· Web viewThe guidance notes attempt to help and guide the appraisee in the preparation of their peer appraisal and completion of the supporting documentation. They do not however,

West Midlands Workforce Deanery

West Midlands Deanery Appraisal for General Dental Practitioners, Dental

Therapists and Hygienists

2012

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Introduction

This pack includes the documentation necessary for your annual appraisal.

There are five forms:

Form 1 Personal Details

Form 2 Current Dental Activities

Form 3 Preparation for Appraisal

Form 4 Appraisal Form

Form 5 Appraisal Review Form

They should be completed by you before the appraisal discussion and given or sent to your appraiser(s) at least 10 working days prior to your appraisal meeting. The first two forms are brief and factual. Form 3 requires care. You are invited to submit documents in support of Form 3 and these will need to be assembled.

Form 3 is prefaced with explanatory notes.

Some of the material you provide now will carry forward without further work to future appraisals.

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Annual appraisal for dentists, dental therapists and hygienists

FORM 1: PERSONAL DETAILS

Name

Address and telephone number of location of your main clinical activity

Qualifications UK or elsewhere, with dates

GDC Registration Type now held, registration number and date of first full registration

Date of commencement of clinical care in main location

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Other current posts Please list any other current appointments with (1) starting dates (2) average time spent on them

Previous posts in the last five years, with dates

Other relevant personal details Please give any other brief information you wish that helps to describe you e.g. membership of professional groups or societies

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FORM 2: CURRENT DENTAL ACTIVITIES

This form requires a brief and factual description of the work you do in the practice and in other posts. You will be able to give more detail later.

Name

Practice details

Please summarise the ‘in-hours’ activities you undertake in your practice

Emergency, on-call and out-of-hours work

Brief details of other clinical work.

Any other non clinical work that you undertake as a dental professional e.g. teaching management, research,

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Work for regional, national or international organisations

Other professional activities

FORM 3: PREPARATION FOR APPRAISAL

This form, and the papers you supply with it, will be the main basis of your appraisal. It is organised around the headings used by the General Dental Council in "Standards for Dental Professionals". It is strongly recommended that you look at this document as a prompt. The same headings will be used to summarise your appraisal discussion.

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The wording under each heading differs, but typically you are asked to provide:

a commentary on your work an account of how your work has improved since your last appraisal your view of your continuing development needs a summary of factors which constrain you in achieving what you aim for

It is not expected that you will provide exhaustive detail about your work. But the material should convey the important facts, features, themes or issues, and reflect the full span of your work as a dentist within and outside the NHS. The form is a starting point and framework to enable you and your appraiser to have a focused and efficient discussion about what you do and what you need. It is a tool, not an examination paper or application form, and it can be completed with some flexibility. Common sense should be exercised if you feel you are repeating yourself, or if you want to include something for which there is no apparent opportunity. And if a section or a page really needs only a word or two there is no need to do more.

The work you put into completing this form is your main preparation for appraisal, and the value of your appraisal will largely depend on it. It will also be an important part of your appraiser’s preparation.

The form is fairly open-ended, although some prompts and suggestions are supplied to help you. Please expand the spaces available as necessary, or attach extra sheets.

You are invited to submit documents in support of what you say in the form. You are not expected to “prove” your assertions about your work, but your appraiser will probably want to test some of them with you through discussion and the documents will help both of you.

The papers you assemble in support of the form should be listed in the appropriate spaces and supplied for your appraiser in a folder, organised in the same order. If the same material is listed in the form more than once, to illustrate different points, do not include it twice in the folder but explain on the form where it is to be found.

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Name

Practice

1. Good clinical careCommentary – what do you think are the main strengths and weaknesses of your clinical practice?

Examples of documentation you might refer to and supply: up-to-date audit data; prescribing analyses; PCT clinical governance reviews; relevant clinical guidelines; records of any dental peer review and audits; any complaints and records of their investigation; an ‘in-house’ monitoring materials you use for example good examples of practice or near misses. Have you any experiences/ incidents that you have learnt from and that have changed your practice.

What do you think are your clinical care development needs for the future?

This is in preparation for agreeing a PDP.

What factors in your workplace or more widely, constrain you significantly in achieving what you aim for in your clinical work?

It may be constructive to focus on issues that can be addressed locally.

Documents list

1.2.

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2. Put patients' interest first and act to protect them

Commentary - what do you think are the main strengths and weaknesses of your relationships with patients, particularly with regard to complaints, incidents and professional practice?

Examples of documentation you might refer to and supply: any complaints material, including your handling of it; appreciative feedback; patient survey results; peer reviews, protocols e.g. for handling informed consent.

What would you like to do better? What do you think are your current development needs in this area?

This is in preparation for agreeing a PDP

What factors in your workplace or more widely constrain you in achieving what you aim for your patient relationships?

What can be addressed locally?

