Department of Postgraduate Dentistry
DENTAL APPRAISAL
HANDBOOK
FOR THE
DENTAL CARE PROFESSIONAL
Introduction to Appraisal for DCP’s
Appraisal is used as a method of establishing what your current learning needs are. It is a formative
process with summative elements. This means that its purpose is to develop your skills and competence in
your role but that you will be required to supply measurable evidence to establish your current standard. It
is not a disciplinary tool.
You are required to consider all the work that you do in your role and reflect on your skills and competence
in each situation.
It is only through honest reflection that you will be able to determine where your weaknesses lie and
thereby create a plan to address those identified learning needs.
This is known as a personal and professional development plan (PDP). The courses and other means of
addressing each element of the plan are known collectively as continuing professional development (CPD).
If you are registered with the General Dental Council (GDC) you will already be aware that you have to
satisfactorily complete appropriate courses throughout the year to ensure that you maintain your skills and
competence in the work you undertake within your scope of practice.
CPD for dental professionals is defined by the GDC as: ‘lectures, seminars, courses, individual study and
other activities, that can be included in your CPD record if it can be reasonably expected to advance your
professional development as a dental care professional and is relevant to your practice or intended
practice.’
In the future, the GDC plans to establish a relationship between the CPD you undertake with the PDP you
have created and maintained. It is only through a robust process of establishing your learning needs that
you will know that you are doing the right courses for your individual situation.
The ‘Standards for the Dental Team’ states;
6.6.1 You should make sure that all team members, including
those not registered with the GDC, have:
•
a proper induction when the first join the team;
•
performance management, including regular appraisals;
•
opportunities to learn and develop;…
It is as a result of this statement that this handbook has been drafted to assist Practices, and those who
manage them, access a quality assured, robust Appraisal process for their staff.
As you work through the book you will find the explanations of what you have to do. Your
managers/appraisers must be able to use the process appropriately to ensure that it is going to be
effective and meet the standard expected of the GDC.
Page 1
The GDC, in its work regarding revalidation of professional registrants, has usefully described four Domains
that the Appraisee should consider as they reflect on the work they carry out in practice.
These Domains are applied throughout the Appraisal process and overlap considerably.
Your portfolio – or record – of your achievements will also contain information that could be applied to
more than one Domain.
Indeed, the overarching Domain of Professionalism encompasses all the other Domains.
PROFESSIONALISM
COMMUNICATION
CLINICAL CARE
MANAGEMENT AND LEADERSHIP
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Time Frame
Your manager/appraiser will require the completed workbook and supporting evidence approximately 2
weeks ahead of the Appraisal meeting.
This means that you should be making a start a few weeks before that, giving yourself about 2 weeks to
prepare. Don’t leave it until the last minutes as this will undermine the value of the appraisal discussion.
Completing the workbook
Once you have worked through the paperwork you will need to gather the information you require to
provide evidence of where your skills and competence currently lie.
This can be quite daunting, but please remember that you provide what you can, knowing that if you lack
any significant evidence it can be entered on your PDP as something you can work towards for your next
appraisal.
The sort of evidence suggested by the GDC, modified to apply to DCP’s, has been tabulated below and is
taken from www.gdc-uk.org.uk
Domain
Source of evidence
Clinical
Record keeping
Audits
Direct Observational Procedures
Radiographs
Multi Source Feedback (MSF)
Copies of letters
Involvement in complaints procedures
Communication
Professionalism
Portfolio evidence
PDP and CPD records
Multi Source Feedback,
Peer observation reports
Minutes of meetings
Quality of evidence in portfolio
Letters
Appraisal notes
Reflective notes
Copy
Report
Copies
Copies
Copies
Copies
Copies
Copies
Copies
Copies
Copies
Management & Third party accreditation – BDA, FGDP, Certificates/ reports
leadership
Denplan Excel etc.
Minutes of meetings
Copy
PDP
Copy
Accredited training
Certificates
Audit
Copies
You do not have to collect everything listed above, only those documents that are of relevance to your
statements and that you have available.
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You will need protected time for your appraisal which should take about an hour.
Confidentiality
You will retain the content of your workbook so that you can be as honest as possible in your reflection
and commentary.
Your Appraiser will have taken the time to read through your completed workbook and had a look at the
evidence you have provided. If they believe that there is more you could provide they will inform you of
this ahead of the appraisal meeting. Your Appraiser will make notes of possible topics to explore with you
particularly if there are gaps in your evidence that require addressing.
The Appraiser will be bound to confidentiality in your discussion unless something comes to light that may
impact on patient safety. You may give your Appraiser permission to involve 3rd parties at any time, if it is
in your interest to do so.
What happens to your PDP?
