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A Guide for the Air Force Officer and DoD Civilian

Performance Feedback

Source: The Enlisted Professional Development Committee 21st Space Wing

Table of Contents
Writing Effective EPRs and Awards	Enlisted Promotion Guide	Enlisted Training	Unprofessional Relationships & Fraternization	Enlisted Professional Military Education (PME)

PERFORMANCE FEEDBACK

Glossary
What is Feedback?	Successful Feedback	Conducting the Session	Feedback Requirements	Unit Implementation

This section offers information about the Performance Feedback System and will assist raters and ratees in performing and receiving feedback. It's written so that new raters can have successful feedback sessions. It is not
all-inclusive, nor is it meant to make raters experts in formal appraisal or counseling.

Critical to effective feedback is often what the ratee observes in the rater. In other words, it’s important the ratee see effective, consistent leadership in your daily activities. They need to see you practice a high degree of integrity and have faith in your decision-making ability. If your subordinates see these qualities in you, they will be more willing to buy into what you try to accomplish during your feedback session, regardless of the feedback’s nature—positive or negative.

To cover all areas, use this guide in conjunction with AF Instructions 36-2403 and 36-2402, and AF Pamphlets 36-2627 and 36-2404.

After careful study of this information personnel should:

Have an understanding of a person's behavior and be able to use that knowledge in effective performance feedback.
Know how and be able to give effective performance feedback
Help improve effective feedback in the unit by practicing these guidelines and those found in the specified AF pamphlets and regulations.

SECTION I

WHAT IS FEEDBACK?

1.1. INTRODUCTION. Feedback is the single most important means for changing behavior. The primary purpose of feedback is to improve performance and to professionally develop personnel to their highest potential.

Typically, feedback lets a person know where they stand in relation to duty expectations, standards, etc. It is most effective when given openly, honestly, and in a constructive atmosphere. Feedback can range from a pat on the back to the formal setting of which this guide is focused.

1.2. COMMUNICATION. Feedback is a formal, written one-on-one communication between a rater and ratee, occurring at regularly scheduled intervals. Generally, feedback should explain duty performance requirements and responsibilities, establish expectations, and tell the ratees how their duty performance compares to those expectations. To be effective, the rater must clearly state performance feedback and both the rater and ratee must understand it.

1.2.1. Studies have shown that people desire to know what is expected of them and how they are progressing in comparison to those expectations. This feedback gives direction and can increase motivation. Personnel will typically perform better when the raters give face-to-face, open, honest discussions about performance progress and improvement areas. The studies further indicate that a significant number of ratees were not receiving any feedback or not far enough in advance of the performance report to give the ratees an opportunity to improve. Thus, they were unaware of any deficiencies in performance. To get the most from personnel, raters must communicate.

1.3. INFORMATION. Feedback gives information about the outcomes of behavior. If a ratee is given an expectation, a goal, or standard, feedback will allow direction for improvement. Without feedback, there is no way of knowing if the performance is adequate, or how to improve it. Feedback that is specific, given on a frequent basis, and in a timely fashion, is far more effective. The more information a ratee is given, the better they will be able to change behavior towards the expected outcome. To be fully utilized, feedback must be understood.

1.4. MOTIVATION. Feedback can also be used as a source of motivation. Motivation directly relates to a person's needs, behavior, and is directed towards a goal. People who know how they are doing try harder and persist longer at tasks than those who do not. People who receive little or no feedback don't have the information needed to evaluate performance. Feedback used to motivate should be done in a positive manner, not a negative one.

Example: MSgt Smith to SrA Brown.

(Negative approach) "I've noticed you've been late to work 3 times this week: You know to be here at 0730. If you're late again it's a Letter of Reprimand and extra details!"

(Positive approach) "SrA Brown, I've noticed you've been late 3 times this week. 0730 is our duty start time and I really need you here on time. By you coming in on time, you set the example for everyone else to follow."