Documents list

1.2.

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3. Respect patients' dignity and choices

Commentary - what do you think are the main strengths and weaknesses of your relationships with patients with reference to equality and diversity, communication and providing effective information?

Examples of documentation you might refer to and supply: information for patients about your service, patient satisfaction surveys

What would you like to do better? What do you think are your current development need in this area?


What factors in your workplace or more widely significantly constrain you in achieving what you aim for in your patient relationships?


Documents list

1.

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4. Protect the confidentiality of patients' information

Commentary - what do you think are the main strengths and weaknesses of your record keeping, confidentiality and information sharing?

Examples of documentation you might refer to and supply: records of any peer reviews, record keeping audits (NHS contract monitoring reports) current confidentiality practices

What would you like to do better? What do you think are your current development need in this area?


What factors in your workplace or more widely significantly constrain you in achieving what you aim for?


Documents list

1.2.

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5. Co-operate with other members of the dental team and other health colleagues in the interests of patients

Commentary - what do you think are the main strengths and weaknesses of your relationships with colleagues?

Examples of documentation you might refer to and supply: a description of the team structure in which you work; records of any peer reviews of systematic feedback; information about any problems that have arisen between you and colleagues

What would you like to do better? What do you think are your current development needs in this area?


What factors in your workplace or more widely significantly constrain you in achieving what you aim for in your colleague relationships?


Documents list

1.

2.

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6. Maintaining your professional and competence knowledge

Commentary - what do you think are the opportunities or barriers to maintaining your professional competence?

Examples of documentation you might refer to and supply: any informal supervision or mentoring, any recorded feedback, attendance at education and training events

Would you like to do more? What would you like to do better? What do you think are your current development needs?

This is in preparation for agreeing a PDP.

What factors constrain you in achieving what you aim for?

Arranging cover, for example. What can be addressed locally?

Documents list

1.

2.

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7. Be trustworthy

Before filling in this section, please read the relevant section of the GDC document “Standards for Dental Professionals.”

Clearly, this is a difficult area to provide objective, written evidence. In many ways the information and feedback you’ve provided in the other sections will give an indication of your trustworthiness (patient confidentiality for example).

We suggest you use this as an opportunity to reflect on what it means to be part of a profession.

You may find it helpful to consider the following questions:

What does it mean to me to be considered by society as being a member of a profession?

What do I do to justify my patient’s trust in me? Has my professionalism or trustworthiness been questioned in work or out in the past

year? Were those questions justified?

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GDC Mandatory CPD Requirements

Medical Emergencies (and basic life support) (10 hours in a 5 year period)

Basic life support attendance certificate/ date:

Other medical emergency training (if applicable):

Disinfection and Decontamination (5 hours in a 5 year period)

Decontamination training certificate/date:

Radiography and Radiation Protection (5 hours in a 5 year period)

Training certificate/ date:

Other CPD Activity

Legal and Ethical Issues (Consent, confidentiality, employment law, health and safety)

Complaints Handling

Child Protection/ Vulnerable Adults

CPD Declaration to the GDC

Date of last declaration:

Number of CPD hours declared:

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Overview of development during the year

With your Personal Development Plan in mind, please look back over the previous sections. How well have you achieved the goals agreed last year? Where you did not succeed, can you describe the reasons?

Overview of development needs

Please summarise what you think your main development needs are for the coming year. Where relevant, how will the reasons for not succeeding last year be overcome?

Overview of constraints

Please summarise the chief factors that you have identified as addressable constraints

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Sign off

We confirm that the above information is an accurate record of the documentation provided by the appraisee and used in the appraisal process, and of the appraisee’s position with regard to development in the course of the past year, current development needs, and constraints.

Signed:

Appraisee:

Appraiser:

Date:

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FORM 4: PERSONAL DEVELOPMENT PLAN

Using the template provided here, the appraiser and appraisee should identify key development objectives for the year ahead which relate to the appraisee’s personal and/or professional development and to ensure that mandatory GDC CPD requirements are met. They will include action identified in the summary above but may also include other development activities agreed or decided upon in other contexts. Please indicate clearly the timescales for achievement.

The important areas to cover are:

action to maintain skills and the level of service to patients action to develop or require new skills action to change or improve existing practice

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PERSONAL DEVELOPMENT PLAN TEMPLATENAME: DATE:

This plan should be updated whenever there has been a change – either when a goal is achieved or modified or where a new need is identified. The original version should also be retained for discussion at the next appraisal.

What development needs have I?

How will I address them

Date by which I plan to achieve the development goal

Outcome Completed

Explain the need. Explain how you will take action, and what resources you will need?

The date agreed with your appraiser for achieving the development goal.

How will your practice change as a result of the development activity?

Agreement from your appraiser that the development need has been met.

1.

2.

3.

4.

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Sign off

We agree that the above is an accurate summary of the appraisal discussion and agreed action, and of the agreed personal development plan.

