DEPARTMENT OF THE AIR FORCE WASHINGTON DC AFGM2017-36-01 1 April 2017 MEMORANDUM FOR DISTRIBUTION C MAJCOMs/FOAs/DRUs FROM: SAF/MR SUBJECT: Air Force Guidance Memorandum Establishing Performance Management Program Closeout and Interim Performance Management and Appraisal Cycle Guidance By order of the Secretary of the Air Force, this Air Force Guidance Memorandum (AFGM) immediately establishes guidance to close out the 2017 performance management and appraisal program for organizations implementing the Defense Performance Management and Appraisal Program (DPMAP) on 1 April 2017 under DoDI1400.25Vol431_AFI36-1002, Performance Management and Appraisal Program Administration in the Air Force, and provides interim performance management and appraisal instructions for organizations not certified to implement DPMAP on 1 April 2017. In collaboration with the Chief of the Air Force Reserve (AF/RE) and the Director of the Air National Guard (NGB/CF), the Deputy Chief of Staff for Manpower, Personnel and Services (AF/A1) develops personnel policy. There are no restrictions on the releasability of this publication and it may be supplemented at any level; all MAJCOM-level supplements must be approved by the Human Resource Management Strategic Board prior to certification and approval. Compliance with this memorandum is mandatory. To the extent its directions are inconsistent with other Air Force publications, the information herein prevails, in accordance with AFI 33-360, Publications and Forms Management. This guidance applies to individuals at all levels, including the Air Force Reserve and Air National Guard (ANG). DODI1400.25Vol431_AFI36-1002, Performance Management and Appraisal Program Administration in the Air Force, implements DPMAP for certified organizations effective 1 April 2017. AFI 36-1001, Managing the Civilian Performance Program, is rescinded on 1 April 2017. Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with Air Force Manual (AFMAN) 33-363, Management of Records, and disposed of in accordance with Air Force Records Information Management System (AFRIMS) Records Disposition Schedule (RDS).
This memorandum becomes void after one year has elapsed from the date of this memorandum, or upon publishing of a new Instruction/Manual permanently establishing this guidance, whichever is earlier. DANIEL R. SITTERLY Acting Assistant Secretary (Manpower and Reserve Affairs)
The authorities to waive wing/unit-level requirements in this publication are identified with a Tier number ( T-0, T-1, T-2, T-3 ) number following the compliance statement. See AFI 33-360, Publications and Forms Management, Table 1.1. for a description of the authorities associated with the tier numbers. Submit requests for waivers through the chain of command to the appropriate tier waiver approval authority, or alternately, to the publication OPR for non-tiered compliance items.
1. Purpose. Provides guidance for closing out performance management appraisals and recognizing high levels of performance for the performance cycle ending 31 March 2017. Provides performance management and appraisal guidance for organizations where DoDI1400.25Vol431_AFI36-1002, Performance Management and Appraisal Program Administration in the Air Force, is not implemented on 1 April 2017 due to the inability of the Air Force to certify readiness to DoD for that organization. 2. Background. The Defense Performance Management and Appraisal Program (DPMAP) is implemented in the Air Force on 1 April 2017. AFI 36-1001, Managing the Civilian Performance Program, which provides policy and guidance for the current performance management program, will be rescinded effective 1 April 2017. Appraisals and recognition for the performance cycle ending 31 March 2017 are processed during April through June 2017 and require official guidance for closing out the performance cycle. Organizations that are not certified as ready to implement DPMAP will follow the processes in this publication until they are certified as ready for DPMAP implementation. Upon certification the organization will implement DPMAP within 30 to 60 days. (T-1) 3. Coverage. This publication is applicable to civilian employees in the general schedule pay system in pay plans GS, GL (law enforcement officers), GP (physicians and dentists), federal wage system (FWS), and administratively determined (AD) and their supervisors. NOTE: Academic faculty in pay plan AD at the United States Air Force Academy (USAFA), Air University (AU), and Air Force Institute of Technology (AFIT) are not included in this publication. 4. Roles and Responsibilities. 4.1. Assistant Secretary of the Air Force for Manpower and Reserve Affairs (SAF/MR). Serves as an agent of the Secretary and provides guidance, direction, and oversight for all matters pertaining to the Civilian Performance Management Program. 4.2. The Deputy Chief of Staff of the Air Force, Manpower, Personnel and Services (AF/A1). Develops, coordinates, and executes personnel policy and essential procedural guidance for the management of the Civilian Performance Management Program. 4.3. Director, Civilian Force Management (AF/A1C). Directs development of Civilian Performance Management Program policy to ensure compliance with this Guidance memorandum and consistency across the Air Force. 4.4. Air Force Personnel Center (AFPC). Establishes operating procedures and processing guidelines to close out the Civilian Performance Management Program prior to DPMAP implementation. 4.5. Civilian Personnel Section (CPS). Provides management advice with regard to the administration of the Civilian Performance Management Program and closing out the civilian performance management appraisal prior to DPMAP implementation; assists supervisors in addressing performance concerns and actions applicable to the savings provision in DoDI1400.25Vol431_AFI36-1002, Performance Management and Appraisal Program Administration in the Air Force.
