Introduction to Academic Appraisal processes on SOAR www.appraisal.nes.scot.nhs.uk Last updated: 13th August 2014

Outline of this presentation Brief introduction to Academic Appraisal Overview of processes on SOAR Form 4 process – includes Co-Appraiser actions Breakdown of tasks For Appraisers, co-Appraiser and Appraisees Screenshots guidance Important tasks Summary Support

Introduction (1/5) …Academic Appraisal on SOAR For those Appraisees who are Clinical Academics with an honorary role with the NHS, their appraisals will require 2 Appraisers: 1 from the university, 1 from Medical Appraisal The co-Appraiser from the university will/should already be an Appraiser on SOAR This applies to both Primary and Secondary Care

Introduction (2/5) …Differences in Academic Appraisals Those identified as Academic Appraisees will have an additional Academic Form on their Form 3; The Form 4 sign off process will include the co-Appraiser.

Introduction (3/5) …New roles on SOAR Co-Appraiser (the university Appraiser) Included in system emails Has access to submitted Appraisal Forms Involved in the drafting of Form 4 Appraisal Co-ordinator (university admin) Has Admin access to assigned Appraisees Can be included in system emails

Introduction (4/5) …University Administrator The way we differentiate between Health Board Admin and University Admin is via the Appraisal Co-ordinator role: Health Board Admin has access to everyone in their Health Board Appraisal Co-ordinator (University Admin) has access only to those who have been assigned to them

Introduction (5/5) …Initial set up required Academic Appraisees need to be identified Local Health Board Admins assign the University Administrator(s) as “Appraisal Co-ordinator” Pending local arrangements, either Local Admins or University Admins to: assign the Co-Appraiser; and mark Appraisee as Clinical Academic (important – this brings up the Academic Form on Appraisees’ Form 3)

Overview: Academic Appraisal on SOAR Health Board Admin Appraisal Co-ordinator Appraisee Appraiser Co-Appraiser Assign & Link Appraisal Co-ordinator (Uni Admin) Completes Appraisal Forms (inc Academic Form) Reviews submitted Appraisal Docs Create Interview Assign Co-Appraiser (Uni Appraiser) APPRAISAL INTERVIEW Submit Appraisal Forms & Accept Confidentiality Appraiser drafts Form 4 summary... Mark Appraisees as Clinical Academics Optional: Manual trigger of notification email to Appraisee, Appraiser and co-Appraiser

Form 4 process: After Appraiser has drafted Form 4 Appraiser = APR Co-Appraiser = CoAPR Appraisee = APEE Approve and Sign? No Form 4 signed off Yes APR and CoAPR sign-offs are removed, APR and CoAPR receives email notification of change request, Form 4 process repeats with APR editing it as appropriate, and then forwarding to CoAPR etc Has CoAPR signed off? Appraiser APR sends (signed) Form 4 to CoAPR Appraisee Yes If APR makes changes to CoAPR draft, then CoAPR sign off is removed Process completed: automated email confirmations sent No Co-Appraiser Co-APR makes changes, APR sign off is removed, edited Form 4 sent to APR Approve and Sign? Co-APR signs and sends to Appraisee No Yes

Breakdown of tasks (1/4) … First steps Admin Teams Breakdown of tasks (1/4) … First steps Health Board Admins assign Appraisal Co-ordinators (University Admins); and Link Appraisees to Appraisal Co-ordinator(s) Admins (Health Board or Uni) assign co-Appraisers to an Appraisee; and Mark the Appraisees as Clinical Academics This adds the Academic Form to Form 3

Assign & Link Appraisal Co-ordinator (Uni Admin) Completes Health Board Admin Appraisal Co-ordinator Appraisee Appraiser Co-Appraiser Assign & Link Appraisal Co-ordinator (Uni Admin) Completes Appraisal Forms (inc Academic Form) Reviews submitted Appraisal Docs Create Interview Assign Co-Appraiser (Uni Appraiser) APPRAISAL INTERVIEW Submit Appraisal Forms & Accept Confidentiality Appraiser drafts Form 4 summary... Mark Appraisees as Clinical Academics Optional: Manual trigger of notification email to Appraisee, Appraiser and co-Appraiser

(1) Assigning University Admins as Appraisal Co-ordinator University Admins probably won’t have a SOAR login In which case, click to create “New User” If they are on SOAR already, then you just add “Appraisal Co-ordinator” to their roles

Click on New User Add Name, Email, dummy GMC number (MUST prefix with initials), and Login name / password Finish by clicking Save

When Saved, click on “Roles” to add Co-ordinator role

Select “SC Appraisal Co-ordinator” under Role Click “Add New Role” Click “Save”, and you should see “Saved successful” message

(2) Linking Appraisal Co-ordinator(s) to Appraisees Once Appraisal Co-ordinators have been assigned, they need to be linked to the Academic Appraisees This allows them to manage their appraisees Assign co-Appraisers Mark Appraisees as Clinical Academics Kept informed of appraisal process (via Form 4 automated emails) Linking can be done either individually or as batch operation