Signed:

Appraiser: (GDC Number)

Appraisee:

Date:

Please record here the names of any third parties that contributed to the appraisal and indicate the capacity in which they did so.

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Guidance Notes

For

Dental Professionals

Participating

In Appraisal

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Introduction

Appraisal is a two-way process, and an excellent method of assisting in the management of the performance of individuals. It can provide feedback for both the appraisee and the appraiser, and offers a formal opportunity to raise and deal with issues that are often not dealt with because of the pressures of day-to-day work. It is also one of the best methods of demonstrating to an individual that you value their contribution to an organisation and are seriously interested in helping them to develop so they can achieve their potential and thus assist the business in achieving its potential.

The guidance notes attempt to help and guide the appraisee in the preparation of their peer appraisal and completion of the supporting documentation. They do not however, provide all the answers an appraisee may have about this process as the appraisee is required to reflect on their work and professional life. The appraisal process is confidential between the appraiser and the appraisee. There are five forms that are used for the appraisal:

Form 1: Personal DetailsForm 2: Current Dental activitiesForm 3: Preparation for appraisalForm 4: Appraisal FormForm 5: Appraisal Review Form

Form 1 and 2 are brief and factual about you and your practice. Form 3 is the basis for the appraisal discussion. This form and the papers you supply with it will all be the main basis for your appraisal.There are seven sections, of which six are based on the headings used by the General Dental Council. In Standards for Dental Professionals and it strongly recommended that you look at these documents as needed. The same headings will be used to summarise your appraisal discussion.

On the CPD form you can indicate where you are with regards to the General Dental Council’s mandatory CPD requirements.

The wording under each heading differs, but typically you are asked to provide:

A commentary of your work An account of how your work has been maintained or improved since your last appraisal Your view of your continuing development needs A summary of the factors which constrain you in achieving your aim

It is not expected that you will provide exhaustive detail about your work, but the material should convey the important facts, features, themes or issues, and reflect the full span of your work as a dentist within and outside the NHS.

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The Appraisal Process

The appraisal meeting should take about two hours, and should be conducted in a relaxed and undisturbed environment. It is a confidential discussion and therefore the venue is important to ensure confidentiality. You should agree a mutually convenient venue with your appraiser, at an agreeable time of the day. Most appraisals take place in the early evening after work.

You should ensure that your appraisal documents and a list of your supporting evidence is sent or taken to your appraiser within 14 working days before your appraisal. Your supporting evidence will need to be taken to your appraisal interview.

The appraisal discussion follows a pattern:

1. Introductions and explanations2. Appraisal discussion3. Reflection break4. Completion of Form 45. Completion of PDP

The reflections break is important to allow both the appraiser and appraisee to marshal their thoughts ready for the completion of the PDP and Form 4. Take the opportunity to think about what was said during the discussion to help you consider your development needs for the coming year and how you will complete your PDP.

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Personal Development Plans

You need to decide on your objectives for the coming year. Do not try to cover everything that comes to mind.

List the options that you have thought about and choose what you think is most relevant and achievable. The form is the starting point and framework to enable you and your appraiser to have a focussed and efficient discussion about what you do and what you need. It is a tool, not an examination paper or application form, and it can be completed with some flexibility.

Common sense should be exercised if you feel you are repeating yourself or if you want to include something for which there is no apparent section. If a section or a page really needs only one word or short phrase there is no need to say any more.

The effort you put into to completing this form is your main preparation for appraisal, and the value of your appraisal will largely depend on it. It will also be an important part of your appraisers’ preparation. The form is fairly open ended, although there are some prompts and suggestions to help you. If you need more space please attach extra sheets.

You are asked to submit documentary evidence in support of your comments on the form. You are not being asked to prove your assertions about your work, but your appraiser will probably want to discuss some of them with you during the discussion and your documents will help.

Please assemble any supporting evidence in order of the headings and list them in the appropriate spaces. They want to be placed in order in a folder to be given or sent at the same time as you submit your forms. Do not duplicate any evidence to fit with the sections just indicate it in the appropriate list.

This document is designed to give you some more assistance in filling in the form 3 of your appraisal documentation. The GDC’s ‘Standards for Dental Professionals’ should be read alongside this form.

For each section of the form there are a number of questions that you may wish to reflect upon before you attempt to fill in the form. There is also a list of suggested evidence. This list is not meant to be either prescriptive or restrictive, but merely a suggestion.

If you have any questions or concerns, you are encourages to contact your appraiser.

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Your PDP should follow the SMART concept of action:

S PECIFIC

M EASURABLE

A CHIEVABLE

R ELEVANT

T IMED

Your PDP is then completed by yourself, it is not required that you fill in every box. Just be realistic about what you think you can achieve in the next 12 to 24 month period.

