pressure and within tight

deadlines. Develops new, improved ways of planning and organising across the

department. Identifies critical performance measures, which need to be monitored, and

sets up systems to do this which allow for minimum involvement and maximum control.

Maintains a balance between short and long term priorities. Financial accounting Organises and manages involvement with both internal and external auditors

and ensures actions are implemented within appropriate timescales. Ensures compliance in accounting practices with the law, SSAPs, FRSs, the

Capital Accounting Manual, the Losses and Special Payments Register, the NHS Finance Manual, Charity Commission & Department of Health guidelines/regulations and risk management legislation.

Ensures that the systems/standards required by external accreditation bodies are met.

Ensures that services meet key performance indicators. Ensures that the relevant key performance indicators are in place.

Management accounting Translates the vision of the organisation into a financially viable business

plan. Develops and maintains systems to monitor and update financial plans and

budgets. Capital, PFI and investment appraisal Develops the financial aspects of the organisation’s Capital Plans and

programmes and ensures progress against them is measured and monitored. Commissioning Provide the lead financial input into LDPs, coordinating the financial modeling

and ensuring the development of an affordable financial plan which delivers the required targets.

Manages the overall financial aspect of the commissioning portfolio of services/service agreements.

Financial performance management Leads the financial aspects of the negotiation and agreement of the LDP,

ensuring financial resources are balanced against the delivery of NHS targets. Leads on the production of the financial plan and strategy.

Payroll Manages the control and reconciliation of payroll deduction records, including

payroll creditors at the end of each accounting period.


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Dimension G5 – Services and Project Management This dimension is about the management of projects and/or services and activities within those. Level 4 – Plan, coordinate and monitor the delivery of services and/or projects


Sources, develops and monitors the audit systems and processes to ensure compliance with the law, NHS Mandatory Standards and the local quality system where relevant.

Reviews the overall efficiency and effectiveness of the audit department and identifies and implements recommendations for continuous improvement.

Develops a strategy and operational plans for the audit department to ensure that the overall objectives are met.

Ensures that the systems/standards required by external accreditation bodies are met.

Translates the vision of the organisation into a financially viable business plan.

Develops and maintains systems to monitor and update activity plans and budgets.

Leads on the production of the financial plan and strategy. Plan, implement and monitor the introduction of major new Audit systems,

identifying and managing the risks and taking account of operational plans and timescales.

Financial systems Plan, implement and monitor the introduction of major new finance systems,

identifying and managing the risks and taking account of finance operational plans and timescales.


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Dimension G6 – People Management (Will apply to any finance role with the responsibility for managing finance staff)

Dimension G6 – People Management This dimension is about the management of individuals and teams. It covers activities such as recruitment, selection, work planning and allocation, reviewing performance, motivating people, treating them fairly and involving them in decisions about their work. It includes aspects of leadership and culture change. Level 1 – Supervise people’s work

KSF Indicators Possible examples of application The worker: a) gives people opportunities to contribute to the planning

and organisation of their work b) develops and explains plans and work activities to people

and enables them to carry out their work effectively consistent with legislation, policies and procedures

c) gives people support and opportunities to assess their own work and gives them clear, sensitive and appropriate feedback in a way that helps them improve and develop

d) supports people effectively during the NHS KSF development review process

e) reports poor performance to a relevant person for them to take action

Gives constructive feedback and invites feedback on own performance. Compliments individuals on their efforts and successes. Supports staff as they perform their roles. Treats everyone fairly and consistently. Seeks, welcomes and builds on ideas from others.

Level 2 – Plan, allocate and supervise the work of a team KSF Indicators Possible examples of application

The worker: a) contributes to the recruitment and selection of team

members to meet organisational needs consistent with legislation, policies and procedures

b) communicates clearly with team members and gives them opportunities to: - contribute to the planning and organisation of work - assess their own and team work - respond to feedback

c) develops work plans and allocates work in a way which: - is consistent with the team’s objectives - is realistic and achievable - takes full account of team members’ abilities and

development needs d) objectively assesses the work of the team and provides

clear constructive feedback to the team in a manner most likely to maintain and improve performance

e) supports team members effectively during the NHS KSF development review process and enables them to meet their development objectives

f) agrees with team members courses of action to address issues with and at work

Plans tasks carried out by a small number of people to deliver objectives. Clearly defines roles and responsibilities of individuals and the team. Distributes work fairly and in accordance with people’s strengths. Sets clear minimum standards of output and performance. Sets objectives with individuals, which are clear and challenging. Allows others to deliver tasks in their own way, providing the end goal is

achieved. Encourages others to identify their own solutions to problems. Supports individuals/the team and seeks to raise morale in difficult

circumstances. Builds confidence in others – particularly when things aren’t going well. Promotes the reputation of the team to outsiders. Communicates clearly and openly, creating a sense of trust and encouraging

two-way discussion. Meets regularly with team to keep them informed and to create opportunities

to listen and to share ideas. Demonstrates loyalty to staff and cares about each individual. Challenges the team and is prepared to be unpopular when necessary. Deals with conflict in an open, objective and constructive manner. Brings a sense of fun and enjoyment to the team. Promotes and encourages the involvement of staff in decision-making.


