PERFORMANCE MANAGEMENT HANDBOOK
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1 PERFORMANCE MANAGEMENT HANDBOOK SUPERVISOR S GUIDE TO PREPARING PERFORMANCE PLANS AND APPRAISALS 65 FSS/FSMC LAJES FIELD AZORES PORTUGAL
2 HOW TO COMPLETE PERFORMANCE APPRAISALS (Civilian Performance and Promotion Appraisal - AF Form 860A) 1. General. Type the employee s information in the top portion of AF Form 860A (use award spreadsheets provided to Squadron CCs and QCR s to ensure accurate information). 2. Rating Cycle. Annual rating cycle is 1 April to 31 March. Note: Supervisors may change appraisal factors for employees new to the Air Force after completion of 90 days as these employees are given presumptive 5s until supervisors have 90 days to appraise. 3. Annual. A rating of record is prepared for the annual appraisal period 31 March through 1 April. The annual appraisal is effective 1 June. 4. Rating Evaluation. Part A of AF Form 860A, annotate with an "X" to indicate whether the element requirements as described in the performance plan, were met or not met. There may be times when an element is not observed during the rating cycle. In these instances, you would annotate that the element was "Not Observed". 5. Overall Performance Rating. When all critical elements are met, the employee will receive an Acceptable rating which is annotated by placing an R in this block. If one or more critical elements are not met, the employee will receive an Unacceptable rating which is annotated by placing an N in this block. An Unacceptable rating is the basis for initiating a performance improvement plan and requires proper documentation. You must contact the Civilian Personnel Flight for guidance on how to proceed. 6. Impact on Mission Accomplishment Statements. Part B, Lajes does not have positions at these grades; therefore, do not use this section. 7. Award Justification. Part C, Employee must receive an acceptable rating for eligibility. The justification is limited to 9 lines in bullet format and should address specific accomplishments of the employee. 8. Award Data. Part D, Employees may be recommended for a Time-off Award by stating the number of hours and/or a cash award up to 5 percent of the employee s salary. Recommendations in this area should be completed in pencil until approved. 9. Certification Signatures. Part E, The rating official (supervisor), signs the AF Form 860A upon completing the rating. The reviewing official signs the appraisal after ensuring the form is properly completed, and overall rating and award justification are adequately supported. Note: The reviewing official has the authority to change the rating and award amount; however, reviewing official should discuss revisions with the rating official prior to effecting changes. 10. Rating Appraisal Factors. Part F, Manner of Performance (Work Behaviors). This section does not apply to employees in grades GS/GM-15 and above. This part of the appraisal is used for competitive in-service placement actions, to include but not limited to, promotions and reassignments. 1
3 The ratings on this part are used as a sort factor in determining final rank order of employees having substantially equal knowledge, skills and abilities, when the number of candidates exceeds the number of employees who can be referred to the selecting official for consideration. Rating official must note that these appraisal factors represent work behaviors that can be observed in the context of the employee s current position and are considered predictive of performance at the next higher level. NOTE: Informational Ratings are 'informal' ratings and normally do not require reviewing official coordination. 2
4 Lajes Appraisal Process Steps in the Appraisal Process: 1. The rater/supervisor assigns ratings, appraisal factors, award justifications, and award amounts, if applicable, (award amounts should be accomplished in pencil until final approval) then: a. signs AF Form 860A and recertifies the performance plan, (signature on performance plan or core document indicates that the rating is current and certified), and b. forwards the appraisal package to the reviewer (immediate supervisor). THE EMPLOYEE DOES NOT SEE OR SIGN THE AF FORM 860A UNTIL AFTER THE QUALITY CONTROL REVIEW AND THE RATING IS FINALIZED. 2. The reviewing official reviews the appraisal (the QCR Checklist may be used, see Atch 1), then: a. signs and dates the AF Form 860A if he/she agrees with the ratings/justification, b. recertifies the performance plan, and c. forwards the appraisal package to the designated QCR. If the reviewing official disagrees with the ratings/justification, he/she should discuss the disagreement with the rating official. This discussion is strongly encouraged and provides an opportunity to come to a mutual agreement on the ratings/justification. If the reviewing official still disagrees after consulting with the rating official, he/she changes the rating, signs and dates the form, and forwards to the QCR. Due to possible changes by the reviewing official, the rating official should not discuss ratings and/or awards with employees prior to approval. As management officials, supervisors are required to support the final approved ratings and award determinations made by higher level reviewing officials. A final completed appraisal must not reflect indication of disagreement between any of the officials involved. 