NHS Appraisal Guidance
This standardised set of appraisal documentation encourages a “one system” approach to the
recording and reproduction of information from NHS Wales appraisals. It mirrors the way that
information is displayed in the Medical Appraisal and Revalidation System (MARS). It will allow
training of appraisers and the quality assurance of appraisal outputs to be uniform across Wales. All
doctors in Wales will have the opportunity to prepare information for revalidation in a uniform
manner. The responsible officers will benefit from this single system approach, making appraisal
forms easier to understand and with only one type of form to examine.
The information is contained in four main sections:



Personal and professional details
Scope of professional activities
Information for the appraisal discussion
The appraisal summary and personal development plan (PDP)
The GMC require an annual set of core information – this core information is contained in the first
two sections. There are annual probity statements and a statement of health, the statements
contained within meet GMC requirements. Furthermore the GMC ask that information is presented
to demonstrate how a doctor is meeting the principles and values as set down in Good Medical
Practice (GMP). The GMP framework for appraisal and revalidation is based on this guidance, the
GMC expect it to form the basis of a standard approach for appraisal. The Follett review states that
"universities and NHS bodies should work together to develop a jointly agreed annual appraisal and
performance review process based on that for NHS consultants, to meet the needs of both
partners". That principle continues in medical appraisal and clinical academics will continue to
participate in joint appraisal. If this situation applies to you, please select 'Yes' which will allow for a
second appraiser to participate in this process.
The third section – information for appraisal discussion – will be highly individualised. The GMC has
explained what it expects every doctor to bring to appraisal in this section. The information forms
within this toolkit ask you to reflect on what the piece of information means to you and how you
have adapted or adopted this into your practice. This again is a requirement of the GMC.
The final section will be completed by your appraiser after the appraisal meeting. During that
meeting you will have had the opportunity to discuss next year’s PDP with your appraiser. The
appraisal summary, once completed, should be signed by all parties when each agree that it is a fair
and accurate record.
More information on the requirements of appraisal for revalidation can be found at the GMC
website http://www.gmc-uk.org/doctors/revalidation.asp
Section 1
Personal details
Last name
First name
Gender
Date of birth
Contact address
Contact telephone number
email
Professional details
College(s)/ Faculty
Job title(s)
Primary medical degree
Other relevant qualifications
GMC number
GMC registration year
Date of CCT or CCST
Current appointments
Record details of all current appointments outside your clinical practice. Examples could include
"secretary of your local faculty" of your medical royal college.
Clinical appointments are recorded in your activities section.
Appointment
Duration
Places of work
You should list here all your places of regular work. The GMC expect revalidation to cover all aspects
of your work as a doctor.
Current base
Other Health Board premises
Other places of work
Organisation or employer
Joint appraisal
Are you a clinical academic? If so, you should
arrange a Joint Appraisal to allow a second
appraiser participate in this process.
Name of second appraiser:
Yes / No
Current activities
If you are currently working to a job plan please attach it here – if you do not have a job plan your
average working week should be represented in the table below
Monday
am
pm
Tuesday
Wednesday
Thursday
Friday
Saturday
Sunday
Responsibility and activities within the Health Board
You may use this section to highlight other activities performed that are not part of your regular plan
– examples could include audit, appraisal etc.
Detail
On call activities
Details of other clinical work (not already entered)
Details of non-clinical professional activity
Direct clinical
care (DCC), Paid,
Identified in SPA
or No identified
time or payment
Section 2
Appraisal information
The GMC have provided the following information on their web site:During their annual appraisals, doctors will use supporting information to demonstrate that they are
continuing to meet the principles and values set out in Good Medical Practice.
This guidance sets out the supporting information that you will need to provide at your annual
appraisal and the frequency with which it should be provided. It also gives further details on how the
information can be used or discussed during appraisal.
All doctors, regardless of the nature of their practice, should be able to meet these requirements
although the underlying information may differ in certain categories depending on your practice and
the context in which you work.
Download a PDF version of the guidance, Supporting information for appraisal and
revalidation (published 2011, pdf). These are our final proposals for at least the first cycle of
revalidation, subject to the Secretary of State's final approval.
Types of supporting information
The supporting information that you will need to bring to your appraisal will fall under four broad
headings:

General information - providing context about what you do in all aspects of your work

Keeping up to date - maintaining and enhancing the quality of your professional work

