1. Introduction to Academic Appraisal processes on SOAR
Last updated: 13th August 2014

2. 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

3. 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

4. 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.

5. Introduction (3/5) …New roles on SOAR
Co-Appraiser (the university Appraiser)
Included in system s
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 s

6. 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

7. 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)

8. 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 to
Appraisee, Appraiser and co-Appraiser

9. 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 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
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

10. 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

11. 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 to
Appraisee, Appraiser and co-Appraiser

12. (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

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

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

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

16. (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 s)
Linking can be done either individually or as batch operation

17. 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

18. 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

19. 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

20. (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)

21. 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 so the Appraisee, Appraiser, co-Appraiser and former Appraiser knows about the new assignments

22. 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

23. 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 to Appraiser and Co-Appraiser)
Appraisee can resubmit the forms if they wish (additional supporting information; missed questions on Appraisal Forms etc)

24. 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 to
Appraisee, Appraiser and co-Appraiser

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

26. (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 confirmation

27. (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.

28. (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)

29. (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
You can re-submit (additional documents, missing answers on form etc), but contact your Appraiser FIRST

30. 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

31. (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

32. (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.

33. (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

34. 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 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
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

35. 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 , 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

36. 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”

37. 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 to both Appraisers, Appraisee, and local Admins (inc university) to confirm the interview has taken place and Form 4 has been completed.

38. (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 sent to Appraisers, Appraisee and Health Board and University Admin teams

39. 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

40. 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)

41. 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

42. Further support Medical Appraisal Scotland website:
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
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