Your appraiser will complete Form 4, which is a summary of the discussions. You will be asked to read it and then if you are both satisfied with the summary you need to sign it.

You will retain forms 1 and 3 and it is advised that you take a photocopy of the Form 4 and your PDP and keep all these documents safe ready for your next appraisal. At the next appraisal your previous PDP will be reviewed as part of the next appraisal.

Good luck with your appraisal.

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Section 1: Good Clinical Care

This section looks at your clinical practice and asks the basic question – ‘how good is my dentistry?’To assist you in reflecting on your current clinical practice you may wish to consider the following clinical areas:

Restorative (direct placement) Crown and bridge Removable prosthodontics (full and partial) Extractions and surgical dentistry Root canal therapy Consultation, diagnosis and treating planning Children’s dentistry Evidence based preventative practice The ageing mouth

You may want to include other areas of your practice such as special care dentistry, orthodontics and cosmetic surgery.

Suggested evidence/documentation:

Audit data PCT clinical governance reviews (as appropriate) Relevant clinical guidelines you use Records of any significant events audits CPD records on clinical topics Evidence of further qualifications Critical incident reports or near misses Any plaudits you have received ‘In house’ or personal monitoring materials Participations in evidence based prevention programmes.

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Other suggested sources of supporting documentation

These are some suggestions for supporting documentation. It is neither prescriptive nor restrictive. It is up to you what you feel is appropriate. The better the evidence provided, the more that will be gained from the appraisal discussion for both you and your appraiser.

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Patient surveys Other patient feedback (letters, cards) Staff surveys NHS contract monitoring reports Complaints protocols and records Significant event reports Minutes from practice meetings Audit results Peer review projects CPD records Sample (anonymised) clinical records Sample (anonymised) referral letters Post graduate qualifications BDA good practice Denplan Excel Investors in people Practice protocols (evidence that these are customised to own practice and

have been supported where appropriate with staff training)

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Section 2: Put patients’ interests first and act to protect them

Acting in the best interests of our patients is fundamental to our work in the dental profession.Before filling in this section, please read the relevant section of the GDC’s Standards for Dental Professionals.

You may find it helpful to ask the following questions:

Have you in the past year provided a course of treatment that concluded with a particularly good outcome for your patient?

Have you in the past year undertaken a course of treatment which, on reflection, was beyond your current knowledge, competence or ability?

Have you in the past year, received a complaint against yourself which you feel could have been handled better? What would you have done differently?


Any complaints and records of their investigation Information for your patients about services in the practice Any complaints material, including your handling of it Appreciative feedback (patient thank you letters/cards) Patient satisfactory survey data Relevant significant event reports Protocols for handling informed consent, child protection and whistle blowing

Section 3: Respect patients’ dignity and choices

Before filling in this section, please read the relevant sections of the GDC’s document ‘Standards for Dental Professionals’. You will also find it helpful to review the GDC document ‘Principles of Patient Consent’. (See www.gdc-uk.org)


Do you believe you consistently give your patients enough information when discussing treatment options?

Do you routinely provide your patients with a written treatment plan? How often, and in what circumstances do you seek your patient’s consent? In what form is

this consent (written or verbal)?


Information to patients about your service Patient satisfaction surveys Copies of treatment plans or FP17 DC’s, with comments Examples of written consent

Section 4: Protect the confidentiality of patient informationPage 29 of 59

http://www.gdc-uk.org/

Before filling in this section, please read the relevant section of the GDC document ‘Standards for Dental Professionals’ You will also find it helpful to review the GDC document ‘Principles of Patient Confidentiality’. (See www.gdc-uk.org)


Are my clinical records consistently clear and legible (if handwritten)? If another colleague were to read my records, would it be clear to them what clinical care

has been undertaken for my patients and why? Consider the quality of your referral letters. Do they consistently include all essential and

relevant information?


Example of clinical records (anonymised) Clinical records audit Dental reference service report Practice confidentiality policy Examples of referral letters (anonymised)

Section 5: Co-operate with other members of the dental team and other healthcare colleagues in the interests of patients

Before filling in this section, please read the relevant section of the GDC’s document ‘Standards for Dental Professionals’ You will also find it helpful to review the GDC document ‘Principles of the Dental Team Working’. (See www.gdc-uk.org)

You may find it useful to ask the following questions:

Consider the other dentists and dental care professionals (dental nurses, hygienists, therapists, crown, bridge and denture technicians) you work with or communicate with. Do they consider that you have a good working relationship with them?

Are there any examples of mis-communication in the past year (for example, errors in laboratory work)?


A description of the team structure which you work in References from colleagues Referral protocols Examples of referral letters sent (anonymised) Examples of lab sheets with written instructions Information about any problems that have arisen between you and your colleagues Evidence of staff meetings

Section 6: Maintaining your professional knowledge and competence

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Before filling in this section, please read the relevant section of the GDC document ‘Standards for Dental Professionals’.