Link Appraisees to Appraisal Co-ordinators (1/3) To allocate multiple Appraisees to one Co-ordinator, click on “Appraisee Assignment” Sort the list according to the column headings Select the Appraisees via tick box on the left Expand the “Assign new Appraisal Co-ordinator” function Select the Appraisal Co-ordinator from the dropdown menu, and Submit We will be implementing a more flexible search filter in the future to make this more user friendly

Link Appraisees to Appraisal Co-ordinators (2/3) To allocate individual Appraisees to Co-ordinator(s), you can either click on “Assignment details” from the current page Or you can click on “Appraisees” or “User Search” to look up a particular Appraisee and click on their name from the list

Link Appraisees to Appraisal Co-ordinators (3/3) Click on “Appraisee” tab (either SC or PC) to bring up the user’s Appraisee details Select the Appraisal Co-ordinator in the dropdown Click “Add Coordinator” Appraisal Co-ordinator is listed below

(3) Assigning Co-Appraiser & (4) Identifying Clinical Academics When Appraisal Co-ordinators (Uni Admins) have been set up and linked, the next steps are: Assign a Co-Appraiser to an Appraisee Mark Appraisee if they are Clinical Academics Done either by the Health Board Admins, or the newly added Appraisal Co-ordinators (Uni Admins)

Ensure you are in the “Appraisee” tab Appraiser Assignment should already be made You can’t assign a co-appraiser without the main appraiser first The co-appraiser can either be from Primary or Secondary Care, choose carefully from the dropdown menus for the correct co-appraiser If they are Clinical Academics, tick the box Click Save when finished Click on “Notify” button to trigger system email so the Appraisee, Appraiser, co-Appraiser and former Appraiser knows about the new assignments

Breakdown of tasks (2/4) … after Co-Appraiser has been assigned Appraisee Breakdown of tasks (2/4) … after Co-Appraiser has been assigned Usual appraisal processes take place on SOAR Meeting date/time/location to be agreed by all 3 participants Main Appraiser logs in to create interview on SOAR Appraisee logs in; completes Appraisal Forms 1-3 and uploads any supporting information as required

Breakdown of tasks (2/4) … after Co-Appraiser has been assigned Appraisee Breakdown of tasks (2/4) … after Co-Appraiser has been assigned Usual appraisal processes take place on SOAR Appraisee submits the completed Appraisal Forms to the interview page (step 2) in order to share them with Appraisers A read-only snapshot of the forms is created in the interview page (auto email to Appraiser and Co-Appraiser) Appraisee can resubmit the forms if they wish (additional supporting information; missed questions on Appraisal Forms etc)

Assign & Link Appraisal Co-ordinator (Uni Admin) Completes Health Board Admin Appraisal Co-ordinator Appraisee Appraiser Co-Appraiser Assign & Link Appraisal Co-ordinator (Uni Admin) Completes Appraisal Forms (inc Academic Form) Reviews submitted Appraisal Docs Create Interview Assign Co-Appraiser (Uni Appraiser) APPRAISAL INTERVIEW Submit Appraisal Forms & Accept Confidentiality Appraiser drafts Form 4 summary... Mark Appraisees as Clinical Academics Optional: Manual trigger of notification email to Appraisee, Appraiser and co-Appraiser

(6) Main Appraiser create Interview on SOAR (1/2) Login (as Appraiser) Click on “Interviews” Click on “New Interview”

(6) Main Appraiser create Interview on SOAR (2/2) Select Appraisee If Co-Appraiser is assigned, they will appear automatically Enter location Select Relevant Period (fiscal year) of WHEN interview is scheduled, NOT what material is discussed; That is done in the “Review Period” box below Enter Date and Time Add any additional comments (if applicable) Finish by clicking on Save Optional: button will appear afterwards near top right hand corner to send automated email confirmation

(7) Appraisee completing Appraisal Forms (1/2) Appraisee logs in Clicks on Forms 1-2 Clicks on Form 3 Save button provided on both forms (Appraisees not expected to complete forms in one sitting) Form 3 documents the appraisee’s supporting information (file attachments / uploads) In this example we have used Secondary Care appraisal forms. Primary Care forms are different in content, but same in approach.

(7) Appraisee completing Appraisal Forms (2/2) Form 3 is split into different sections: 4 Domains Health, Probity, Complaints Statements have been lifted out as separate sections As has Personal Development Plan (PDP) section Academic Appraisees should see an additional “Academic Medicine” section Complete all the sections (including uploading of supporting information in the Domains) – use Save button Once all forms are completed, the last step is to SUBMIT the completed forms to the interview so they are shared with Appraiser (the interview will have been added by the Appraiser in step 2)

(8) Appraisee submits completed Forms Go to interview details page (from “My Interviews”) Scroll to bottom of page Click on “Accept” button to accept the Confidentiality Statement Click on “Submit Appraisal Forms 1-2 and 3” button to submit forms Read-only copy of forms is created for the interview System notifies Appraiser (and Co-Appraiser) via email You can re-submit (additional documents, missing answers on form etc), but contact your Appraiser FIRST