54

Dimension G6 – People Management This dimension is about the management of individuals and teams. It covers activities such as recruitment, selection, work planning and allocation, reviewing performance, motivating people, treating them fairly and involving them in decisions about their work. It includes aspects of leadership and culture change. Level 3 – Coordinate and delegate work and review people’s performance

KSF Indicators Possible examples of application The worker: a) suggests workforce requirements to meet team and

organisational objectives b) selects individuals for posts using agreed methods and

based on objective assessments against agreed criteria c) gives team members clear information on, and

opportunities to influence, work objectives, planning and organisation, in a way which inspires commitment and enthusiasm

d) plans and coordinates work: - prioritising and reprioritising activities to respond to

changing circumstances - managing multiple processes simultaneously whilst

enabling teams and individuals to focus on their own specific objectives

e) delegates authority to people and monitors them against the required outcomes, agreeing with them: - clear, explicit and achievable targets and timescales - ways in which their development will be supported - how progress and performance will be monitored and

reviewed f) allocates and provides sufficient resources and support for

delegated work and reviews progress and outcomes with people as agreed

g) gives people support and opportunities to meet their personal development objectives

h) agrees with people appropriate courses of action to address any issues with their work

Monitors the work completed by others to ensure tasks are competed to time and quality requirements.

Demonstrates flexibility in task/project completion, being able to change plans when required.

Provides clear and unambiguous direction. Deals effectively with significant performance problems. Trusts others to make decisions and backs their judgment. Expresses confidence and trust in others’ ability. Has a range of management styles, which can be drawn on, to suit the needs

of an individual or of a particular team. Demonstrates an awareness of group dynamics. Facilitates the team to break new ground and come to agreed solutions to

challenging situations. Manages change effectively. Delivers an exciting message, which inspires others to perform. Raises the morale of staff in difficult times.

Level 4 – Plan, develop, monitor and review the recruitment, deployment and management of people KSF Indicators Possible examples of application

The worker: a) in consultation with relevant others, develops clear plans

for the recruitment, deployment and management of people which - support the organisation’s vision, values, strategies and

objectives - take account of current and potential future constraints

and opportunities - comply with legislation, policies and procedures

b) implements methods, processes and systems for recruiting, deploying and managing people which: - support the organisation’s vision, values, strategies and

objectives - comply with legislation, policies and procedures

c) monitors the recruitment, deployment and management of people in order to: - evaluate performance in these areas - identify current problems/issues - identify trends - predict future needs - assess capacity to meet future needs

d) reviews plans, methods, processes and systems related to the recruitment, deployment and management of people and modifies them to improve their effectiveness

e) provides appropriate support to others to improve their knowledge and understanding of people management

Reviews the effectiveness of the recruitment processes and makes appropriate changes.

Reviews the development of staff and constantly seeks ways to improve. Reviews the organisation structure, work required and skill mix in order to

identify the optimum use of resources. Ensures the management styles of managers within are as effective as

possible and supports managers in the development of their own managerial skills.


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Dimension G7 – Capacity and Capability (May apply to finance staff in any area – but most likely to be relevant to senior roles)

Dimension G7 – Capacity and Capability This dimension is about developing communities, organisations and the workforce as a whole. Capacity and capability development might be in response to national directives or requirements or might be driven from the bottom up. It includes a wide variety of activities such as: increasing the competence of people, developing and improving systems, structures and processes (e.g. for financial control and planning), investing in resources, developing relationships etc. Level 1 – Sustain capacity and capability

KSF Indicators Possible examples of application The worker: a) understands and values others’ roles and contributions

enabling them to make effective contributions working consistently with legislation, policies and procedures

b) acknowledges the nature and context in which others work and live and the value of their differing perspectives and experiences

c) shares and takes account of own and others’ culture, knowledge, skills, experiences and values

d) takes the appropriate action to build on others’ knowledge, skills, experiences and values and build them into the development of joint ideas, practice and work so that capacity and capability can be sustained

Unlikely to apply to staff at this level

Level 2 – Facilitate the development of capacity and capability KSF Indicators Possible examples of application

The worker: a) identifies and promotes the purpose, advantages and

disadvantages of developing capacity and capability b) appraises different options for facilitating capacity and

capability development consistent with legislation, policies and procedures

c) discusses and agrees the most appropriate options with the people concerned taking account of the particular context and the specific purpose of the development

d) identifies and seizes opportunities to develop and improve relationships with others

e) takes forward capacity and capability development approaches effectively and as agreed

f) accepts joint responsibility for any problems and tensions that arise modifying approaches as a result

g) evaluates with those involved the effectiveness of the approaches and the extent to which they have contributed to the development of capacity and capability

h) agrees next steps with people and who will take them forward

Unlikely to apply to staff at this level

Level 3 – Contribute to developing and sustaining capacity and capability KSF Indicators Possible examples of application

The worker: a) identifies and agrees with others

- an analysis of the current position - the purpose of the capacity and capability development - appropriate processes - relevant legislation, policies and procedures

b) works with others to plan appropriate capacity and capability development programmes and how they will be taken forward

c) agrees with those taking forward capacity and capability development how this will be done

d) monitors and supports the people taking forward capacity and capability development, responding to arising issues

e) evaluates the effectiveness of capacity and capability development and feeds back to those responsible for the overall development of capacity and capability.

f) agrees the next steps with people and who will take them forward

Develops new partnerships to improve the effectiveness of the service provided.

Costs capacity plans for primary, community and secondary care. Provides financial input into service changes and modernisation

schemes.


56

Dimension G7 – Capacity and Capability This dimension is about developing communities, organisations and the workforce as a whole. Capacity and capability development might be in response to national directives or requirements or might be driven from the bottom up. It includes a wide variety of activities such as: increasing the competence of people, developing and improving systems, structures and processes (e.g. for financial control and planning), investing in resources, developing relationships etc. Level 4 – Work in partnership with others to develop and sustain capacity and capability

KSF Indicators Possible examples of application The worker: a) works with others to identify and agree:

- anticipated future demands which make it necessary to build capacity and capability

- an analysis of the current position - the purpose of capacity and capability development - appropriate processes - relevant legislation, policies and procedures

b) works with others to produce plans that are likely to be effective in meeting the purpose of capacity and capability development given the current position and using innovative solutions where these are appropriate

c) negotiates with others to put in place resources and mechanisms to implement and support effective capacity and capability development

d) gains sufficient information on the effectiveness of capacity and capability development to make adjustments as and when they are necessary

e) evaluates the effectiveness of capacity and capability development with others and agrees the way forward

Develops and improves systems and processes. Develops long-term plan to increase the competence of staff. Facilitates and empowers staff to work in new ways. Advises on investment decisions. Identifies financial risks around capacity plans, service changes and

modernisation schemes. Supports directors in assessing the capacity and capability of

management teams.