You may find it useful to ask the following questions:

What was the most helpful course you attended last year? What changes to your practice did you make as a result?

What opportunities have you had to discuss your professional work with other colleagues in the past year?

Has the section on good clinical care helped identify areas for further study and training?

Consider the following non-clinical areas (this is not meant to be a comprehensive list)

Cross infection control Radiological protection Health and safety Communications skills Practice management Finance issues Information technology Clinical governance Risk management

Are there any areas where you felt further training is appropriate?


Your current PDP Your practice development plan (if applicable) Records of all CPD activity Membership of a professional body or other group learning with colleagues Summary of your professional reading habits

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Section 7: Be trustworthy

Before filling in this section, please read the relevant section of the GDC document ‘Standards for Dental Professionals’.

Clearly this is a difficult area to provide objective written evidence. In many ways the information and feedback that you have provided in other sections will give an indication of your trustworthiness (patient confidentiality for example)

This is an opportunity for you to ask yourself the following questions:

What does it mean to me to be considered by society as being a member of a profession, particularly a health professional?

What do I do to justify my patient’s trust in me? Has my professionalism or trustworthiness been questioned in work or out in the past year?

Were those questions justified? Do I have a view about how professionals should conduct themselves?

Section 8: Health

Being a busy professional, treating patients and running a small business can be all enveloping and very stressful.

This can lead to practitioners losing touch with their general health and their home lives. It can also lead to substance abuse and poor mental health. Denial of poor mental health is very easy when people are trying to keep going, satisfying clinical and contractual obligations of dental practice.

Looking after one’s health is important and maintaining a balanced home life helps to maintain a dentist in the best possible shape to cope with the day to day demands of practice and business.

Ensuring that all appropriate vaccinations are up to date helps protect the dentist and his staff from contracting debilitating illnesses that could also be transmitted to patients and family.

The following questions may help you assess your health:

Consider what you do to remain healthy How does your lifestyle impact on your work What do you do outside of practice to relax Do you take regular holidays Do you have a regular health check

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Suggested evidence might be:

Vaccination records Results of health checks Membership to non-professional organisations Hobbies

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Guidance Notes

For

Appraiser

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1. Introduction

Appraisal

Appraisal is a two-way process, and an excellent method of assisting in the management of the performance of individuals. It can provide feedback for both the appraisee and the appraiser, and offers a formal opportunity to raise and deal with issues that are often not dealt with because of the pressures of day-to-day work. It is also one of the best methods of demonstrating to an individual that you value their contribution to an organisation and are seriously interested in helping them to develop so they can achieve their potential and thus assist the business in achieving its potential.

The core aims of performance review or appraisal are:

Personal development: To consider a colleague’s future work and identify opportunities for development and training to benefit their own career and maximise your contribution to the practice;

Performance: To provide a clear statement on how the dental professional is doing, see whether further progress can be made, and consider what help might be given to build on his or her strengths;

Communication: To ensure that ideas and views are shared.

Future work: To plan work priorities and objectives for the next year and consider solutions to problems.

These core aims can be achieved by:

Providing clear guidance on priorities and expected results (standards);

Giving feedback about their level of performance;

Identifying (and taking actions to remedy) areas of poor performance;

Identifying (and taking actions to encourage) good performance

Encouraging the process of individual career development;

Identifying any training needs;

Encouraging feedback from colleagues

Setting targets for future performance

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Who should appraise whom?Generally speaking, the immediate manager or supervisor of the individual being appraised should carry out the appraisal (practice manager/principal dentist.) There are distinct advantages in this approach. The direct manager will have a far clearer idea of the performance of the member of staff, and in many cases is the person most able to implement changes which will correct problems, develop the individual and enhance their performance. Key features of an appraisal system

The following are the main characteristics of a good system:

Open:Full guidance on how the appraisal scheme works should be provided for all members of staff, so that everyone understands how it works. Details of appraisal system should form part of the induction procedure. The appraiser and appraisee should be frank and open in the interview. Nothing recorded by the appraiser at the interview should be kept secret from the appraisee.

Confidential: Only the appraiser and appraisee will see the full appraisal record

Consistent: All staff should follow the same procedure

Objective: The interview should focus on actual conduct and performance, not generalisations or personalities.

Self-assessed: Appraisee(s) should be encouraged to contribute to the comments, problem solving, and conclusions at the appraisal.

Forward-looking: The main value of reviewing past performance is to identify successes which can be built upon, problems that can be tackled by the business or by training, and new opportunities.

Positive: Problems, difficulties and mistakes should be discussed so that solutions can be found, training offered or defective systems changed.

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2. Procedure for appraisals

1 Agree a date:

Allow for a minimum of five days’ preparation time, setting aside at least one hour for the interview.