Breakdown of tasks (3/4) … after Appraisal Forms are submitted Appraiser Breakdown of tasks (3/4) … after Appraisal Forms are submitted Appraiser reviews the submitted forms and supporting information Appraisal takes place as scheduled After the appraisal: Appraiser creates and drafts the Form 4 summary (from interview details page in step 2) Appraiser forwards the (completed) Form 4 to Co-Appraiser for review and sign off When Form 4 has been approved by both Appraisers, it is then sent to the Appraisee for their review and sign off

(11) Appraiser creates Appraisal Form 4 (1/2) Click on “Interviews” from the menu, which will bring up a list of all your scheduled appraisal meetings Click on the notepad icon to go to the interview’s details page

(11) Appraiser creates Appraisal Form 4 (2/2) When you are in the interview details page, click on “Create Form 4” button A new tab for “Form 4 (Draft)” will appear along the top, and you are redirected automatically to it.

(12) Appraiser forwards Appraisal Form 4 Form 4 is split into 3 sections: Summary Assessment of Documents PDP Expand each section to complete Same as for Appraisees, Appraisers are not expected to complete this in one sitting -use the Save button when working on the form When finished, click “Approve and Forward to CoAppraiser” System will notify Co-Appraiser via email

Form 4 process: After Appraiser has drafted Form 4 Appraiser = APR Co-Appraiser = CoAPR Appraisee = APEE Approve and Sign? No Form 4 signed off Yes APR and CoAPR sign-offs are removed, APR and CoAPR receives email notification of change request, Form 4 process repeats with APR editing it as appropriate, And then forwarding to CoAPR etc Has CoAPR signed off? Appraiser APR sends (signed) Form 4 to CoAPR Appraisee Yes If APR makes changes to CoAPR draft, then CoAPR sign off is removed Process completed: automated email confirmations sent No Co-Appraiser Co-APR makes changes, APR sign off is removed, edited Form 4 sent to APR Approve and Sign? Co-APR signs and sends to Appraisee No Yes

Co-Appraiser reviews forwarded Form 4 (1/2) Co-Appraiser logs in (using existing SOAR Appraiser login) Navigate to Form 4: Either via link in email, or Click on Interviews, from the list, click on appropriate Form 4 The interviews listed also indicate the Co-Appraiser status (under the “Co” column): U = You are the Co-Appraiser Yes = Co-Appraiser involved No = No Co-Appraiser involved

Co-Appraiser reviews forwarded Form 4 (2/2) Co-Appraiser reviews Form 4 If changes are required: click on “Unlock for Editing” proceed to make the necessary changes when finished, click on “Approve and Return to Appraiser” If happy with the form, then simply click on “Approve and Forward to Appraisee”

Breakdown of tasks (4/4) … after Form 4 has been forwarded Form 4 is sent to Appraisee after both Appraisers have approved it Appraisee reviews draft Form 4 If Appraisee wants changes made, they click "Change Request" button and detail accordingly in the popup box. The system will unlock the form for the Appraiser to make the necessary changes and re-forward to the Co-Appraiser, and then to the Appraisee. If Appraisee is happy with the content of the form, they click "Approve Form 4" and the interview is marked as completed - the system sends an automated email to both Appraisers, Appraisee, and local Admins (inc university) to confirm the interview has taken place and Form 4 has been completed.

(14) Appraisee sign-off of Form 4 Appraisee reviews each section on Form 4 (click “Expand” to view full section) After review: If amendments are needed, appraisee clicks on “Change Request” button and enters details in popup box Form 4 is then unlocked and Appraiser is notified of change request. Appraiser then logs in to make the necessary edits and re-forward to Co-Appraiser, and then Appraisee. If happy with Form 4, Appraisee approves it, and the process is marked as completed. Auto email sent to Appraisers, Appraisee and Health Board and University Admin teams

Important Tasks (1/3) For Health Board Admins Assign Logins Assign Appraisal Co-ordinators (University Admins) Allocate Appraisal Co-ordinators to Appraisees Allocate Appraisers and Appraisees For University Admins (Appraisal Co-ordinators) Assign logins Assign Co-Appraisers to Appraisees Mark if Appraisees are Academic Appraisees

Important Tasks (2/3) For Appraisers For Co-Appraisers Create Interviews Review Appraisal Forms / Docs Appraisal Form 4 (create and forward) For Co-Appraisers Review Appraisal Forms / Docs Appraisal Form 4 (approve and forward)

Important Tasks (3/3) For Appraisees Complete Forms 1-2 Upload supporting information Go to Interview page: Agree Confidentiality Statement Submit Appraisal Forms Sign off Form 4

Further support Medical Appraisal Scotland website: www.appraisal.nes.scot.nhs.uk Resources, FAQ and other useful sections Local Administration teams: Contact details on Medical Appraisal Scotland SOAR Helpdesk Black “Help” box on right when logged into SOAR; or SOAR@nes.scot.nhs.uk Due to capacity issues we are unable to offer telephone support You can request a call back via the Helpdesk – but we need detailed descriptions of the issue(s) 42