57

A Quick Guide to the KSF Introduction The NHS Knowledge and Skills Framework (the NHS KSF) defines and describes knowledge and skills which staff need to apply to their work to deliver quality services. It provides a single, consistent, comprehensive and explicit framework on which to base review and development for all staff (except for doctors, dentists and some board level/senior managers). It is made up of 30 dimensions – six of which are core and will be relevant to every post in the NHS. The other 24 dimensions are specific – they will apply to some but not all jobs in the NHS. No one dimension or level is better than another – all are necessary to provide good quality services to the public. Each dimensions has four levels. Each level has a title, which describes what the level is about. Attached to the descriptions of each level are indicators. These describe how knowledge and skills need to be applied at that level. For an individual to meet a defined level they have to be able to show that they can apply knowledge and skills to meet all of the indicators in that level. Alongside each level title and indicators are some examples of application. These show how the KSF might be applied in different posts and are for illustrative purposes. They play a critical part in relating the KSF to actual jobs through the development of post outlines. NB: The KSF cannot be linked in any direct way to particular qualifications. Post outlines The scope of the KSF is extremely broad. To make it a useful tool, the dimensions and examples of application, which are most relevant to specific posts have to be selected. This is done through the development of post outlines. A post outline based on the KSF will be developed for every post in the NHS. The outline sets out the actual requirements of a post in terms of the knowledge and skills that need to be applied when that post is being undertaken effectively. Outlines must reflect the requirements of the post and not the abilities or preferences of the person who is employed in that post. They must be developed in partnership, with people who understand the requirements of the post concerned. Every KSF post outline must include an appropriate level from each of the six core dimensions, to which will be added a number of specific dimensions. There is no limit to the number of specific dimensions which can be included, but it would be unusual for a post to need more than seven. National guidance suggests around four as a figure to aim for. The specific dimensions selected should reflect the critical aspects of the post. Relevant examples of application, which explain the indicators need to be developed for all outlines. Everyone involved in developing post outlines should be realistic about what to include as the outlines will inform decisions about the learning and development which people will need, the learning and development which organisations will be committed to support and the individual’s pay progression. For each post you will need to produce two outlines – a full outline and a foundation gateway outline (or subset outline). The full outline is used at the second gateway in a pay band. It will set out the knowledge and skills that need to be applied when a post holder is fully functioning in that post. The foundation gateway outline is a subset of the full outline. It identifies the knowledge and skills required by the post holder once they have been functioning in the role for one year. It therefore focuses on the essential demands of the post. Both full and subset outlines must be produced in partnership. An example of a full and subset outline follows at the end of this document. For more information about the KSF refer to the NHS KSF Guide itself – widely available in hard copy and also on the Department of Health/Agenda for Change websites.


58

People Who Have Helped to Produce the Support Materials

Our thanks go to all of the following who have helped to produce the support materials:

Thelma Harvey National KSF Development Group Lindsay Mitchell National KSF Development Group Sue Lloyd North Central London WDC Sotiris Kyriacou London North West (FSD Manager) Alex Mitchell Central Cheshire PCT Fiona Williams Guys and St Thomas NHS Trust Karen Ruthven Guys and St Thomas NHS Trust Sue Taylor Pennine Acute Hospitals NHS Trust Brigid Newington National Blood Service Andy Barnard West Kent NHS Trust Nicola Mortimer CAMHs & Older People Services Claire Earp Leeds Teaching Hospitals NHS Trust Donna Sandiford Bolton, Salford and Trafford Mental Health NHS Trust Ann Lucas Blackpool PCT Gill Jacobs West Kent NHS Trust Annette Evans North Staffordshire Finance and Registration Agency Stephen Lawrence North Staffordshire Finance and Registration Agency Cath Hill Mersey Internal Audit Agency Pauline Carter North Tees and Hartlepool NHS Trust Gail Nolan Birmingham and the Black Country SHA Anthony Chapman Hammersmith and Fulham PCT Jason Scrivener Epping Forest PCT Gill Cleave South Devon Healthcare NHS Trust Chris Edwards Rotherham PCT Sharon Lloyd Bro Morgannwg NHS Trust

Post Outline : Senior Finance Analyst (FACT)

Created On Friday, April 15, 2005

Created By Terry Croft

This Post Outline Is Not Approved

Purpose : To ensure efficient and effective use of resources and delivery of national and local targets within a sound governance

framework.

To positively contribute to FACT Finance Department and the wider finance function to meet overall PCT objectives.