2 Make sure you both have the appropriate documents a. job description;

b. any written objectives set previously;

c. record of previous appraisal (if any)

d. the appraisal form

3. Prepare for the interview:

Both the appraisee and appraiser should each spend time planning what they want to discuss. The appraisal form can be completed in rough by both parties but need not be exchanged. Suggested questions for discussion are listed below.

4. Book the venue:

The appraiser should ensure that the interview room is private, the seating comfortable, and that there will be no interruptions.

5. Conduct the interview:

Most successful appraisals are conducted by the appraiser in an informal atmosphere. The conduct of the interview is discussed in greater depth below.

6. Record the appraisal: The appraiser should write up the interview on the form. This is most easily done during the course of the appraisal itself. Doing it then also means that what is recorded can be agreed between appraiser and appraisee.

7. Sign the form:

The completed form should be signed by both parties as a true record. If the form is written up during the interview, the forms can be signed at the end of the interview.

8. File the form:

The appraiser will make two copies of the signed from and give one copy to the appraisee to keep and place one copy in the person’s file.

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9. Follow up:

The appraiser is responsible for ensuring that action is taken as agreed at the appraisal, that progress is monitored, and that the appraisal results are not ignored until the next appraisal.

2(b) Conduct of the appraisal

1 Preparing for the Appraisal

First you need to gather evidence of what has been achieved during the whole of the appraisal period against each key result area and objectives. Ensure that the evidence is based on behaviour and performance and not personality.

You may wish to talk to work colleagues who deal with the member of staff, or assess training evaluation forms completed by the individual to gain a bigger picture of their contribution and progress.

Take time to summarise your thoughts. Assess your evidence and decide on provisional assessments of performance.

Prepare the appraisee by:

Explaining and confirming the purpose of the appraisal system.

Confirming time, date and place for appraisal discussion.

Giving them a copy of the appraisal form and any preparatory notes.

Appraiser’s Preparation Checklist Have I reviewed performance over the last six months?

Do I have copies of the previous appraisal?

What is my general impression of the jobholder's performance and style?

Where are his/her strengths?

What are his/her weaknesses? How can I offer to resolve them? What do I expect him/her to do?

What career aspirations does he/she have? How can the business meet them while pursuing its own objectives?

What training and development needs have you identified with regard to the jobholder?

Appraisee's Preparation Checklist

How accurate is my job description? Are my objectives and targets clearly set out?

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What are my current priorities? How am I measuring my achievements? What has gone well in the past six months? What has caused me difficulty? Why was this? How could it be overcome? What have I not been able to achieve and why? What type of support do I get from my manager? In looking to continue my development I need to…. In career terms, I think my current expectations are…. The business could help by….

2. The Appraisal Interview

Interviews should be held in private and free from all interruptions. You should allow at least 1 hour for discussion. Use your own preparation notes and your form as the basis for, and structure of, the discussion.

A good way to begin is to clarify that the appraisee’s job description is still representative of what they actually do. You might also ask the appraisee for his/her own assessment of performance first. When the appraisee is talking, listen and ask questions to clarify your understanding.

Questions to discuss at appraisal

Appraisers and appraisees can use the following checklist and the appraisal forms in preparing for conducting, and recording the appraisal interview.

Basic Information

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Name, job title, date joined the practice, date appointed to current post. Review of past performance Achievements in the past year. Against previously agreed objectives (if any have not been achieved, discuss the reasons

including changes of priorities which may have made some objectives out of date). Additional achievements – over and above the objectives – and any innovations. Problems met and steps taken to overcome them. Were there any obstacles outside the

appraisee’s control, which prevented them from performing effectively? Changes to the job. Have there been any changes or additions to the job content or

responsibility? Consider amending the job description to take account of any significant and substantial changes.

Review of training activity. List and review usefulness of all training and development activity over the last year (not just courses)

Performance characteristics. Discuss general performance using the list in the appraisal forms: what parts of the job does the appraisee do best; do less well, have difficulty with, or fail to enjoy?

Overall performance summary.

Looking forward

Responsibilities. Any items to be included in the job description based on the way the job has changed or is expected to change?

Does the appraisee have any skills, aptitudes or knowledge not fully used in the job? If so, how could they be used?

Does the appraisee have any proposals to improve work organisation, or to make their job more interesting or more challenging?

Objectives. Agree these for the coming 6 months.

Training and Development

The appraisee and appraiser should jointly identify training needs using the checklist on the Self Analysis Form. Concentrate, first, on the areas of skill and knowledge needing development, and only after that on training solutions (e.g. a particular training course). Recommendations should relate to needs identified over past performance and/or new objectives or additional responsibilities which will require the appraisee to break new ground

Final comments

The appraisee and the appraiser will have the opportunity to consider the appraisal record and add any comments.

Skills Used In Appraisal Interviewing

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Listening and observing

Concentrate throughout and analyse what is said and not said.