The ‘Part C’ is the only part of the Appraisal documentation that is copied and kept in your staff file.
This part of the paperwork provides the information supporting your appraisal discussion and is the basis
on which your PDP is formed. If you were ever asked to provide evidence – say to the Area Team or the
GDC - of how you created your PDP, then this is what you would supply.
The PDP is made up of the action points listed at the bottom of each Domain in Part C, prioritized
according to the most important in your development, agreed with your Appraiser.
The PDP should detail your learning/development needs, how you intend to address them, a target date to
complete them and a description of how such development will improve the patient outcome and/or your
own practice.
Once you have created your PDP you will be able to display it for ease of reference and get relevant parts
signed off when you satisfactorily complete any part of it.
It should be kept, on completion, for your next appraisal as a means of demonstrating your professionalism
and your commitment in keeping up to date and improving your practice.
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CPD Portfolio
It is useful to collect your evidence in a portfolio so that subsequent appraisals will be easier.
The GDC has plans for revalidation of its registrants and it is expected that your portfolio will become a
valuable tool to demonstrate the following:
a. Evidence of regular appraisal
b. A personal development plan
c. Evidence of Continuing Professional Development
d. Working in an accredited environment
e. Examples of reflective practice
More weight is to be given to verifiable CPD and its relationship with your scope of practice.
Verifiable CPD is activity that meets the GDC definition of CPD and for which there is documentary
evidence that you have undertaken the CPD and that the CPD has:
■
■
■
concise educational aims and objectives;
clear anticipated outcomes; and
quality controls.
This is set out in law.
You must keep documentary evidence of all the verifiable CPD that you have done for 5 years.
If you are a dental care professional your first five year cycle will begin on 1st August in the year after you
first register.
You must carry out at least 150 hours of CPD every five years.
At least 50 of these hours need to be ‘verifiable’ CPD.
As you begin to collect certificates to attest your CPD please take a few moments to complete a reflection
on any course undertaken with the learning outcomes on the back of the certificate.
If you get into the habit of doing this you will find appraisals a very straightforward process and quickly
update your PDP as your career progresses.
One of the benefits of regular appraisal is to stimulate an interest in professional development and
increase job satisfaction.
It is for everyone’s benefit – your employer, colleagues and not least, the patients - if all the team work
towards improving the patient experience and reduce the margin for error.
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Pre-Appraisal Forms
Part A
To be read alongside Part B
Appraisal for Dental Care Professionals (DCP)
is a confidential process aimed at assisting these
Professionals to help and facilitate the safe provision of
quality care for Patients. The outcome of the Appraisal will
be a Personal Development Plan that reflects the
considered needs and aspirations of the DCP through the
assistance of an appropriately trained Appraiser
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Appraisal for Dental Care Professionals
It is strongly recommended that you look at Standards for the Dental Team provided by the General Dental
Council before you start. There is an interactive site available for you to access at
http://www.gdc-uk.org/Dentalprofessionals/Standards/cases/Pages/default.aspx
So that your Appraiser is able to get a proper idea of your current level of competence and ability you are
asked to assemble a portfolio of material to support any statement you make in Part B which will be the
main basis of your appraisal.
The same headings will be used to summarise your appraisal discussion.
The wording under each heading differs, but typically you are asked to provide:
o
o
o
o
a commentary on the work you currently undertake
an account of how your work has improved since your last appraisal, if applicable
your view of your continuing development needs – what you need to do to improve
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 DCP
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. Complete as many sections as are relevant to your work.
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 and will
assist them in making the appraisal discussion relevant to your needs.
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. 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
provided, where it is to be found.
You are invited to go through each Domain reflecting on your self-assessed abilities and working out from this
reflection where you have learning needs.
This is called a SWOT analysis;
Strengths
where you are already working well
Weaknesses
where improvements could be made
Opportunities
what is available to you to address your identified weaknesses
Threats
what constrains or stops you making the most of these opportunities
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Section 1: Good Clinical Care
DCP’s have a range of clinical skills reflected in their Scope of Practise. There is a duty of care to Patients
that requires all Registrants to keep up to date in these skills.
The questions you ask yourself as you reflect should be directed at all the operational duties you perform in
the surgery on a regular basis.
This section focuses on your clinical role and invites you to ask the basic question “how good is my practise
and how can I show it?”