4.6. Supervisor/Rating Official. Prepares the rating of record to close out the performance appraisal cycle and meets with employees to discuss the rating. Prepares rating-based recognition of highquality performance as appropriate. 4.6.1. Develops performance plans with employee input, based on duties and responsibilities. Ensures there is a clear linkage of work assignment to organizational mission. Clearly communicates expectations regarding performance to employees. Monitors employee performance and provides timely performance feedback; makes adjustments in the performance plan, as necessary. Assists employees in improving performance, using verbal and written feedback throughout the rating period as needed. 4.6.2. For each employee, conducts at least one progress review midway between the initial annual planning session and the end of the rating period. Conducts additional progress reviews as necessary. 4.7. Reviewing Official. Ensures subordinate rating officials execute the performance management process within established guidelines and timelines. Reviews the performance plan and may make changes prior to providing final approval. Reviews the performance appraisal and performance award nomination, if applicable, for sufficiency and consistency. Acts as final rating approval authority. 4.8. Award Approving Official. Reviews the performance award nomination for sufficiency and consistency. Is the award approval authority. 5. Closing Out the 2017 Performance Management Cycle 5.1. An employee must be assigned to the official position and on an approved performance plan for a minimum of 90 consecutive calendar days during the evaluation period for performance to be observed and evaluated. (T-1) Contact the Civilian Personnel Section (CPS) for guidance if an employee does not meet the minimum period of performance. 5.2. The rating official must prepare an annual performance evaluation, AF Form 860A, Civilian Rating of Record, for each employee meeting the minimum period of performance. (T-1) The evaluation is prepared between 1-30 April 2017. 5.2.1. Using AF Form 860A, the rating official evaluates performance against the performance elements and standards in the performance plan (AF Form 1003, Air Force Core Personnel Document or AF Form 860, Civilian Performance Plan) and determines if the employee Meets or Does not Meet the standards for each element and provides an overall performance rating. If an employee does not have the opportunity to perform an element for the minimum period of performance that element should not be rated and will not be considered in the overall performance rating. 5.2.1.1. Assign a rating of R-Acceptable if all performance elements are met. 5.2.1.2. Assign a rating of N-Unacceptable if any performance element is not met. 5.2.2. The rating official recommends whether an award is appropriate in accordance with the guidance in paragraph 6 and applicable installation awards program guidance. 5.2.3. The rating official certifies the rating and forwards the appraisal to the reviewing official for approval. If applicable the appraisal is forwarded to the award approving official for approval. 5.2.4. Once appraisal certifications and approvals are complete the rating official discusses the appraisal and rating with the employee. The employee signs the AF Form 860A to acknowledge receipt of the appraisal and discussion. If the employee refuses to sign the AF Form 860A, the rating official annotates the form with, Employee chose not to sign and dates the form. 5.2.5. When the rating official is unavailable, unable, or fails to complete an AF Form 860A, the reviewing official will complete and assign the rating of record. The reviewing official will