Note points for later expansion

Be seen to be listening

Wait out pregnant pauses. The reviewee may be trying to sort out their thoughts, and may be on the verge of expressing them, when the reviewer breaks in with a question or remark. Consider your body language: encourage the reviewee to talk freely and relax by using encouraging smiles, nods and comments.

Summarising

Interim Use summaries to keep control of the interview, and to point out clearly how the interview is progressing.

Final Summarise to give a positive finish to the interview and to make the final position clear.

Sum up what has been achieved during the interview.

Make sure that the reviewee is clear about what future action has been decided

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Guidance for the conduct of appraisal

Giving Negative FeedbackDuring an appraisal, you have the right to criticise and to have your criticism taken seriously. However, you also have the responsibility to be fair and honest, to ensure that you are not attacking someone’s personality, and to concentrate on aspects of a person’s behaviour or performance that they can change.

It is important that you keep the criticism balanced. To concentrate only on the aspects you want changed will only demoralise the person you are dealing with.

PreparationNote down a clear description of the problem and identify why it is a problem. Decide what you want done about it and assess what the views of the staff member are likely to be. Plan how to introduce the subject. Explain why the problem is a problem before asking for changes to be made.

Consider what you want to achieve by making the criticism and be sure that you are asking the other person something that they can comply with.

Keep a sense of balanceAcknowledge someone’s good points or the effort they have made to help them retain their self-esteem and keep the criticism in perspective. Identify the good points or achievements of the person being criticised to keep a reasonable balance.

Avoid personal attacksMake sure you are clear in your own mind about the problem. Keep to the facts. Do not make broad generalisations or drop in other complaints, which may not be relevant.

Do not exaggerateAvoid using general or exaggerated statements. They make the criticism less clear and also annoy or upset the person being criticised; if the person becomes defensive, they are less likely to take the criticism on board.

Choose relevant examples and think how you can phrase them so they do not become a personal attack.

Get to the pointWhen you speak to the person, introduce the subject clearly, come to the point quickly and are specific. Find out the other person’s view of the situation; you may find it helps to let them know that you can see their point of view but that their actions, work etc. are not acceptable.

Acknowledge and explain impactAcknowledge your own feelings and explain the effect the other person’s action or behaviour has on you. Use phrases such as “I feel…….” not “you make me feel…” Keep calm.

Negotiate a solutionAsk the other person for possible solutions – they will be more committed to their own ideas than to something you impose.

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Be sure that you both agree clearly the changes to be made, the methods and time scales. Agree to renew progress in a given period of time.

Issues that may arise during the interview

Interviewing a ‘hurt’ revieweeIt is natural for us not to like giving negative feedback. We may feel guilty, or sympathetic towards the other person. We might feel worried about their response, or annoyed that they respond in a way which expresses that they are ‘hurt. Avoid changing the subject to avoid confronting the other person’s emotional response. Avoid too sinking into hopelessness and guilt by apologising. Another danger is that we will soften the criticism and back away from the feedback. The problem, if we do, is that we will not deal with the original issue i.e., that we want the interviewee to change their behaviour.

It is important to stick to the issue. You may choose to act more gently, but a useful tactic is to get the reviewee to summarise what you said. Check also that you are not focussing too much on the negative, and continue to emphasise the constructive purpose of appraisal

Interviewing a reviewee who talks too muchHere you may start to feel irritated and annoyed. Sometimes it seems impossible to stop someone in mid-flow, and then feelings of frustration and helplessness can arise. Do not try to compete. Try also to avoid showing anger or annoyance or make negative mental judgements.

It is better to focus on and probe specific points. Another useful tactic is to get the reviewee to summarise what has been decided, and if all else fails to remind them directly about the need for brevity.

Interviewing a reviewee who makes you feel uneasySometimes, we are in a situation where an appraisee simply makes us feel uneasy. Common feelings are those of irritation, and anxiety. We can also feel angry that someone has put us into a defensive position.

We can even find ourselves talking non-stop to hide our own unease, or even changing the subject. It is better to try to empathise with the reviewee, and concentrate on aspects of their performance. If they have a valid criticism of you or your performance, you will win greater respect by accepting and acknowledging the criticism.

Consistent: All staff should follow the same procedure

Objective: The interview should focus on actual conduct and performance, not generalisations or personalities.

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NHS West Midlands

PDP Guidance for Dental Professionals 2011

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Introduction

You should be invited to participate in a review of the progress of your Personal Development Plan from your previous appraisal.

This is not meant to be as detailed as the full appraisal meeting, however the outcome will very much depend on the effort put in and the evidence that is provided to support the actions of the previous PDP.

The review should clarify the achievement of your PDP to date and provide you with a further PDP to maintain and develop your skills and to meet the GDC CPD requirements.

Review Process

You will need a copy of your previous PDP; this will be sent with the PDP review documentation.