What do I understand my main duties and responsibilities to be?
Am I included in Team decisions? Can I offer more?
What skills, capabilities and experience are required for me to be competent in my role within the
Practice setting?
What was the most helpful course I attended last year? What changes to my scope of Practice did I
make as a result?
Have I in the past year provided/assisted in a course of treatment that concluded with a particularly
good outcome for the patient?
Have I in the past year undertaken/been asked to undertake a course of treatment which, on
reflection, was beyond my current knowledge, competence or ability?
Have there been significant events/ near misses that have not been logged and/or changes made to
reduce the risk of re-occurrence?
Have you participated in any clinical audits that reflect a need for improvement in your clinical abilities or
confirm you are providing good quality treatments/service provision?
Section 2: Communication –How Well Do I Relate to Patients and Keep Them Informed?
Acting in the best interests of patients is fundamental to our work in the dental profession. How well do you
relate to the patients, whilst respecting their diversity and equality, and assist in keeping them informed of
all their choices?
Before filling in this section, please read the relevant section of the GDC document “Standards for the
Dental Team.” You may also find it helpful to review their document “Principles of Patient Confidentiality.”
(See www.GDC-UK.org)
You may find it helpful to consider the following questions:







Are the clinical records I write consistently clear and legible (if handwritten)? Have I had sufficient
training in good record keeping?
If writing for the Dentist, are they checked and signed?
Have I in the past year, received a complaint against myself which I feel could have been handled
better? What would I have done differently?
Do I believe I assist consistently and readily in giving patients information when discussing
treatment options?
Do I assist patients who have language difficulties?
What do I understand about confidentiality, equality & diversity and human rights? Do I need
training?
Do I routinely apply administrative protocols (such as ensuring Patient’s sign the relevant NHS
forms or are given a treatment plan for expensive treatments?
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Section 3: Management and Leadership – Narrowing the Margin for Error
Before filling in this section, please read the relevant section of the GDC document “Standards for the
Dental .” 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 helpful to consider the following questions:
 Am I aware of any incidents when there has been a breach of confidentiality for one of the patients?
 Consider the other dentists and dental care professionals (dental nurses, hygienists, therapists,
crown, bridge and denture technicians,) I work with or communicate with. Do I consider I have good
working relationship with them? How do they feedback to me?
 Are there any examples of miscommunication in the past year (for example, between you and any
other member of the team)?
 Do I engage in regular, well documented, staff meetings?
 Is there staff training for all the team?
Section 4: Professionalism –What Does it Mean to be a Dental Care Professional?
Before filling in this section, please read the relevant section of the GDC document “Standards for the
Dental Team.”
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).
You may find it helpful to consider the following questions:
 What opportunities have I had to discuss my professional work with other colleagues in the past
year?
 Has the section on good clinical care helped me identify areas for further study and training?
 Do I do as I ‘ought’, as well as do what I ‘must’?
 Has my professionalism or trustworthiness been questioned in work or out in the past year? Were
those questions justified?
As we come to the end of your reflection it would be useful to consider the following non-clinical areas (this
is not meant to be a comprehensive list):









