Step by Step Guide for Appraisal in Secondary Care

This step-by-step guide highlights the basics of Medical Appraisal in Scotland for Secondary Care users using the online appraisal forms on SOAR.

You need to complete three main forms, Appraisal Form 1, 2 and 3. The forms are completed online via SOAR.  With the prior agreement of the Appraiser and Appraisal Lead, you may obtain these forms as electronic copies (MS Word) from the Appraisal Forms page instead and submit these without using SOAR - but this is NOT recommended.

Appraisal Form 1 - Background Details

  1. Review and update the questions/answers in Appraisal Form 1. The aim of Form 1 is to provide basic background information about you as an individual, including brief details of your career and current professional status.
  2. You may upload a copy of your most up-to-date CV as additional information (this is optional).
  3. Information provided on Form 1 is retained for future appraisals, so you only have to update this form for subsequent appraisals if anything has changed from the previous year.

Appraisal Form 2 - Current Activities

  1. Appraisal Form 2 records details of your current work activities.  Review and update the details on this form accordingly.
  2. If you have a copy of your current Job Plan, you can upload and share it with your appraiser.
  3. If you practice in several institutions, ensure you provide details of each one.  In Appraisal Form 3, you are required to provide supporting information for all the institutions listed.
  4. Similar to Form 1, information provided on Form 2 is retained for future appraisals, to save you from having to re-enter the same/similar information in subsequent appraisals.

Appraisal Form 3 - Supporting Information

  1. Appraisal Form 3 is structured so that you can upload and document all your supporting information according to the GMC's 4 domains.
  2. For each piece of supporting material you upload, a short one-line description of the file is required, for example, "SEA 2012", "Audits 2011", "(Structured) Reflections on Complaints", "Course attendance certificate" etc.
  3. If you practice in several institutions, ensure you provide the following for each one:
    • Number and Type of cases;
    • Any audit or outcome data for any private practice;
    • Details of any adverse events, critical incidents;
    • Details of any investigations into the conduct of your clinical practice or working relationships with colleagues.
  4. You are also required to submit a Personal Development Plan (PDP) proposal for the next year, which is recorded as part of Appraisal Form 3.
    • The learning items from your proposed PDP will populate Form 4 (appraisal summary) so that the Appraiser can edit/amend accordingly following your appraisal meeting discussions;
    • When Form 4 has been signed off, the agreed learning items will populate your Form 3 as your PDP for the new year.
  5. In addition, you are required to make a declaration on the following statements:
    • Health
    • Probity
    • Complaints / Critical Incidents
  6. Supporting Information may include:
    • Certificates for any educational activities you participated in, such as courses, online learning or new qualifications **
    • Guidelines or aide memoires that you have produced as a result of your learning
    • Audits of your work that demonstrate integration of your learning
    • Presentations that you have undertaken to share your learning with colleagues
    • Your reflections from a particular incident or experience that you wish to discuss at the appraisal
  7. Supporting Information must include the required Core Elements (see Supporting Information for further details)
  8. Once Forms 1-2 and 3 have been completed, you MUST submit them on the Interview page in order to share them with your appraiser.

For guidance on what supporting information to submit for your appraisal, please review the Appraisal Toolkit for assistance.  Please visit your College's website for specialty specific guidance.

If you are unclear about any aspect of your appraisal or the material you should present, contact your appraiser for further discussion as soon as possible.

If you have not arranged an appraisal interview meeting with your appraiser yet, please do so ASAP and ensure this is added to SOAR.  It is recommended that you give a minimum of 6 weeks' notice to allow your appraiser sufficient time to review all the information you have submitted.

After you have completed all the Appraisal Forms and uploaded all the supporting information required, there are two last things you need to do:

Acceptance of the Confidentiality Statement, and submission of the Appraisal Forms.

NB - an interview meeting needs to be added on SOAR before you can accept and confirm the Confidentality Statement and submit the Appraisal Forms.  This is normally done by the Appraiser.  If your scheduled meeting is not on SOAR, liaise with your appraiser to get this added so that you can submit your forms for sharing.

** Most training courses now provide electronic copies of attendance / qualification certificates.  However, some will still provide paper copies.  If you have a large amount of paper certificates, discuss this with your appraiser, and if agreed, simply list / document your certificates on SOAR and bring them with you on the day of your appraisal.  This will save you from having to scan and upload these individual documents.

Confidentiality Statement - Acceptance

Appraisers are obliged to respect the confidentiality of appraisal discussions. The only exception to this is where serious and significant issues are raised which, under the obligations of Good Medical Practice, the GMC require that confidentiality must be breached in the interests of patient safety. In such a case, appraisal information would only be shared with the appropriate authorities, and only to the extent necessary to protect patient safety.

Appraisers are required to outline their responsibilities relating to confidentiality at the start of each interview.  Before the actual interview meeting can take place, you, the appraisee, MUST accept the following Confidentiality Statement:

  • An agreed summary of the appraisal will be created (Form 4) and this will be available to future appraisers, the Appraisal Lead and the Responsible Officer.  Those with the Appraisal Co-ordinator role on SOAR (designated Associate Medical Directors and Clinical Directors etc) will also have access to Form 4s but only for those Appraisees allocated to them by their Board on the system.
  • The Responsible Officer, or their delegated representative, may request access to all the documentation relating to an appraisal in order to obtain the necessary information to make a recommendation to the GMC regarding the revalidation of the doctor's licence to practice.
  • The GMC may request access to all the documentation relating to an appraisal in order to obtain the necessary information to make a decision regarding the revalidation of the doctor's licence to practice.
  • In the event of serious and substantial concerns regarding patient safety, as a result of an appraisal interview, an appraiser may wish to consult with the Appraisal Lead and/or Medical Director regarding the appropriate course of action. The appraisee will be informed if the appraiser believes this to be necessary. In this situation information which was disclosed during the appraisal may be passed on to the appropriate authority, if it is deemed necessary.

To accept the Confidentiality Statement, go to your interview details page, and click on the "Accept" button near the bottom of the page.

Appraisal Forms - Submission

After accepting the Confidentiality Statement, the last thing you need to do is to submit your Appraisal Forms.  You do this by clicking on the "Submit Appraisal Forms" button immediately underneath the Accept Confidentiality Statement section.

By confirming the Appraisal Forms, a snapshot (read-only) copy of your Appraisal Forms 1-3 will be created and added as part of the Interview Details, allowing your appraiser to review the submitted material.

The snapshot Appraisal Forms will remain with the interview and be archived with it once the appraisal process is completed, helping you to keep all your appraisal records in one centralised location.

Appraisal Forms - Re-submission

If you wish to edit the Forms after you have submitted them, you can do so but you need to inform the Appraiser of this BEFORE you resubmit the forms. You can edit and resubmit your Appraisal Forms until the Appraiser forwards the draft Form 4 to you for review.

The "Resubmit Appraisal Forms" button will be enabled underneath the Submit button after you have submitted your forms.

After the Appraisal Interview - Appraisal Form 4 (Summary)

After the appraisal meeting(s) is over (you may have more than one appraisal meeting, but it will only count as one appraisal in the relevant year for Revalidation purposes), the Appraiser will draft the Form 4, a summary of the appraisal.  When the Appraiser has finished drafting Form 4, the system will send you an automated email requesting you to review and sign off the Form.  When this is signed, the appraisal process is then marked as completed, and the details will be archived accordingly.

For the future

This page was last updated on: 15/05/2015