A. Performance Planning Meeting (Preparation and Conduct) - Stage 7.
1. Before the Meeting - Appraiser:
a. Review the organization's and your element's Beliefs Set.
b. Review the individual's job description.
c. Develop goals the individual ought to achieve in the coming year.
d. List the significant competencies you expect to see demonstrated.
e. Clarify what you expect as successful performance for each competency.
f. Formalize the opening remarks.
2. During the Meeting - Appraiser:
a. Open the meeting with an overview.
b. Come to agreement on the individual's key job responsibilities.
c. Develop a common understanding of expectation.
d. Identify important competencies the individual must display in doing the job.
e. Create an appropriate individual development plan.
3. After the Meeting - Appraiser:
a. Authorize additional measurement routines (Multi-source, RGB-MTT, etc.).
b. Authorize development plan activity with development officials.
4. Before the Meeting - Person being Appraised:
a. Review the organizations Belief Set with your organization element's goals.
b. Review your job description and prioritize your significant responsibilities.
c. Prepare a recommended list of goals for the next year.
d. Think about what successful performance would be like.
e. Review the results of additional measurements available.
5. During the Meeting - Person being Appraised:
a. Come to agreement on key responsibilities, competencies, and goals.
b. Come to agreement on your development plan.
c. Make notes on the meeting topics.
6. After the Meeting - Person being Appraised:
a. Follow-through with additional authorized measurement routines.
b. Follow-through with all development authorized.
c. Keep the Appraiser informed of progress.
d. Provide a copy of meeting notes to the Appraiser.


B. Development - Stage 8.
1. Clarify Mutual Outcomes to be Achieved.
a. Think of both advantages to the Appraiser and the Person being Appraised.
b. Fully document the Outcomes to be achieved.
c. Be certain that expectations are clear.
2. Provide Education and Training to Assure Understanding.
a. Identify self-help resources.
b. Identify and fund professional development opportunities.
c. Confirm that skills of others that are performing to standard can be attained.
d. Acquire Multi-source, RGB-MTT, etc., CapacityWare™ proficiency.
3. Clarify and Enforce Appropriate Consequences.
a. Clarify what will happen in the absence of improvement to standard.
b. Clarify what will happen if performance is acceptable (not marginal).
c. Set a time limit (normally 90 days is ample).
4. Provide and Seek Feedback - Engage Authority for Optional Measurements.
a. The person to be appraised must take the initiative to seek feedback.
b. The Appraiser must note feedback/coaching opportunities completed.
5. Eliminate Interference.
a. The person to be appraised must prioritize work to accomplish outcomes.
b. The Appraiser must eliminate obstacles over which the person to be appraised has no control.


C. Performance Tracking - Stage 9.
1. Appraisers Responsibilities:
a. Clearly communicate changes in Beliefs Set, Strategy, and Work Regimen.
b. Provide feedback and coaching when appropriate.
c. Reinforce positive contributions with recognition and rewards.
d. Monitor development plan to assure progress.
e. Maintain or examine existing performance records.
f. Develop conditions within which the person being appraised is motivated.
g. Delegate stretch tasks within the competencies to the person being appraised.
2. Person being Appraised Responsibilities:
a. Incorporate changes to Beliefs Set, Strategy, and Work Regimen.
b. Seek feedback and fully engage in coaching opportunities.
c. Keep your Appraiser informed of shifts and progress to objectives.
d. Make progress and complete development authorized.
e. Initiate records that document strengths and invite Appraiser reviews.
f. See developmental opportunities beyond those authorized.


D. Performance Appraisal Process Evaluation - Stage 10.
1. Evaluation of the Stages of Performance Appraisal - All Concerned.
a. All concerned will complete an evaluation of the Appraisal process.
b. Human Resources and/or Organization Developers will improve the process.
2. Evaluation of the Synchronization of Appraisal with other Data Collection.
a. Organization Developers will assess the impact of all other data collection on Performance Appraisal systems.
b. Organization Developers will assess the impact of Performance Appraisal systems on all other data collection initiatives.


E. Midterm Review - Stage 1.
1. Appraiser:
a. Review the last Performance Meeting Notes.
b. Follow the same general practices as for the Performance Meeting.
c. Do not follow pre-and post meeting routines with the Senior Appraiser.
d. Keep the Midterm Review informal, yet include unofficial documentation.
e. Authorize Additional measurement routines (Multi-source, RGB-MTT, etc.).
2. Person Being Appraised:
a. Discuss progress toward performance outcomes.
b. Discuss progress toward developmental outcomes.
c. Make notes of the meeting and provide the Appraiser with a copy.