Review of your practice - evaluating the quality of your professional work

Feedback on your practice - how others perceive the quality of your professional work
There are six types of supporting information that you will be expected to provide and discuss at
your appraisal at least once in each five year cycle. They are:
1.
2.
3.
4.
5.
6.
Continuing professional development
Quality improvement activity
Significant events
Feedback from colleagues
Feedback from patients (where applicable)
Review of complaints and compliments
The nature of the supporting information will reflect your particular specialist practice and your
other professional roles. For example, an appropriate quality improvement activity will vary across
different specialties and roles.
This toolkit has been constructed around the domains as described in GMP for appraisal and
revalidation . The framework describes four domains with three attributes to each domain. Over a
five year period a doctor will need to demonstrate that their practice meets GMP standards as
defined. The appraisal does not need to be structured around the domains or attributes, however
the GMC suggest that some doctors may find this useful.
You may copy and paste as many forms as you require
The four domains and their attributes are:
Domain 1 - Knowledge, Skills and Performance
Maintain your professional performance
Apply knowledge and experience to practice
Keep clear accurate and legible records
Domain 2 - Safety and Quality
Put into effect systems to protect patients and improve care
Respond to risks to safety
Protect patients and colleagues from any risk posed by your health
Domain 3 - Communication, Partnership and Teamwork
Communicate effectively
Work constructively with colleagues and delegate effectively
Establish and maintain partnerships with patients
Domain 4 - Maintaining Trust
Show respect for patients
Treat patients and colleagues fairly and without discrimination
Act with honesty and integrity
This toolkit contains four other sections:
Teaching, research, leadership and innovation
Probity, health and complaints declarations
Insights and reflections
Personal Development Plan
Domain 1 - Knowledge, Skills and Performance
Maintain your professional performance
Apply knowledge and experience to practice
Keep clear accurate and legible records
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Domain 2 - Safety and Quality
Put into effect systems to protect patients and improve care
Respond to risks to safety
Protect patients and colleagues from any risk posed by your health
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Domain 3 - Communication, Partnership and Teamwork
Communicate effectively
Work constructively with colleagues and delegate effectively
Establish and maintain partnerships with patients
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Domain 4 - Maintaining Trust
Show respect for patients
Treat patients and colleagues fairly and without discrimination
Act with honesty and integrity
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Title
Activity
What did I do?
When did I do it?
Reason
Why did I do it?
Reflection
What did I learn?
Outcome
What changes
have I made?
What will I do
differently?
Supporting
documentation
List any documentation
Teaching, research, leadership and innovation
Please detail below the teaching, research, leadership and innovation activities that you have
undertaken or contributed to over the last year, including team based activities where appropriate.
Please describe your activities and your personal participation, including learning.
Probity, health and complaints declarations
Please read each statement carefully and then indicate if you agree or disagree with the
statement. If you disagree with a statement please give your reasons in the box below the
statement.
1. Probity (general)
The standard of propriety expected of all doctors is described in the relevant section of Good
Medical Practice.
Clearly defined expectations relate to issues concerning





Providing information about services
Writing reports, giving evidence and signing documents
Research
Financial and commercial dealings
Conflicts of interest
I have read and reflected on the section of Good Medical Practice relating to probity & complaints. I
believe that I comply with the requirements of this section and I have nothing that I wish to disclose
to my appraiser.
I agree ......
I disagree .....
2. Probity (appraisal material)
Clearly defined expectations relate to issues concerning