Assinged to:

Reporting To : Asst Director of Finance - FACT Finance Department

KSF Dimensions, Levels And Indicators

Core /

Specific Level Indicator IndicatorLevelDimensionNumber

Second Gateway

(Full Outline)

Foundation Gateway

(Subset Outline)

COMMUNICATION 3 3Core C1 A,B,C,D,E,F A,B,C,D,E,F

PERSONAL AND PEOPLE

DEVELOPMENT

2 3Core C2 A,B,C,D,E,F,G A,B,C,D,E,F

HEALTH, SAFETY AND

SECURITY

2 2Core C3 A,B,C,D,E,F A,B,C,D,E,F

SERVICE IMPROVEMENT 2 2Core C4 A,B,C,D,E,F A,B,C,D,E,F

QUALITY 3 3Core C5 A,B,C,D,E,F,G A,B,C,D,E,F,G

EQUALITY AND DIVERSITY 1 1Core C6 A,B,C,D,E A,B,C,D,E

INFORMATION PROCESSING 2 2Specific IK1 A,B,C,D,E,F,G A,B,C,D,E,F,G

INFORMATION COLLECTION

AND ANALYSIS

2 3Specific IK2 A,B,C,D,E,F,G,H A,B,C,D,E,F

FINANCIAL MANAGEMENT 2 3Specific G4 A,B,C,D,E,F,G,H A,B,C,D

PEOPLE MANAGEMENT 1 2Specific G6 A,B,C,D,E,F A,B,C,D,E

Leigh Swingler

Example KSF Outline for a Finance role

Leigh Swingler

Page 59

Senior Finance Analyst (FACT)

COMMUNICATION

Foundation Gateway (Subset Outline)

Level : 3 Develop and maintain communication with people about difficult

matters and/or in difficult situations

Second Gateway (Full Outline)

Level : 3 Develop and maintain communication with people about

difficult matters and/or in difficult situations

C1

Level Indicators:

a) identifies the range of people likely to be involved in the

communication, any potential communication differences and relevant

contextual factors

b) communicates with people in a form and manner that:

- is consistent with their level of understanding, culture,

background and preferred ways of communicating

- is appropriate to the purpose of the communication and the

context in which it is taking place

- encourages the effective participation of all involved

c) recognises and reflects on barriers to effective communication

and modifies communication in response

d) provides feedback to other workers on their communication at

appropriate times

e) keeps accurate and complete records of activities and

communications consistent with legislation, policies and procedures.

f) communicates in a manner that is consistent with relevant

legislation, policies and procedures.

Level Indicators:

a) identifies the range of people likely to be involved in the

communication, any potential communication differences and

relevant contextual factors

b) communicates with people in a form and manner that:

- is consistent with their level of understanding, culture,

background and preferred ways of communicating

- is appropriate to the purpose of the communication and the

context in which it is taking place

- encourages the effective participation of all involved

c) recognises and reflects on barriers to effective communication

and modifies communication in response

d) provides feedback to other workers on their communication at

appropriate times

e) keeps accurate and complete records of activities and

communications consistent with legislation, policies and procedures.

f) communicates in a manner that is consistent with relevant

legislation, policies and procedures.

Examples of Application : a) Develop and maintain good relationships with all

members of staff / Be a member of FACT / Work in close liaison with

Healthcare Providers staff (Commissioning / Finance / Information) to resolve

complex queries relating to contracts / Develop relationships with Primary Care

Providers (to facilitate the implementation of PCLC)

(c) Culture of different parties e.g. NHS Trusts, GPs / Levels of knowledge around

new initiatives e.g. PbR, PCLC

(d) Resolve highly complex finance queries from provider organisations / Provide

and receive complex information from GP practices re PCLC / Able to interpret

complex professional, sensitive or contentious information to support non-financial

managers and clinicians in making effective decisions

(e) & (f) Ensure delivery of all statutory and monitoring returns, including final

accounts, to the highest quality and by due deadlines.

Examples of Application : (a) Develop and maintain good relationships with all

members of staff / Be a member of FACT / Work in close liaison with

Healthcare Providers staff (Commissioning / Finance / Information) to resolve

complex queries relating to contracts / Develop relationships with Primary Care

Providers (to facilitate the implementation of PCLC)

(b) Provide specialist finance training to non-finance staff / Resolve highly

complex finance queries relating to contracts / Provide and receive complex

information from GP practices and negotiate with them to support the

implementation of PCLC.

(c) Culture of different parties e.g. NHS Trusts, GPs / Levels of knowledge around

new initiatives e.g. PbR, PCLC

(d) Resolve highly complex finance queries from provider organisations / Provide

and receive complex information from GP practices re PCLC / Able to interpret

complex professional, sensitive or contentious information to support non-financial

managers and clinicians in making effective decisions

(e) & (f) Ensure delivery of all statutory and monitoring returns, including final

accounts, to the highest quality and by due deadlines / Provide detailed complex

financial analysis to support the LDP and Capacity Plan

Produced at https://www.e-ksf.org

https://www.e-ksf.org

Leigh Swingler

Page 60


PERSONAL AND PEOPLE DEVELOPMENT


Level : 2 Develop own knowledge and skills and provide information to

others to help their development


Level : 3 Develop oneself and contribute to the development of others

C2

Level Indicators:

a) assesses and identifies:

- feedback from others on own work

- how s/he is applying knowledge and skills in relation to the KSF

outline for the post

- own development needs and interests in the current post

- what has been helpful in his/her learning and development to date

b) takes an active part in the development review of own work

against the KSF outline for the post with their reviewer and suggests

areas for learning and development in the coming year

c) takes responsibility for own personal development and takes an

active part in learning opportunities

d) evaluates the effectiveness of learning opportunities and alerts

others to benefits and problems

e) keeps up-to-date records of own development review process

f) offers information to others when it will help their development

and/or help them meet work demands.

Level Indicators:

a) reflects on and evaluates how well s/he is applying knowledge

and skills to meet current and emerging work demands and the

requirements of the KSF outline for his/her post

b) identifies own development needs and sets own personal

development objectives in discussion with his/her reviewer

c) takes responsibility for own personal development and maintains

own personal development portfolio

d) makes effective use of learning opportunities within and outside

the workplace evaluating their effectiveness and feeding back

relevant information

e) enables others to develop and apply their knowledge and skills in

practice

f) contributes to the development of others in a manner that is

consistent with legislation, policies and procedures

g) contributes to developing the workplace as a learning

environment.