When you have completed the paperwork you should forward it to your appraiser 10 working days before your review meeting. The documents will be available in paper form or electronically. You may wish to contact your appraiser to agree what form you will use, paper or electronic.

The review documentation consists of:

GDC mandatory CPD declaration ( page 3 ) A review of your past year ( page 4 ) A joint review sheet ( page 5 ) A copy of your last PDP – (enclosed separately) Evidence that supports your last PDP – There is a blank checklist within the documentation

for you to list supporting evidence for the review. (Page 6) A new PDP sheet for the coming year ( page 7 ) A sign off sheet ( page 8 )

GDC mandatory CPD requirements (page 3)

This should be completed as fully as possible with the current time and dates of the activity.

You may wish to provide evidence to support your declaration, however this is not absolutely necessary.

Review of development needs during the year (page 4)This should be completed as fully as possible, bearing in mind your personal development plan.

Do not worry if you have not achieved all your goals, reflect on the reasons why you have not achieved them and how you might address the issue.

Consider the constraints that may have occurred to prevent you fulfilling your PDP.

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The main part of the review discussion will focus on this section and help you consider how you will move forward in the future.

Joint review sheet (page 5)

The appraiser with your co-operation will complete this. It is meant to record your thoughts, a summary of your discussion and any possible outcomes from last year’s PDP and development needs for your new PDP.

New Personal Development Plan (page 7)

At the end of the discussion and review you will complete a new PDP for the coming year.

This is a reflection of what you would like to undertake during the coming year with regards to your professional development and it will also pick up any area from your previous PDP that you feel that you have not fully completed.

Sign off (page 8)

At the end of the discussion and review, your appraiser will sign off the process and ask you to countersign the sheet.

Last year’s Personal Development Plan

You will need a copy of your previous PDP; this will be sent with the PDP review documentation.

You will be required to provide evidence that supports the achievements on your PDP. Once the development need have been verified then your appraiser can sign off the last column.

You should ensure that you keep this PDP in your portfolio as a record of your appraisal cycle.

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PDP Review Documentation for Dental Professionals 2011

Appraisee: Date:

Appraisee: Date:

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PERSONAL DEVELOPMENT PLAN REVIEW

The purpose of the review of your previous personal development plan is to identify the development objectives that have been achieved during the year and those that have not.

The appraiser and appraisee should review the progress of the personal development objectives and ensure that the GDC Mandatory CPD requirements are currently being met.

Using the previous PDP and the current statement of GDC mandatory CPD you should decide what further developments and CPD are needed and record them on the new PDP review matrix.

Please indicate clearly the timescales for achievement.

The important areas to cover are:

o action to maintain skills and the level of service to patients o action to develop or require new skills o action to change or improve existing practice o action to meet GDC CPD requirement

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Appraisee: Date:

GDC Mandatory CPD RequirementsMedical Emergencies (and basic life support) (10 hours in a 5 year period)

Basic life support attendance certificate/ date:

Other medical emergency training (if applicable):

Disinfection and Decontamination (5 hours in a 5 year period)

Decontamination training certificate/date:

Radiography and Radiation Protection (5 hours in a 5 year period)

Training certificate/ date:

Other CPD Activity

Legal and Ethical Issues(Consent, confidentiality, employment law, health and safety)

Complaints Handling

Child Protection/ Vulnerable Adults

CPD Declaration to the GDC

Date of last declaration:

Number of CPD hours declared:

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Appraisee: Date:

Review of development during the year

With your Personal Development Plan in mind, please look back over the previous sections. How well have you achieved the goals agreed last year? Where you did not succeed, can you describe the reasons? Have there been any other relevant developments during the year?

Review of development needs

Please summarise what do you think your main development needs are for the coming year. Where relevant, how will the reasons for not succeeding last year be overcome?

Review of constraints

Please summarise the chief factors that you have identified as addressable constraints

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Appraisee: Date:

Joint Review Sheet

Review of development during the year

Review of development needs

Review of constraints

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Appraisee: Date:

Evidence Checklist

Evidence Evidence Seen

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PERSONAL DEVELOPMENT PLAN REVIEW TEMPLATENAME: DATE:

This plan should be updated whenever there has been a change – either when a goal is achieved or modified or where a new need is identified. The original version should also be retained for discussion at the next appraisal.

What development How will I address Date by which I plan to Outcome Completedneeds have I? them achieve the

development goalExplain the need. Explain how you will The date agreed with How will your practice Agreement from your

take action, and what your appraiser for change as a result of appraiser that theresources you will achieving the the development development need hasneed? development goal. activity? been met.

1.

2.

3.

4.

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Appraisee: Date:

Sign off

We agree that the above is an accurate summary of the PDP review discussion and agreed action, and of the agreed, revised personal development plan.

SignedAppraiser:

(GDC number):

SignedAppraisee:

(GDC number):

Date:

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