Submission of material
Ownership of material
Acknowledging and recording contributions of others
I confirm that I have properly acknowledged and recorded the contributions of others to materials
included in my appraisal. I understand that any attempt to deliberately assume ownership of
someone else's work as my own is a probity & complaints issue.
I agree ......
I disagree .....
3. Health
The doctor should consider the impact that his or her own health might have on patient care.
For purposes of revalidation, it is anticipated that the doctor will provide written statements of
assurance.
I have read and reflected on the section of Good Medical Practice relating to health. I believe that I
comply with the requirements of this section as my health does not put patients at risk and I have
nothing that I wish to disclose to my appraiser.
I agree ......
I disagree .....
Directives or suggestions from outside agencies
Occasionally other agencies (an example would be the medical director) will require a doctor to
bring a subject to appraisal (e.g. minor surgery, diabetic care etc). This should be declared in the
statement below and should be backed up with entries in the relevant domain.
I have had no directives or suggestions from outside agencies, that there are developmental or
remedial needs that I should address that have arisen since completing my last appraisal.
I agree ......
I disagree .....
4.Complaints
It is a revalidation requirement that all formal complaints are listed. Many Doctors will not have had
a complaint during the appraisal period in this case they should simply agree to the statement. If
there have been formal complaints during this time you should disagree with the statement, list the
number of complaints in the box below and by using the evidence entry form complete a description
of the events.
In the period between my last appraisal and this one I have received no formal complaints, nor have I
completed previously outstanding complaints from the previous year.
I agree ......
I disagree .....
Insights and reflections
Identify and describe any constraints that affected your service delivery or hindered your planned
development
You may find it helpful to consider whether those constraints were personal to you, for example
time restrictions; specific to your team and training; or relevant to your area as a whole, for example
access to relevant services. These constraints will be discussed and agreed with your appraiser and,
along with any others identified during the appraisal discussion, will form the basis of the relevant
section of the appraisal summary.
Personal constraints
Describe any constraints that may
have impacted on your development
this year
Team/Hospital constraints
Describe any constraints within your
workplace that hinders the care you
give to patients or restrains you
development
Service constraints
Describe any wider constraints that
the service imposes that affect your
development
Review your own progress over the appraisal period
You may wish to identify any particular achievements, describe those initiatives that were successful
and those you consider disappointing, and reflect on the reasons for these outcomes. This review
will help your appraiser to structure your appraisal discussion, and will contribute to the appraisal
summary.
Review your development over the appraisal period and begin identifying
development needs for the next year
You should consider both formal and informal development that you have been involved in during
the appraisal period. Include examples of courses and seminars that you have attended and
individual or on-the-job development opportunities of which you have taken advantage. You should
reflect on how these activities have contributed to your own development as a doctor. Your progress
in relation to your Personal Development Plan (PDP) should be recorded. Record your progress
against each item in last year's agreed PDP in the appropriate domain section.
Personal Development Plan
Living PDP
The Personal Development Plan (PDP) has been seen by many as a list of aspirations discussed and
agreed at appraisal which an individual can complete to a greater or lesser extent in the
subsequent appraisal year. A PDP however should be a fluid document owned by the individual
and discussed at appraisal, in the context of revalidation there will be a greater emphasis placed on
completion of PDP goals and as such the value and relevancy of the PDP to the individual takes on
greater significance.
The living PDP allows you to use your



agreed PDP to plan development
additional PDP to add planned development in your current appraisal year
aspirational PDP to add items that you wish to consider for future years or to form the basis of
your discussion with your appraiser about next year's PDP
The PDP should specifically detail what is to be achieved, why it is relevant, how the goal will be
achieved, by whom the work will be done and what the expected outcome will be and when.
Agreed PDP (from previous appraisal)
What?
Why?
How?
Who?
Completion/outcome
expected
Additional PDP (plans for the current year that arose during the year)
What?
Why?
How?
Who?
Completion/outcome
expected
Aspirational PDP (plans for the future – not necessarily for the next appraisal year)
What?
Why?
How?
Who?
Completion/outcome
expected
Section 3
Summary of appraisal
This section will be completed by your appraiser(s) and will form a record of your appraisal
discussion charting your progress for the year. The content needs to be agreed by all parties and
signed off within 28 days of the appraisal discussion.
Doctor’s name and GMC number
Appraiser’s name and GMC number
Second Appraiser’s name (if Joint Appraisal)
Date of appraisal meeting
Domain 1 - Knowledge, Skills and Performance
Activity/Achievement
Available supporting
documentation
Discussion and feedback
from appraisers
Domain 2 - Safety and Quality
Activity/Achievement
Available supporting
documentation
Discussion and feedback
from appraisers
Domain 3 - Communication, Partnership and Teamwork
Activity/Achievement
Available supporting
Discussion and feedback
documentation
from appraisers
Domain 4 - Maintaining Trust
Activity/Achievement
Available supporting
documentation
Discussion and feedback
from appraisers
Teaching, research, leadership and innovation
Activity/Achievement
Available supporting
documentation
Discussion and feedback
from appraisers
Verification of supporting information
Supporting information
supplied
1.CPD
2.Quality improvement
activity
3.Significant events
Record of appraisal
discussion
Verified by appraiser
Absent/Needs
further
refinement/Complete
4.Patient feedback
5.Colleague feedback
6.Review of complaints
Probity, health and complaints declarations
Issues arising from discussion – if none simply record “none”
Insights and reflections
Appraiser discussion/comments
Last year’s Personal Development Plan
Record the progress (or lack of) toward last year’s PDP goals
PDP for the next appraisal period
What?
Why?
How?
Who?
Completion/outcome
expected
We agree this appraisal document is a full and accurate reflection of the
appraisal discussion.
Appraiser......................
GMC Number………………………
If undertaking a Joint Appraisal:
Second Appraiser ……………….
Appraisee......................
GMC Number……………………….
Dated.........................