Examples of Application : a), (b), (c) & (e) Takes part in the development review

process (with manager) / Identifies own learning needs and interests and how to

address these / On-job learning and development e.g. search the internet for latest

guidance on new developments (DoH, NatPaCT, Choose & Book) / Off-job learning

and development on one's own and with others (e.g. formal courses, role play,

undertaking qualifications in educational settings) - as this is an evolving post,

personal development needs are identified as an ongoing process e.g. conferences

on new initiatives (PbR, PCLC) / Maintains Personal Portfolio (requirement of

National FSD Group).

(d) Feed back to FACT and Finance teams any relevant information from courses /

conferences etc attended.

(f) Assist on the delivery of core training for all finance staff on a range of specialist

accountancy issues / Assist in the provision of specialist financial training to

non-finance staff e.g. PCT Managers Forum.

Examples of Application : (a), (b) & (c) Takes part in the development review

process (with manager) / Identifies own learning needs and interests and how to

address these / On-job learning and development e.g. search the internet for

latest guidance on new developments (DoH, NatPaCT, Choose & Book) / Off-job

learning and development on one's own and with others (e.g. formal courses, role

play, undertaking qualifications in educational settings) / Maintains Personal

Portfolio (requirement of National FSD Group).

(d) Feed back to FACT and Finance teams any relevant information from courses /

conferences etc attended

(e), (f) & (g) Encourages other team members e.g. Finance Analyst, to develop new

systems / Spending appropriate time with the Finance Analyst to understand new

initiatives / Lead on the delivery of core training for all finance staff on a range of

specialist accountancy issues / To provide specialist financial training on complex

issues to non-finance staff e.g. PCT Managers Forum.



Leigh Swingler

Page 61


HEALTH, SAFETY AND SECURITY


Level : 2 Monitor and maintain health, safety and security of self


Level : 2 Monitor and maintain health, safety and security of self

C3

Level Indicators:

a) identifies and assesses the potential risks involved in work

activities and processes for self and others

b) identifies how best to manage the risks

c) undertakes work activities consistent with:

- legislation, policies and procedures

- the assessment and management of risk

d) takes the appropriate action to manage an emergency summoning

assistance immediately when this is necessary

e) reports actual or potential problems that may put health, safety

and security at risk and suggests how they might be addressed

f) supports others in maintaining health, safety and security.

Level Indicators:

a) identifies and assesses the potential risks involved in work

activities and processes for self and others

b) identifies how best to manage the risks

c) undertakes work activities consistent with:

- legislation, policies and procedures

- the assessment and management of risk

d) takes the appropriate action to manage an emergency

summoning assistance immediately when this is necessary

e) reports actual or potential problems that may put health, safety

and security at risk and suggests how they might be addressed

f) supports others in maintaining health, safety and security.

Examples of Application : (a) & (b) Assess work area of self and colleagues /

Attend all mandatory training sessions e.g. manual handling, fire lecture, health &

safety, bullying and harrassment, abuse and aggression, discrimination, stress

management etc / Appropriate and secure use of IT e.g. sharing passwords,

sharing information with other agencies / Appropriate use of security systems and

alarms / Checking the safety of fixtures and fittings / proper disposal of waste

(c) Attend mandatory training sessions and be aware of emergency procedures e.g.

First Aid Officer, fire procedures

(d) Be aware of emergency procedures e.g. First Aid Officer, fire reporting

(e) Be aware of procedures for reporting, including IR1 form completion

(f) Identify any health, safety and security issues to colleagues

Examples of Application : (a) & (b) Assess work area of self and colleagues /

Attend all mandatory training sessions e.g. manual handling, fire lecture, health &

safety, bullying and harrassment, abuse and aggression, discrimination, stress

management etc / Appropriate and secure use of IT e.g. sharing passwords,

sharing information with other agencies / Appropriate use of security systems and

alarms / Checking the safety of fixtures and fittings / proper disposal of waste

(c) Attend mandatory training sessions and be aware of emergency procedures

e.g. First Aid Officer, fire procedures

(d) Be aware of emergency procedures e.g. First Aid Officer, fire reporting

(e) Be aware of procedures for reporting, including IR1 form completion

(f) Identify any health, safety and security issues to colleagues



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SERVICE IMPROVEMENT


Level : 2 Contribute to the improvement of services


Level : 2 Contribute to the improvement of services

C4

Level Indicators:

a) discusses and agrees with the work team

- the implications of direction, policies and strategies on their

current practice

- the changes that they can make as a team

- the changes s/he can make as an individual

- how to take the changes forward

b) constructively makes agreed changes to own work in the agreed

timescale seeking support as and when necessary

c) supports others in understanding the need for and making agreed

changes

d) evaluates own and other’s work when required to do so

completing relevant documentation

e) makes constructive suggestions as to how services can be

improved for users and the public

f) constructively identifies issues with direction, policies and

strategies in the interests of users and the public.

Level Indicators:

a) discusses and agrees with the work team

- the implications of direction, policies and strategies on their

current practice

- the changes that they can make as a team

- the changes s/he can make as an individual

- how to take the changes forward

b) constructively makes agreed changes to own work in the agreed

timescale seeking support as and when necessary

c) supports others in understanding the need for and making

agreed changes

d) evaluates own and other’s work when required to do so

completing relevant documentation

e) makes constructive suggestions as to how services can be

improved for users and the public

f) constructively identifies issues with direction, policies and

strategies in the interests of users and the public.