Cross infection control
Radiological protection
Health and safety
Communication skills
Practice management
Equality, Diversity and Human Rights
Information technology
Clinical governance
Risk management
Are there any areas where you feel further training would be appropriate?
Consider your core CPD and those aspects yet to be completed.
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Appraisal for Dental Care Professionals
Pre-Appraisal Forms Part B
2014
Please keep the ORIGINALS of these forms in your folder and send
COPIES to your Appraiser.
The Pre-Appraisal Forms Part A should be read alongside these
forms to assist you in reflecting on your practise.
Appraisee _____________________________
Appraised By___________________________
Date signed off _________________________
The content of this form remain confidential to you and your Appraiser Please retain for your own records
Page 10
Appraisal For DCP’s
FORM 1: BASIC DETAILS
Name
Registered address and telephone number
Main practice address and telephone number (if applicable)
Any other practices that you perform your work
Professional Qualifications UK or elsewhere, with dates
GDC Registration Type now held, registration number and date of first full registration
Date of appointment to current post of DCP
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Appraisal for DCP’s
FORM 2: CURRENT DENTAL ACTIVITIES
This form requires a brief and factual description of the work you do as a dental care professional
in general practice and in other posts. You will be able to give more detail later.
Name
Practice
Please summarise the ‘in-hours’ activities you undertake in general practice
e.g. what do you do as a dental nurse (possibly with extended duties in sedation, orthodontics, or as an oral health educator), as a
therapist, a hygienist etc
Brief details of other clinical work which takes you away from the practice.
eg Emergency Dental Services
Page 12
Making a start as you reflect on your practise
Has the past year been good/bad/satisfactory or otherwise for you, and why?
What do you consider to be your most important achievements in the last year
What do you like and dislike about your role?
What elements of your job do you find the most difficult?
What elements of your job interest you the most, and least?
Page 13
Try and score your capability and knowledge relevant to your scope of practise against the following scale. This is quite a
subjective process, but is to give you an idea of your strengths and weaknesses and will help you identify where you may
wish to improve/develop skills
I regularly
This is
Of an
I regularly
I aspire to…
Clinical Area
find this
occasionally
acceptable
achieve better
challenging
less than
standard in the
than my
satisfactory
majority of
minimum
cases
standard
Record keeping
Treating all
patients with
dignity and
respect
Product/technic
al knowledge of
materials
Time
management
Reporting and
Administration
Communication
skills (incl.
telephone skills)
Completing
mundane tasks
IT/equipment
machinery skills
Teamwork (and
developing
others)
Steadiness
under pressure
Personal
Appearance
and Image
Ethical practicedo you know
when to whistle
blow
Radiography (if
within scope of
practice)
Dental Health
Education if
within scope of
practice
Orthodontic
nursing if within
scope of
practice
Your aspirations may be to increase your scope of practise, or –in recognising a lack of competence in a
particular field - to improve your knowledge and skill in your current role.
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Name
Practice
Section 1: Good clinical care
Commentary - what do you think are your main strengths as a DCP?
How do you check that you have done everything possible to assist in a good patient
outcome?
What do you consider to be your most important aims and tasks in the next year?
What evaluation tools have you been involved in to quality assure your role as a DCP?(eg
Record keeping audit where you write the records, patients satisfaction surveys which include reference to
clinical support staff)
Page 15
What factors in your workplace(s) or more widely, stop you achieving what you aim for in your
clinical work?
It may be constructive to focus on those factors that can be addressed in your practice setting
What aspirations do you have?
This may be something you want to undertake for either personal or professional development, to improve your work, expand
your scope of practise or alter your work life balance.
Page 16
Suggested material you may provide in support of your self-assessment
Only include evidence that best supports
your statements
Location of
Evidence Provided
by Appraisee in
portfolio
Audit Data (involving you eg radiography)
Feedback from Colleagues/ peer review
Critical Incident Reports or near misses
Child Protection and Vulnerable Adult
training
Verifiable CPD relating to scope of
practice as appropriate – with learning
outcomes eg.;
- Cross infection control
- Medical emergencies
- Handling patient complaints
(ethical and legal aspects of care)
- Radiography
- Periodontal indices
- IOTN training
- PAR scoring
(this is not a comprehensive list)
Verifiable CPD relating to patient safety
eg vulnerable adult and child protection
courses –with learning outcomes
Page 17
Comments by Appraiser in
preparation for Appraisal
Section 2: Communication
Commentary – What measures are in place in you practise to ensure there is good
communication between;

members of the team?

The laboratories

The patients
How have you used the following

written the data held within the record cards clearly and legibly according to best practice
(please provide anonymised samples of your input where appropriate)?

Use of Information leaflets for patients?