F. Additional Measurements and Appraisal Form Preparation - Stage 2.
1. Person to be Appraised:
a. Research alternative measurement options.
b. Seek authority to engages alternative measurement options.
c. Within the parameters established, design alternative measurements.
d. Implement alternative measurements.
2. Appraiser:
a. Consider the authorization of alternative measurement options.
b. Authorize or disapprove alternative measurements.
c. Clarify the use - self-improvement or incorporation into appraisal system.
3. QWLC CapacityWare™ Certified Facilitator:
a. Assist in the creations of instrumentation.
b. Process or arrange to have processed feedback.
c. Prove a model for accepting feedback.
4. Coach/Mentor:
a. Assist with feedback and plan of action development.
b. Monitor progress.
c. Seek and channel the person to be appraised with development opportunities.


G. Correlation of Available Measurements into Proposed Appraisal - Stage 3.
1. Appraiser's Responsibilities:
a. Request a list of accomplishments from person being appraised.
b. Review the complete list of responsibilities for person being appraised.
c. Review significant performance documentation provided.
d. Conduct a "mental" comparison between the same or similar job incumbents.
e. Complete a draft and final copy of performance appraisal.
-- Gather and review all appropriate information.
-- Develop the "core message" you intend to deliver.
-- Identify three areas: strengths, needs improvement, development need.
-- Prepare to "tell the truth" - whatever it might be.
f. Prepare for both the approval meeting and the performance appraisal meeting.
2. Person being Appraised Responsibilities:
a. Objectively review your performance over the appraisal period.
b. Review additional documentation authorized for collection.
c. Provide a copy of all significant documentation you want considered.
d. Develop a list of accomplishments requested and provide it to your Appraiser.
e. Develop a summary of your progress toward authorized development.
f. Consider and develop a list of potential revisions to job responsibilities.
g. Prepare for the performance appraisal meeting.


H. Elicit Approval of Appraisal by Senior Appraiser - Stage 4.
1. Appraiser's Responsibilities:
a. Determine any changes that may be appropriate for the next year's appraisal.
b. Present the draft copy of the appraisal with anecdotal supporting information.
c. Be prepared to provide additional information in support of ratings.
2. Senior Appraiser's Responsibilities:
a. Conduct a Performance Comparison meeting with peer direct report status.
b. Review proposed appraisal and suggest modifications when appropriate.
c. Approve the final appraisal.
d. Coach appraiser when appropriate.


I. Delivery of Approved Appraisal Documentation - Stage 5.
1. Appraiser: provide a copy of the approved Appraisal the day before the Meeting.
2. Person Being Appraised: provide results of additional measurements authorized.


J. Performance Appraisal Meeting - Stage 6.
1. Before the Meeting - Appraiser:
a. Schedule the meeting at an optimum time and place for both.
b. Create an advance agenda and provide the person to be appraised a copy.
c. If needed - discuss with others the attributes of the person to be appraised.
d. Assure pre-meeting administrative requirements, if an, are met.
2. During the Meeting - Appraiser.
a. Set the tone of the meeting by providing overview remarks.
- Welcome.
- Importance of Meeting.
- Limit the Amount of Time for the Meeting.
- Describe How You'd Like to Proceed.
- Begin with a clear outcome "core message."
b. Discuss your appraisal of performance compared to expectations.
c. Listen to and consider the implications of responses.
d. Be certain that your "core message" has been understood.
e. Request that the Appraisal be signed as an acknowledgement of occurrence.
f. Acknowledge areas of agreement and disagreement - encourage written notes.
g. Scheduled a meeting to conduct performance planning for next year.
h. Conclude with summary remarks related to the "core message."
- Summarize.
- Highlight Strengths.
- Review what needs to be improved - immediately.
- Identify development needs - highlight the most important.
- Review next steps - paperwork, next meetings, monitoring mechanisms.
- Congratulate (or otherwise offer the need to adjust).
3. After the Meeting - Appraiser.
a. If requested, follow-through with the Senior Appraiser.
b. Complete administrative and documentary requirements.
4. Before the Meeting - Person Being Appraised:
a. Be ready to listen and respond when appropriate.
b. Assure work continuity when essential.
5. During the Meeting - Person Being Appraised:
a. Discuss the achievement list you authored.
b. Discuss the progress and impact of the development efforts completed.
c. Ask for clarifying remarks about anything that is not fully understood.
d. Compare your self-appraisal with that of your Appraiser.
e. Discuss the changes you've already decided to make in the coming year.
f. Respond to your Appraisers assessment of your performance.
g. Make notes of the meeting topics.
h. Provide comments of disagreement in writing when asked to do so.
6. After the Meeting - Person Being Appraised:
a. Provide the Appraiser with your meeting notes.
b. Reflect on the significant points that surfaced during the meeting and commit to positive follow-through action.





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