Review and Appeal Process in Scotland Deanery - Overview and Guidelines

Understanding the Review and Appeal process is crucial for trainees in the Scotland Deanery. This policy outlines the importance, procedures, and outcomes of reviews and appeals, emphasizing the opportunities for learning and improvement. Trainees have the right to appeal certain ARCP outcomes, and the process involves careful consideration of evidence and new submissions. The process aims to ensure fairness and transparency in decisions affecting trainees' progression and training contracts.

• Scotland Deanery
• Review and Appeal
• Trainee
• ARCP
• Guidelines

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1. ARCP Reviews and Appeals Scotland Deanery Policy https://www.scotlanddeanery.nhs.scot/media/3926 16/covid-19-arcp-appeal-process-final2.pdf https://www.scotlanddeanery.nhs.scot/trainee- information/annual-review-of-competence- progression-arcp/appeal-your-decision/

2. Importance and Value of Reviews and Appeals Overview of Review and Overview of Appeal Review Process and Outcomes Aims and Content Appeal Process Preparation before Evidence pack preparation (guidance) and timelines On the day Panel membership, Appeal Format and Attendance Post Appeal Process Removal of NTN (without ARCP) Appeal Process

3. Gold Guide 8 regulated process Standard Operating Procedure developed by Scotland Deanery Information available on Scotland Deanery website Review and Appeals Is an opportunity for deanery to learn and amend processes if appropriate High stakes for trainees and is stressful for them Deanery representatives (TPDs/ FPDs/ APGDs /ADs) unusual event

4. Trainee can appeal the decision resulting from an ARCP panel Trainee can appeal the decision to withdraw their NTN/training contract (withdrawal without ARCP e.g. GMC sanctions) All applications for appeal involve a review Only certain ARCP outcomes can proceed to formal appeal panel (3, 4, 7.3 or 10.2, removal of NTN/training contract) Trainees are notified of their right to appeal at the face to face meeting after their ARCP. Important that face to face meetings go ahead Right to review and appeal

5. The original ARCP panel that issued an unsatisfactory outcome, return to that decision, to reconsider whether it was appropriate. NEW PROCESS FOR FOUNDATION (replaces FSD review process) Review Overview undertaken for all requests The Review must take into account the representations of the trainee asking for the Review and any other information, including additional relevant evidence, whether it formed part of the original considerations or has been freshly submitted (GG 4.161). A trainee in receipt of an outcome 2, 7.2 or 10.1 has the right to Review only (GG 4.165).

6. Appeal Overview The decision of the original ARCP panel is considered by a different panel. An Appeal takes into account the information/evidence available at the time the original outcome was issued alongside newly submitted evidence relevant to the Appeal and the representations of the trainee making the Appeal request. (GG 4.162) Applicable for trainee in receipt of an outcome 3, 4, 7.3 or 10.2 (GG 4.166-4.179) A Review will be conducted as a preliminary part of the process.

7. Review Process Trainee must be submit an application in writing within 10 working days from date of face to face meeting arcp.appeals@nes.scot.nhs.uk A Deanery Appeal Team (DAT) case manager will be allocated to the trainee and will liaise with the trainee and all panel members to ensure a consistent and fair process Trainee completes a Review Request form detailing their reasons Trainees should submit written evidence to support their request for an appeal. New information for an appeal might include new evidence of mitigating circumstances not available to the ARCP panel. New information would not normally include competences/capabilities or evidence from assessments acquired after the date of the ARCP subject to appeal (GG 4.162) The DAT case manager will liaise with the Chair of the original panel to arrange the Review within 15 working days (approx.) of original outcome

8. Review Outcomes Original panel reviews the information in trainee s request. Panel chair provides written response to trainee either upholding original decision or overturning the decision giving clear reasons for either outcome and specifically responding to the grounds for Review listed by the trainee in their Review Request form. Review process now applies to foundation hence FPDs and APGD Foundation may be involved in Reviews The panel should not impose an increased sanction on the trainee. In circumstances where new information has come to light that may inform a decision to increase the sanction, these issues will be brought to the attention of the Lead Dean Director. (4.177)

9. Review Outcomes Original ARCP Outcome Potential overturned/amended Review Outcome Potential for further Appeal Request 2, 10.1, 7.2 1, 7.1, 10.1 (for 2 only) Panel decision is final, no furtherappeal process 3 1, 2, 10.1, 10.2, 6 If original outcome is upheld, trainee has the right to request an Appeal 4 1, 2, 10.1, 10.2, 3, 6 If original outcome is upheld, trainee has the right to request an Appeal 7.3 7.1, 7.2 If original outcome is upheld, trainee has the right to request an Appeal 10.2 1, 10.1 If original outcome is upheld, trainee has the right to request an Appeal