Examples of Application : (a), (b), (c), (d) (e) & (f) Working closely with FACT

members to identify good practice and work with colleagues across the community

to share and communicate the good practice across the organisation to improve

performance / Design, implement and review finance systems to support the

introduction of PbR financial monitoring, and communication of all significant risks

associated with PbR

Examples of Application : (a), (b), (c), (d) & (f) Working closely with FACT

members to identify good practice and work with colleagues across the community

to share and communicate the good practice across the organisation to improve

performance / Design, implement and review finance systems to support the

introduction of PbR financial monitoring, developing practices and systems to

advise long term financial/strategic planning including the analysis and

communication of all significant risks associated with PbR

(e) Contribute to team discussions on requirements of FACT and the PCT, by

applying feedback from users, changes in policies and procedures, and best

practice.



Leigh Swingler

Page 63


QUALITY


Level : 3 Contribute to improving quality


Level : 3 Contribute to improving quality

C5

Level Indicators:

a) acts consistently with legislation, policies, procedures and other

quality approaches and promotes the value of quality approaches to

others

b) understands own role in the organisation and its scope and

identifies how this may develop over time

c) works as an effective and responsible team member and enables

others to do so

d) prioritises own workload and organises and carries out own work

in a manner that maintains and promotes quality

e) evaluates the quality of own and others’ work and raises quality

issues and related risks with the relevant people

f) supports the introduction and maintenance of quality systems

and processes in own work area

g) takes the appropriate action when there are persistent quality

problems.

Level Indicators:

a) acts consistently with legislation, policies, procedures and other

quality approaches and promotes the value of quality approaches to

others

b) understands own role in the organisation and its scope and

identifies how this may develop over time

c) works as an effective and responsible team member and enables

others to do so

d) prioritises own workload and organises and carries out own work

in a manner that maintains and promotes quality

e) evaluates the quality of own and others’ work and raises quality

issues and related risks with the relevant people

f) supports the introduction and maintenance of quality systems

and processes in own work area

g) takes the appropriate action when there are persistent quality

problems.

Examples of Application : (a) May include: accident/incident reporting,

anti-discriminatory practices, corporate identity,data and information protection and

security,equality and diversity, harrassment and bullying,health safety and security,

moving and handling, risk management / Work closely with other information

analysts and managers to identify good practice and develop links with colleagues

across the community to share and communicate the good practice across the

organisation to improve performance.

(b) & (c) To positively contribute to FACT Finance Department and the wider finance

function to meet overall PCT objectives.

(d) Ability to produce quality work to tight deadlines.

(e) Analysis and communication of all significant risks associated with PbR.

Examples of Application : (a) May include: accident/incident reporting,

anti-discriminatory practices, corporate identity,data and information protection and

security,equality and diversity, harrassment and bullying,health safety and

security, moving and handling, risk management / Work closely with other

information analysts and managers to identify good practice and work with

colleagues across the community to share and communicate the good practice

across the organisation to improve performance.

(b) & (c) To positively contribute to FACT Finance Department and the wider

finance function to meet overall PCT objectives.

(d) Ability to produce quality work to tight deadlines.

(e) Analysis and communication of all significant risks associated with PbR.

(f) Design and adapt spreadsheets / design, implement and review finance

systems. (g) Alert own manager or team leader. Whistle blowing.



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Page 64


EQUALITY AND DIVERSITY


Level : 1 Act in ways that support equality and value diversity


Level : 1 Act in ways that support equality and value diversity

C6

Level Indicators:

a) acts in ways that are in accordance with legislation, policies,

procedures and good practice

b) treats everyone with whom s/he comes into contact with dignity

and respect

c) acknowledges others’ different perspectives

d) recognises that people are different and makes sure they do not

discriminate against other people

e) recognises and reports behaviour that undermines equality and

diversity

Level Indicators:

a) acts in ways that are in accordance with legislation, policies,

procedures and good practice

b) treats everyone with whom s/he comes into contact with

dignity and respect

c) acknowledges others’ different perspectives

d) recognises that people are different and makes sure they do not

discriminate against other people

e) recognises and reports behaviour that undermines equality and

diversity

Examples of Application : (a) May include: age, complaints and issue resolution,

equality, dependant/carer responsibility, diversity (age, racial group, religious belief,

sexuality, political views etc), disability, human rights.

(b) For example, how they like to be addressed and spoken to, the information they

are given.

(c) & (d) Recognise when equality and diversity is not being promoted and doing

something about it / Recognise when someone is being discriminated against and

doing something about it.

(e) Reports to manager/director/responsible officer any behaviour of individuals that

undermines equality and diversity.

Examples of Application : (a) May include: age, complaints and issue

resolution, equality, dependant/carer responsibility, diversity (age, racial group,

religious belief, sexuality, political views etc), disability, human rights.

(b) For example, how they like to be addressed and spoken to, the information they

are given.

(c) & (d) Recognise when equality and diversity is not being promoted and doing

something about it / Recognise when someone is being discriminated against and

doing something about it.

(e) Reports to manager/director/responsible officer any behaviour of individuals that

undermines equality and diversity.



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Page 65


INFORMATION PROCESSING


Level : 2 Modify, structure, maintain and present data and information


Level : 2 Modify, structure, maintain and present data and information

IK1

Level Indicators:

a) inputs, amends, deletes and modifies data and information

accurately and completely consistent with legislation, policies and

procedures

b) establishes requirements and finds requested data/information

using agreed procedures and appropriate sources

c) collates, structures and presents data/information as requested

using agreed systems and formats

d) maintains the integrity of data/information consistent with

legislation, policies and procedures

e) assures the quality of data during modification, structuring and

presentation

f) stores data and information safely and in a way that allows for

retrieval within appropriate timescales

g) keeps the data/information system up to date.