3. The QCR reviews the appraisal packages, (the QCR Checklist must be used for this purpose, see Atch 1), then: a. ensures all requirements are met, b. signs the QCR checklist, c. returns appraisal packages, or requests additional information from the rate/reviewer, if there are discrepancies, d. forwards appraisal packages without award recommendations back to the raters so that they may discuss ratings with employees, and e. forwards appraisal packages with award recommendations to the commander/award approving official, who will forward the final package back to the rater for discussion with employee. 3
5 4. The rating official discusses the appraisal with the employee for the first time, then: a. obtains the employee s signature on AF Form 860A, and on performance plan b. provides a copy to the employee, c. documents AF Form 971, d. places the original performance plan, and a copy of the AF Form 860A in the Supervisor s Employee Work Folder, and e. forwards the original AF Form 860A to the QCR no later than the internal suspense date. If the employee is unavailable at this point, the supervisor submits copies of the appraisal to the QCR indicating the employee s duty status and anticipated return date. Upon the employee s return, the supervisor follows the steps above. If an employee refuses to sign acknowledging receipt of an appraisal, the rater annotates the employee signature block with employee chose not to sign. 5. The QCR is responsible for obtaining and forwarding the final AF Form 860A (original) and QCR Checklist to 65 FSS/FSMC. 4
6 CHANGES IN RATING OFFICIALS 1. Changes in Rating Officials. If the rating official changes or departs between the beginning of the rating period and 31 December, he/she prepares an informational appraisal and leaves it and the performance plan for the new supervisor. This is not a rating of record for official purposes, but serves only as information for the new supervisor to consider when he/she does the annual rating. If the rating official changes or departs between 1 January and 31 March, and supervised the employee fewer than 90 days, the reviewing official prepares annual rating of record with input from departing supervisor. If the rating official changes or departs between 1 January and 31 March, and supervised the employee 90 days or more, departing supervisor prepares annual rating of record and leaves it for processing by reviewing official. 2. Employee Transfers/Changes Positions. If an employee moves within the Air Force between the beginning of appraisal period and 31 December, losing supervisor prepares an informational appraisal and forwards it to new supervisor. The new supervisor considers the informational appraisal and renders annual rating of record at end of appraisal cycle. If an employee moves within the Air Force between 1 January and 31 March, losing supervisor renders annual rating of record. If employee is approved for an award, the losing organization is responsible for paying award amount. 3. Details or Temporary Promotions. When an employee is on a detail or temporary-promotion, appropriate consideration of the employee's performance is required. The employee's rating official will coordinate with the detail or temporary promotion supervisor so that the duties and responsibilities of the temporary assignment are properly reflected in the performance plan. If an annual appraisal is due and the employee is on detail or temporary promotion, the appraisal is documented on AF Form 860A, by the detail or temporary promotion supervisor, if the assignment has lasted for 90 days or more. If the annual appraisal is due and the detail or temporary promotion has been for less than 90 days, the rating official completes the appraisal when due, but consults with and considers the views of the detail or temporary promotion supervisor. If, at the time of the annual appraisal, the employee is not then, but had been, on detail or temporary promotion during the appraisal period, the rating official completes the appraisal but consults with and considers the views of the temporary supervisor. 4. Leave Without Pay (LWOP). When an employee departs on leave without pay (LWOP) status and is carried on that organization s Unit Manning Document as of 1 April, an annual appraisal is required. It is strongly recommended that an appraisal be completed at the time LWOP begins or shortly thereafter. Submit the completed appraisal through your normal Quality Control (QC) process to 65 MSS/DPCE upon completion for processing. Contact your servicing Employee Relations Specialist to verify if an appraisal is required. Employees resigning prior to 31 March will not receive an annual performance rating. NOTE: For employees who have moved to another installation, DPCE will forward the AF Forms 860 and 860A to the gaining Civilian Personnel Flight (CPF) for employee acknowledgment and inclusion in the Employee Personnel Folder (EPF). 5
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