10. The DAT case manager will organise a new panel for the Appeal Preparation before panel Deanery evidence pack prepared by Deanery representative (FPD/TPD/APGD) - guidance is available Trainee also provides evidence if they wish Appeal Process On the day Panel membership Format - TPD/FPD or original Chair of the ARCP panel are expect to attend as the Deanery representative detailing why the original panel came to their decision Outcome

11. Evidence pack contains information from trainee and the deanery representative Critical to the success of the appeal it is the only written information the panel have access to Evidence Pack Deanery evidence is prepared by deanery representative (FPD/TPD/APGD/AD) and training programme administrator. Signed off by specialty LDD before going to panel 5 days before appeal Note the panel do not have access to the trainee portfolio

12. As a FPD/TPD what evidence am I required to supply? The Appeal panel are not able to view the trainee e-portfolio of the trainee (they do not have access rights nor would they all know where to find information) Consider what the panel will need to make a decision bearing in mind that the panel have no prior knowledge of the trainee Working with your administrator, you should provide a narrative summary of the trainee s training to date and attach associated evidence (a checklist of documentation is provided for you) You should include a response to trainee s reason for appeal request The evidence will be reviewed by LDD and further information may be required

13. Summary Form DATE ACTIVITY OUTCOME EVIDENCE DOCUMENTS (Training programme administrator to assist compiling) e.g. Copy of ARCP form/ Report Complete in chronological order e.g. ARCP / Occupational health attendance e.g. OUTCOME 4/ summary of occupational health report recommendations

14. Check List Information Included Y/N **ARCP outcomes including full details of recent and previous satisfactory/unsatisfactory outcomes OHS reports including appointments attended/not attended if known and the discussion details if applicable offering support to recommendations if any made Evidence provided for recent ARCP which was used to decide the outcome Ie. Educational Supervisor/Clinical Supervisor reports E-portfolio evidence Ie. WPBA/MSF etc Trainee support ie PSU/other steps taken to support during any difficulties Details of meetings with trainee where trainee non-progression was discussed Ie. meeting details/early discussions when trainee was advised of possible adverse outcome Any other relevant communication e-mails between TPD and trainee deemed relevant for Appeal Evidence of engagement/non engagement/lack of insight/poor conduct/behaviours etc

15. Chair - LDD College Representative/Foundation School Director or Foundation PD from another foundation school Trainee Representative from another specialty Lay Representative For Core and Specialty: Consultant: ES/TPD/APGD from trainee s specialty, but different training region For Core and Specialty: TPD/APGD from another specialty For Foundation: Foundation PD/APGD from different Scottish region Appeal Panel Membership No previous knowledge of trainee members and trainee confirm no conflict of interest with trainee or deanery representative

16. Appeal Format The standard format of the Appeal enables the following: The trainee presents his/her case as to why the original ARCP outcome issued was incorrect; The deanery representative presents the case in support of the decision making of the original ARCP panel. Panel members will have opportunity to ask questions of trainee and deanery representative (to clarify information) Panel discussion and decision to Uphold or Overturn Trainee attends to receive panel decision Appeal decision is final Panel members aim to be balanced and fair fresh set of eyes The trainee can attend the deanery representative session AND the deanery representative can attend the trainee session observation only (although not the decision session).

17. Appeal Process - Attendance The deanery encourages the trainee to bring an accompanying person/s with them to the Appeal for moral support (maximum of 2 persons). a friend/colleague/family member/supporting representative from professional body. The trainee has the option to attend the Appeal, or they can opt to participate via written submission only The deanery representative must attend the Appeal in person (or virtually for virtual panels). A minute will be taken of the meeting and checked for factual accuracy by panel members and trainee (trainee part only)

18. Trainee will receive written confirmation of result by email (copied to the specialty LDD/APGD/AD(GP)/PD and Board HR representative) If an outcome is overturned, the programme administrator will amend the trainee s record on Turas and the relevant e-portfolio to show the revised outcome only. Post Appeal Process Continuous review process for improvement Feedback from panel members Chair to complete significant event analysis

19. Removal of Training Number (No ARCP) The right to Appeal withdrawal of NTN /training contract/removal from foundation programme Very unusual circumstance Same process as Appeal of ARCP Outcome except that no deanery representative involvement. LDD undertakes the review Written submission, for Appeal panel, prepared by the LDD who removed the training number.

20. Any Questions email arcpappeals@nes.scot.nhs.uk