Level Indicators:

a) inputs, amends, deletes and modifies data and information

accurately and completely consistent with legislation, policies and

procedures

b) establishes requirements and finds requested data/information

using agreed procedures and appropriate sources

c) collates, structures and presents data/information as requested

using agreed systems and formats

d) maintains the integrity of data/information consistent with


e) assures the quality of data during modification, structuring and

presentation

f) stores data and information safely and in a way that allows for

retrieval within appropriate timescales

g) keeps the data/information system up to date.

Examples of Application : (a) Design, implement and review finance systems to

support the introduction of PbR financial monitoring, developing practices and

systems to advise long term financial/strategic planning including the analysis and

communication of all significant risks associated with PbR.

(b) To work with finance colleagues to ensure delivery of all statutory and monitoring

returns, including final accounts, to the highest quality and by due deadlines.

(c) To develop, draw up and monitor complex budgets / provide detailed, complex

financial analysis e.g. using SLAM to produce analyses of healthcare expenditure

and in the development of PCLC / design and adapt spreadsheets and databases /

develop and implement procedures for monitoring LES in Primary Care.

(d) & (g) Design, implement and review finance systems.

Examples of Application : (a) Design, implement and review finance systems to

support the introduction of PbR financial monitoring, developing practices and

systems to advise long term financial/strategic planning including the analysis and

communication of all significant risks associated with PbR.

(b) To work with finance colleagues to ensure delivery of all statutory and

monitoring returns, including final accounts, to the highest quality and by due

deadlines.

(c) To develop, draw up and monitor complex budgets / provide detailed, complex

financial analysis e.g. using SLAM to produce analyses of healthcare expenditure

and in the development of PCLC / design and adapt spreadsheets and databases

/ develop and implement procedures for monitoring LES in Primary Care.

(d) & (g) Design, implement and review finance systems.

(e) & (f) ……….to the highest quality and by due deadlines



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Page 66


INFORMATION COLLECTION AND ANALYSIS


Level : 2 Gather, analyse and report a limited range of data and

information


Level : 3 Gather, analyse, interpret and present extensive and/or

complex data and information

IK2

Level Indicators:

a) identifies and agrees:

- the question/issue to be addressed by the data/information

- the nature and quantity of data/information to be collected

- the quality criteria which the data/information should meet

b) effectively uses appropriate methods and sources for obtaining

and recording the data/information

c) confirms that the data/information meets the agreed quality

criteria and takes appropriate action if it does not

d) collates and analyses the data/information using methods

appropriate to:

- the initial questions which the data/information is intended to

answer

- the nature of the data/information

e) reports the data and information at the agreed time using

presentation, layout, tone, language, content and images appropriate

to:

- its purpose

- the people for whom it is intended

- agreed formats and protocols

f) complies with relevant legislation, policies and procedures

throughout

Level Indicators:

a) formulates and agrees with others:

- the questions to be answered and issues to be addressed by

the data/information

- the concepts to be used for data and information collection,

management, analysis, interpretation and reporting

b) identifies appropriate and valid sources which can provide data

and information of sufficient quality and quantity

c) identifies, develops and implements a range of valid, reliable,

cost-effective and ethical methods for addressing the agreed

questions and issues, minimising disruption to the people providing

the data/information and complying with relevant legislation, policies

and procedures

d) defines and implements search strategies for reviewing data and

information and summarising the results

e) monitors the quality and quantity of the data and information

and takes the necessary action to deal with any problems and

maintain data quality

f) collates and analyses data and information using methods

appropriate to:

- the initial questions/issues to be addressed

- the nature of the data and information

g) interprets, appraises and synthesises data and information

appropriately and identifies:

- consistency and inconsistency in outcomes

- any limitations in the analyses used

and continually holds issues raised open to question

h) develops justifiable and realistic conclusions and

recommendations to time and presents them using format, layout,

images and structure appropriate to:

- the needs and interests of the intended audience(s)

- accepted conventions and protocols

- the intended purpose of the presentation

Examples of Application : (a) To develop, draw up and monitor complex budgets

for FACT's responsibilities including the development of reports and procedures to

reflect latest NHS requirements / working closely with other information analysts

Examples of Application : (a) To develop, draw up and monitor complex budgets

for FACT's responsibilities including the development of reports and procedures to

reflect latest NHS requirements / working closely with other information analysts



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and managers to identify good practice and work with colleagues across the health

and social care community to share and communicate good practice across the


(b), (e) & (f) To develop, draw up and monitor complex budgets for FACT's

responsibilities including the development of reports and procedures to reflect latest

NHS requirements e.g. SLA monitoring / ensure delivery of all statutory and


deadlines to include programme budgeting analysis / provide detailed, complex

financial analysis to support the LDP and Capacity Plan

(c) Ensure delivery of all statutory and monitoring returns, including final accounts, to

the highest quality and by due deadlines / design, implement and review finance

systems……..

(d) Providing and receiving highly complex information from GP Practices which

require analysis, interpretation and comparison

and managers to identify good practice and work with colleagues across the health

and social care community to share and communicate good practice across the


(b) & (c) To develop, draw up and monitor complex budgets for FACT's


NHS requirements e.g. SLA monitoring / ensure delivery of all statutory and


deadlines to include programme budgeting analysis / provide detailed, complex

financial analysis to support the LDP and Capacity Plan.

(d) Providing and receiving highly complex information from GP Practices which

require analysis, interpretation and comparison.

(e) Ensure delivery of all statutory and monitoring returns, including final accounts,

to the highest quality and by due deadlines / design, implement and review

finance systems……..