forward rating will forward the AF 860A to the next in the chain of command as outlined in paragraph 4.7. of this AFGM. 5.3. After the AF Form 860A is completed, the employee is given a copy of the appraisal and rating. (T-1) Follow local procedures to ensure the rating is documented in the Defense Civilian Personnel Data System (DCPDS). The rating official retains the original document in the Employee Performance File (EPF) portion of the supervisor s employee work folder or follows local procedures. 5.4. Employees may seek reconsideration of issues related to the performance appraisal process (e.g., individual performance element ratings and ratings of record) through the administrative grievance system or, where applicable, negotiated grievance procedures. Employees may not challenge contents (e.g., performance elements or standards) of a performance plan and decisions to grant or not grant a performance award, time off award, or quality step increase (QSI) through the administrative grievance system or, where applicable, negotiated grievance procedures. 5.5. The performance appraisal rendered under this program may be used as a basis for taking appropriate personnel actions in accordance with applicable provisions of law and regulation. 5.6. Contact the CPS for guidance regarding special situations or unusual circumstances. 6. Closing Out 2017 Rating-Based Performance Management Awards 6.1. Rating-based (RB) performance awards are discretionary and distinguish high levels of performance; they are not automatic or mandatory. 6.1.1. Awards are based on the rating of record, which is normally effective 1 June. Awards are not affected prior to the effective date of the rating of record. (T-0) Individuals who separate from the Air Force, or move to a position covered by a different performance management program, prior to the rating of record effective date have no rating of record to base the award on. These individuals may be recognized using incentive awards in AFI 36-1004, The Air Force Civilian Recognition Program. 6.1.2. Where applicable, follow local installation awards program guidance procedures. 6.1.3. Employees who receive an Unacceptable rating are not eligible for an award. 6.2. The rating official completes AF Form 860A, Part C, award justification, when an award is recommended. Justification for an award must address employee accomplishments and results made during the performance evaluation period while assigned to the permanent and/or a temporary position. (T-3) Justification is provided in bullet format. Do not include accomplishments previously recognized under the incentive awards program. 6.3. The rating official indicates the recommended type and amount of award(s) in accordance with award guidance for fiscal year 2017. 6.3.1. Performance Cash Awards (Individual Cash Award RB) are granted as a specific dollar amount. Office of Personnel Management (OPM) approval is required for cash awards over $10,000. (T-0) 6.3.2. Time-off Award (TOA) may be recommended alone or in conjunction with a performance cash award. A TOA will not be granted in conjunction with a QSI. (T-1) TOA limitations in AFI 36-1004 apply. (T-0) 6.3.3. QSI may be recommended for GS employees who receive a rating of record of Acceptable, have demonstrated sustained performance of high quality for a significant period of time. 6.3.3.1. Recommendation for a QSI is in conjunction with the current annual rating of record and the award justification describes specific accomplishments that demonstrate sustained exemplary performance, well above normal expectations. (T-1) 6.3.3.2. A QSI is effective the first pay period on or after the date the rating of record is effective.