Information Governance training?
What discussions have you had within the Practice about confidentiality, diversity and equality/
child protection and dealing with vulnerable adults? (eg storage of data, language difficulties,
maintaining patient dignity/identifying those who are vulnerable and acting accordingly?)
Page 18
What factors stop you communicating effectively in your role as a DCP;
What measures are in place to assist you in developing your communication skills (if any)
Do you receive constructive feedback from other team members in the workplace?
What would you like to do better? What do you think are your current needs in this area?
This is in preparation for agreeing a PDP
Page 19
Suggested Documents in Support
Whilst it is not always the responsibility of the DCP to ensure the content of the record card is
complete and signed off, your role may require you to accurately, legibly and contemporaneously
record the outcome of examinations and treatment as appropriate.
Communication How well do I input data relating to patients and keep them informed?
Only include evidence that best supports
Location of
Comments by Appraiser
your statements
Evidence in Portfolio
in preparation for
provided by
Appraisal
Appraisee
Clinical record cards – clear and legible
Clinical record cards – Informative and
explanatory
Clinical record cards signed off by the
appropriate Registrant
Anonymised Clinical records audit
Complaints handling policy – any examples
of its implementation through you
Lab work – information on lab tickets written
by you
Evidence of inter-personnel communication
methods in the practice
Page 20
Section 3: Management and Leadership
How –in your practice- are your absences planned to allow safe practice for the remaining
team?
Do you actively participate in Staff meetings? How frequently do they occur, how are they
recorded and how do you check that any action arising has taken place?
Are you dependable? If you are asked to complete a task can you be relied on to see it
through, or delegate it safely to someone else to complete?
What factors in your workplace, or more widely, stop you achieving what you aim for in this
area?
What can be addressed in the practice?
Page 21
Suggested Documents in Support
Management and Leadership;
Only include evidence that best supports
your statements
Location of
Evidence in
portfolio Provided
by Appraisee
Staff meetings – how often,
documentation, action plan, follow-up
Complaints process / feedback (evidence
of any received)
Significant/adverse event reports involving
you
Patient feedback (include thank you
letters/cards relating to you)
Record of knowledge and involvement in
maintaining up to date practice policies
and protocols – to demonstrate how you
are included in your practice
Page 22
Comments by Appraiser in
preparation for Appraisal
Section 4: Professionalism
Do you know what it means to be a Dental Care Professional? How would you describe it?
How does the public expect you to conduct yourself outside the Practice?
How have you developed your relationship with the other members of the team in your
practice? Has it reached the level you hoped to achieve?
What professional or personal factors significantly constrain or compromise you in this area?
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
Page 23
Documents in Support
It is difficult to provide evidence of Professionalism as it encompasses so many intangible aspects
of your work. The GDC ‘Standards for the Dental Team’ states that you must always act in the
best interests of patients attending your practice. There is now a section of the Standards devoted
to Professionalism and how your conduct and behaviour may affect patient’s confidence in the
Profession.
Professionalism
What does it mean to be a Dental Professional?
Location of Evidence Comments by Appraiser in
Only include evidence that best supports
in portfolio provided
preparation for Appraisal
your statements
by Appraisee
Professional Indemnity – through the
practice or self-purchased?
Peer review; opportunities to discuss
professional work with colleagues
Multisource feedback eg. 360 feedback,
thank you cards, patient surveys, staff
surveys
Regular Appraisal - PDP if one available
already
Any other additional information
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Appraisal for Dental Care Professionals
Post-Appraisal Forms
PART C
Please keep the ORIGINALS of these forms in your folder and send a
copy to your Appraiser who may be your Practice Manager
Appraisee:
GDC number:
Date of Appraisal:
Appraiser:
Signed Off Date:
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FORM 4: SUMMARY OF APPRAISAL DISCUSSION WITH AGREED ACTION
This form sets out an agreed summary of the appraisal discussion and a description of the actions
agreed, including those forming your personal development plan.
The form will be completed by your appraiser and then agree by you.
SUMMARY OF APPRAISAL DISCUSSION
1. Clinical Care
Summary of evidence
Action agreed
2. Communication
Summary of evidence
Action agreed
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3. Management and Leadership
Summary of evidence
Action agreed
Professionalism
Summary of evidence
Action agreed
Any other relevant information eg work undertaken in another Primary Care Trust area.
Page 27
Sign Off
We confirm the information provided is an accurate record of the documentation.
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
Print: _________________________________
Signed:
Appraiser
Print: _________________________________
Date: _________________________________
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PERSONAL DEVELOPMENT PLAN
Using the template provided here, the appraiser and appraisee should identify key development
objectives 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

Note: DCP’s with extended duties should provide:1) Evidence of how they have ‘achieved’ extended duties status.
2) Evidence of how they keep up to date.
3) Evidence of how they obtain high quality outcomes to maintain this status (ie, audit, PAR
scores/feedback).
Mandatory CPD Summary:
When did your CPD cycle begin?
_______________________________
When does it end?
_______________________________
What CPD have you undertaken so far?
What mandatory CPD is outstanding for your current cycle?
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PERSONAL DEVELOPMENT PLAN
NAME:____________________________________
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
What do you need to Explain how you will
do?
take action, and what
resources you will
need?
1.
Date by which I plan to
achieve the
development goal
The date agreed with
your appraiser for
achieving the
development goal.
2.
3.
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Outcome
Completed
How will your work in
Agreement from your appraiser that
the practice change as a the development need has been
result of the
met.
development activity?
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:
Appraisee
Print: _________________________________ GDC Number _______________________
Signed:
Appraiser
Print: _________________________________ GDC Number _______________________
Date: _________________________________
Please record here the name of any third parties that contributed to the appraisal and indicate the
capacity in which they did so.
Jan2014/JJM
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Department of Postgraduate Dentistry
January 2014