1.6.1 Appraisal and evaluation are stages in the general management of projects, programmes and policies. Responsibilities for carrying out appraisals and evaluations should be clearly defined. Departments should ensure that appropriate procedures are in place, and that they are properly applied and kept up to date. It is essential that staff engaged in Project Evaluation and resource decisions recognise the need to undertake appraisal and evaluation, seek specialist help where appropriate and ensure that appraisals and evaluations are carried out.
1.6.2 Conducting an assessment can be resource-intensive. Appraisals and evaluations should be carried out collaboratively wherever possible between stakeholders, but lead responsibilities need to be well defined, and accountability for accuracy and thoroughness clearly understood. Carrying out assessments should never be regarded as a specialist activity, and therefore sidelined.
1.6.3 It should generally be the responsibility of NHSScotland bodies to take the lead in carrying out appraisals, drawing on expert advice, where appropriate.
1.6.4 In order to ensure an independent and objective approach, evaluations should be led by individuals or teams who have had no responsibility for or involvement in the management or implementation of the proposal under consideration. However, they must have the co-operation of those who have been involved and possess the necessary information.
1.6.5 NHSScotland bodies should consider how appraisals and evaluations are integrated with decision-making processes and governance structures. To ensure a coordinated approach to conducting assessments, the Green Book encourages consideration of:
• Establishing formal evaluation or assessment units, or other centres of technical expertise;
• Formalising access to internal and external auditors. In complex cases, it may be helpful to discuss appraisal methodology with SGHD Capital Planning & Asset Management Division or Analytical Services economists;
• Providing incentives for conducting thorough and timely appraisals; and evaluations; and
• Maintaining an accessible archive.
1.6.6 For individual assessments, early consideration should be given to:
• The availability and cost of financial and specialist resources that may be needed;
• The possible need for quality assurance, for example, by economists and other experts and by service providers;
• How the findings are to be disseminated (e.g. business cases, strategic reviews, publication of assessments; dissemination via web sites, etc);
• The possibility of deferring a proposal pending further research; and,
• Establishing a project plan for the assessment, setting out key milestones, resources and work streams.
1.6.7 Economists from Analytical Services in SGHD have an important role to play. They can advise on the full range of issues relating to business cases, including for example appraisals, feasibility studies, business plans and evaluations. They can supply advice on the appropriate techniques to use, help to draft terms of reference, provide quality assurance, assist with the selection and management of external consultants and help to undertake relevant analysis. Where possible, those undertaking appraisals, evaluations and other studies should be independent of those quality-assuring them.
1.6.8 It is particularly important to involve economists in the more costly, complex or contentious cases before committing resources to them. Arrangements already exist for NHSScotland bodies to engage with the Capital Investment Group (including economists) informally for all cases requiring SGHD approval. NHSScotland bodies are therefore advised to take account of their views before submissions are made to SGHD via the business case process.