6.3.3.3. A QSI and Performance Cash Award cannot be approved for the same period of performance. An employee will not receive a QSI based in whole or part on performance used to justify another monetary award during the same performance cycle. A TOA may not be awarded in conjunction with a QSI. 7. Organizations Not certified for DPMAP for 1 April 2017 Implementation 7.1. Implementation for Organizations not certified to include bargaining labor obligations for AF DPMAP implementation on 1 April 2017 will follow the performance management program requirements in this section. (T-0) Once certification requirements are met, the organization will be scheduled for implementation as described in paragraph 2 and where applicable subject to labor management agreements. 7.2. The appraisal pattern is a two-level rating pattern, Summary Level Pattern A, as identified in DoDI 1400.25 Volume 430, Performance Management. The performance rating levels are Level 3 Acceptable and Level 1 Unacceptable. 7.3. The appraisal cycle is 1 April through 31 March of each calendar year. The minimum period of performance is 90 calendar days. If an organization is not certified and scheduled for DPMAP implementation prior to 1 January 2018 the appraisal cycle will conclude on 31 March 2018 and the rating of record effective date will be 1 June 2018. (T-1) 7.4. Performance Planning. 7.4.1. The performance plan contains performance elements and standards and describe management s expectations based on the requirements of the position description. Performance elements are the critical duties of the position. Performance standards are written for each performance element and define performance at the Acceptable level. Performance standards address characteristics of performance such as quality, quantity, timeliness and work behaviors. Performance standards express how well the employee is expected to perform the duties in specific and measurable terms. 7.4.2. Use AF Form 860, Civilian Performance Plan, to prepare tailored performance plans in preparation for developing DPMAP performance plans. The guidance provided in DODI1400.25Vol431_AFI36-1002, paragraph 3.3.b and 3.3.c will facilitate transition to DPMAP and consistency between performance management program performance plans. The AF Form 1003, Air Force Core Personnel Document (CPD), can be used as a starting point to develop the performance plan on the AF Form 860. 7.4.3. Determining the performance plan elements and standards is a management responsibility; however, the employee should provide input to the supervisor in the development of the performance plan. Before finalizing and signing the performance plan, the rating official should provide the employee an opportunity to review and provide feedback. 7.4.4. The rating official submits the performance plan to the reviewing official for approval and signature. The reviewing official is the final approval authority and may return the performance plan to the rating official to make changes. 7.4.5. The rating official must discuss the approved performance plan and their expectations with the employee by 30 April or within 30 days of assignment to a position or to newly assigned or changed duties. (T-1) The rating official explains the performance elements and standards to ensure understanding of the performance requirements and expectations throughout the appraisal period. The employee signs and dates the approved performance plan acknowledging receipt. 7.5. Monitoring Performance and Feedback.
7.5.1. The rating official monitors the performance plan by providing ongoing assessment and feedback to the employee of their performance compared to the performance elements and standards. Ongoing monitoring and feedback provides the opportunity to assess each employee s progress in meeting the performance standards and to adjust unrealistic or problematic standards. 7.5.2. At least one formal progress review of the performance plan with the employee must be conducted during the performance cycle. (T-0) Organizations that are not certified to implement DPMAP by the midway point in the performance cycle will conduct a progress review using AF Form 860B, Civilian Progress Review Worksheet. (T-1) The rating official reviews the employee s performance to date against each performance element and standard in the performance plan and documents the review on AF Form 860B and discusses the review with the employee following the instructions on the form. The rating official signs and dates the form; employee signature is optional. 7.6. Evaluating Performance. 7.6.1. Organizations that have not implemented DPMAP prior to 1 January 2018 will complete the final 90 days of the performance cycle following the guidance in Section 7 of this AFGM. (T-1) 7.6.1.1. Annual performance evaluation and rating of record process will follow the guidance in Section 5 of this AFGM. (T-1) 7.6.1.2. Rating-based performance awards will follow the guidance in Section 6 of this AFGM. (T- 1) 7.6.2. Organizations that implement DPMAP between 1 April 2017 and 1 January 2018 do not complete a rating of record under this section. 7.7. Performance Based Actions. 7.7.1. Unacceptable performance. Efforts to address and resolve performance issues should occur before employee performance on any performance element falls below the Acceptable level. 7.7.2. If the employee s performance declines to less than Acceptable on one or more performance elements, the rating official, in consultation with the CPS, will determine whether action is appropriate under Title 5, Code of Federal Regulations, Section 432.105, Proposing and Taking Action Based on Unacceptable Performance or AFI 36-704, Discipline and Adverse Actions, and provide notice of the performance deficiencies. 7.7.3. The rating official must provide assistance designed to help the employee improve his or her performance during an opportunity period to demonstrate acceptable performance. (T-0) 7.7.3.1. The rating official must identify in writing, by preparing a performance improvement plan (PIP), the performance element(s) in which performance is Unacceptable and a description of the unacceptable performance; the standards the employee must attain in order to demonstrate Acceptable performance; the time allowed for the opportunity to improve; and a statement of the possible consequences of failure to raise performance to the Acceptable level during the opportunity period in the PIP. (T-0) The time allowed must be reasonable and commensurate with the duties and responsibilities of the position, typically 30-90 calendar days. 7.7.3.2. If the employee fails to demonstrate performance at the Acceptable level despite the PIP, the employee may be subject to reassignment, reduced in grade, or removed from federal service pursuant to Title 5, Code of Federal Regulations, Section 432.105, Proposing and Taking Action Based on Unacceptable Performance.