(f), (g) & (h) To develop, draw up and monitor complex budgets for FACT's


NHS requirements / provide detailed, complex financial analysis to support the

LDP and Capacity Plan / design, implement and review finance systems to

support the introduction of Practice Based Commissioning, providing and receiving

highly complex information from GP practices which require analysis, interpretation

and comparison



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FINANCIAL MANAGEMENT


Level : 2 Coordinate and monitor the use of financial resources


Level : 3 Coordinate, monitor and review the use of financial resources

G4

Level Indicators:

a) gives relevant people opportunities to provide information on the

use of financial resources

b) makes and presents to the relevant people recommendations

regarding financial resource use which:

- take account of relevant past experience

- take account of trends and developments

- are consistent with sound financial management

- are consistent with legislation, policies and procedures

c) plans and schedules how agreed budgets will be used

d) identifies any actual or potential deviations from budgets and

recommends corrective action to the appropriate person.

Level Indicators:

a) gives relevant people opportunities to provide information on the

use of financial resources

b) presents recommendations and requests to the relevant people

regarding financial resource use which:

- take account of relevant past experience

- take account of trends and developments

- are consistent with organisational objectives and policies

- are realistic, justifiable and of clear benefit

- are sufficient to support the activities within his/her control

c) negotiates and agrees the allocation of financial resources

d) supports and encourages budget holders to make efficient and

effective use of financial resources

e) plans, schedules, controls and monitors the use of financial

resources against agreed budgets

f) identifies any actual or potential deviations from budgets and

works with the budget holder to find effective ways of handling it

g) reviews the allocation and use of financial resources and agrees

appropriate improvements

h) provides appropriate support to others to improve their

knowledge and understanding of financial resource management.

Examples of Application : (a) Tp provide and receive complex information from GP

Practices and negotiate with them to support the implementation of practice based

commissioning

(b) Plan, design and adapt complex spreadsheets to facilitate financial

benchmarking activity / To provide detailed, complex financial analysis.......through

interpreting information and examining a range of options / To develop and

implement procedures for monitoring Local Enhanced Services in Primary Care

which will impact on Primary Care Contractors / To design, implement and review

finance systems to support the introduction of PbR

(c) & (d) Plan and coordinate monthly reporting procedures / develop, draw up and

monitor complex budgets / develop and implement procedures for monitoring

Enhanced Services in Primary Care / to be an authorised signatory for financial

payments up to £2000

Examples of Application : (a) & (c) Tp provide and receive complex information

from GP Practices and negotiate with them to support the implementation of

practice based commissioning

(b) Plan, design and adapt complex spreadsheets to facilitate financial

benchmarking activity / To provide detailed, complex financial

analysis.......through interpreting information and examining a range of options /

To develop and implement procedures for monitoring Local Enhanced Services in

Primary Care which will impact on Primary Care Contractors / To design,

implement and review finance systems to support the introduction of PbR.

(d) To design, implement and review finance systems to support the introduction of

PbR financial monitoring, developing practices and systems to advise long-term

financial/strategic planning including the analysis and communication of all

significant risks associated with PbR.

(e) & (f) Plan and coordinate monthly reporting procedures / develop, draw up and

monitor complex budgets / develop and implement procedures for monitoring

Enhanced Services in Primary Care / to be an authorised signatory for financial



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payments up to £2000.

(g) Design, implement & review finance systems to support the introduction of PbR

financial monitoring, developing practices & systems to advise long-term

financial/strategic planning including the analysis and communication of all

significant risks associated with PbR.

(h) Provide specialist finance training to non-finance staff / working closely with

other information analysts and managers to identify good practice and work with

colleagues across the health and social care community to share and

communicate the good practice across the organisation to improve performance.



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PEOPLE MANAGEMENT


Level : 1 Supervise people’s work


Level : 2 Plan, allocate and supervise the work of a team

G6

Level Indicators:

a) gives people opportunities to contribute to the planning and

organisation of their work

b) develops and explains plans and work activities to people and

enables them to carry out their work effectively consistent with


c) gives people support and opportunities to assess their own work

and gives them clear, sensitive and appropriate feedback in a way

that helps them improve and develop

d) supports people effectively during the NHS KSF development

review process

e) reports poor performance to a relevant person for them to take

action.

Level Indicators:

a) contributes to the recruitment and selection of team members

to meet organisational needs consistent with legislation, policies

and procedures

b) communicates clearly with team members and gives them

opportunities to:

- contribute to the planning and organisation of work

- assess their own and team work

- respond to feedback

c) develops work plans and allocates work in a way which:

- is consistent with the team’s objectives

- is realistic and achievable

- takes full account of team members’ abilities and development

needs

d) objectively assesses the work of the team and provides clear

constructive feedback to the team in a manner most likely to

maintain and improve performance

e) supports team members effectively during the NHS KSF

development review process and enables them to meet their

development objectives

f) agrees with team members courses of action to address issues

with and at work

Examples of Application : (a) & (b) To line-manage the finance analyst. Regular

meetings of FACT and FACT finance team to discuss work planning and

organisation and any issues

(c) To manage the PDR process with team members. To line manage the finance

analyst, identifiying development needs and training opportunities to meet the

changing needs of the individual and FACT

(d) To manage the PDR process with team members, providing support and advice in

developing KSF outlines and use of the KSF on-line tool

(e) Report any issues to line manager

Examples of Application : (a) To line-manage the finance analyst / to be

actively involved in the recruitment and selection process.

(b) Regular meetings of FACT and FACT finance team to discuss work planning

and organisation and any issues

(c) & (d) See (b) above, constantly reviewing in light of new developments and

procedures.

(e) To manage the PDR process with team members, providing support and advice

in developing KSF outlines and use of the KSF on-line tool.

(f) Identifies development needs and training opportunities to meet the changing

needs of the individual and FACT.



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Document has ended



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Documents

KSF Support Materials for Finance Function & Related Staff ... - Finance Guidance.pdf · KSF Indicators Possible examples of application The worker: a) communicates with a limited