Attachment 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION References DoDI 1400.25 Volume 430, Performance Management, 5 August 2014 AFPD 36-10, Civilian Performance and Recognition, 23 September 2015 AFI 36-1004, The Air Force Civilian Recognition Program, 29 August 2016 DODI1400.25Vol431_AFI36-1002, Performance Management and Appraisal Program Administration in the Air Force, 15 November 2016 Prescribed Forms AF Form 860, Civilian Performance Plan AF Form 860A, Civilian Rating of Record AF Form 860B, Civilian Progress Review Adopted Forms AF Form 847, Recommendation for Change of Publication AF Form 1003, Air Force Core Personnel Document (CPD) Abbreviations and Acronyms AD Administratively Determined CPD Core Personnel Document CPS Civilian Personnel Section DPMAP Defense Performance Management and Appraisal Program FWS Federal Wage System GL General Law GP General Practice GS General Schedule PIP Performance Improvement Plan QSI Quality Step Increase RB Rating-based Terms Administratively Determined (AD) A pay plan code used by any agency with an independent authority to administratively determine the rates of pay for any group or category of employees. Core Personnel Document (CPD) A single document which contains duties and responsibilities for determining the proper classification of a position; recruitment knowledge, skills and abilities (KSA) for staffing the position; and, performance elements and standards for appraising employee performance called the performance plan. Critical Element A performance element in which a work assignment or responsibility of such importance that unacceptable performance on the element would result in a determination that the employee s overall performance is unacceptable. Critical elements are only used to measure individual performance. Federal Wage System (FWS) A prevailing rate pay system covering employees the largest group
of civilian blue-collar Federal employees and is identified in most cases by WG, WL, and WS. General Schedule (GS) A statutory pay system covering the largest group of civilian white-collar Federal employees identified by the pay plan codes GS, GL, and GP. Opportunity Period A reasonable period for the employee whose performance has been determined to be unacceptable in one or more elements to demonstrate acceptable performance in the element(s) at issue. Performance Accomplishment of work assignments or responsibilities. Performance Appraisal A systematic comparison of an employee's performance of duties and responsibilities against established performance standards. Performance Award A cash payment based on an employee s annual performance rating. A performance award does not increase basic pay. Performance Element The management-approved description of expectations related to the work being performed. Performance Plan All of the written, or otherwise recorded, performance elements and standards that set expected performance. A plan must include critical elements and their performance standards. Performance Standard The management-approved expression of the performance threshold, requirement, and expectation that must be met to be appraised at a particular level of performance. A performance standard may include, but is not limited to, quality, quantity, timeliness, and manner of performance. Performance Improvement Plan A strategy developed for an employee at any point in the appraisal cycle when performance becomes unacceptable in one or more elements. This plan affords an employee the opportunity to demonstrate acceptable performance and is developed with specific guidance provided by the servicing human resources office. Rating Official The supervisor who evaluates the performance of an employee and assigns the performance rating; the employee's first level, immediate supervisor of record. Rating of Record A performance rating prepared at the end of the appraisal cycle for performance of agency-assigned duties over the entire cycle. Reviewing Official Normally, the supervisor in the chain of command at the next higher level above the rating official. A supervisor above that level may serve as the reviewing official. An immediate supervisor, who is the highest level in the chain of command at the installation, usually serves as the reviewing official. The reviewing official approves the performance plan and provides the rating of record. The reviewing official has the authority to change the plan, rating, and award. Supervisor An employee with authority to hire, direct, assign, promote, reward, transfer, furlough, lay off, recall, suspend, discipline or remove employees per 5 USC 7103(a)(10) whose position meets the minimum requirements for application of the General Schedule Supervisory Guide. Unacceptable Performance Performance that fails to meet the established performance standards in one or more elements of an employee s position. It is referred to as a Level 1 rating. Unacceptable Rating The rating assigned when an employee does not meet the requirements of one or more performance elements of the performance plan.