Positive motivation can be achieved if given through open, honest feedback.

“People who feel good about themselves produce good results". --BLANCHARD

SECTION II

SUCCESSFUL FEEDBACK

2.1. INTRODUCTION. Performance feedback must be done in a positive manner. Areas that don't meet standards must be addressed. Raters must believe in the value of the system and how it can help ratees develop their potential.

2.2. UNDERSTANDING BEHAVIOR. Understanding how peoples' behavior occurs is imperative. As a rater, concentrate on ratees' behavior and not the person’s. Behavior is defined as “a goal directed activity motivated by a need or desire to attain that goal.”

Example: If you're hungry (need) you drive to Burger King (behavior) to get a hamburger to eat (goal).

2.2.1. Motivation (behavior) of an individual is usually determined by their strongest need at a particular moment. The level of motivation increases with the strength of the need to be satisfied.

Example: SSgt Jones has just completed a physical exam and hasn't eaten since the night before. He knows he also has an important meeting in about 15 minutes. He decides to go to the drive thru at McDonalds knowing he may not make the start time of the meeting.

2.2.2. Frustration, conflict, discontent, projection, and a variety of other types of behavior become prevalent if needs become blocked. There are many types of coping behaviors resulting from unsatisfied needs.

Example: SSgt Powers has just enrolled in school but was notified she has been selected to go TDY to Honduras for 6 months. She becomes resentful at the supervisor for not selecting someone else and forcing her to go.

2.2.3. Individual differences such as physical, intellectual, and emotional make-up can and do affect an individual’s behavior toward others. Environment and how a person relates to the environment also affect an individual's behavior.

Example: AlC Tracy, a young petite woman, has just completed technical school and has been assigned to the supply warehouse. The work requires constant heavy lifting throughout the day. She feels she can't keep up the pace so she always seeks the easier jobs and leaves the heavy lifting to her male counterparts.

2.2.4. ADDITIONAL EXAMPLES

2.2.4.1. You've decided to ask for leave next month (goal). You feel you need to relax and get away from work (need). You haven't taken any time off in a long time and are very anxious to get this break (motivation). Your supervisor informs you the section has been tasked with a TDY and your leave request is disapproved. You initially feel angry (adjustment mechanism-- aggression), but suddenly get an idea. You ask if it would be possible to take the next two weeks off instead of the original leave requested for time next month (coping behavior). Approved!!

2.2.4.2. You've just completed work on a special project assigned to you by the commander. It took a lot of time and effort. SSgt Lab worked with you. Although you had different ideas about things (differences), you did well and had an enjoyable time. You feel you deserve some recognition for the hard work (need). You've found out that SSgt Lab will receive an Achievement Medal (goal) for his part. You feel just as deserving and wonder why you aren't receiving one and what you can do about it (coping behavior). You decide to approach the commander about the situation.

Normally you would never consider something like this and consider forgetting the whole thing (adjustment mechanism), but you feel strongly about the issue (motivation) and press on. Before you leave for your appointment your supervisor walks up and congratulates you - it turns out you're also receiving a medal for work on the project!

2.2.5. In order to achieve the highest results from ratees in utilizing performance feedback, raters must concentrate on individual behavior. They must also realize all individuals are different and should be treated as such. Combine this knowledge and proper use of the performance feedback tool, and the results should equate to positively motivated performers who seek to excel in all areas.

2.3. RATER ERRORS. Since performance feedback is designed to gauge a ratee's performance against a standard, it is important that performance standards be defined as mutually understood by both the rater and ratee. The lack of maintaining the set standard and the results must also be understood. When the rater evaluates the ratee against the standard, special attention must be paid to the assessment of one person by another person. Herein lies the problem of rater errors.

2.3.1. Error of Central Tendency. Hesitating to give either extremely good or extremely bad ratings, with a tendency to group ratings close to the center of the scale. This error occurs most commonly with new supervisors, inexperienced raters, or when personal qualities are hard to identify, such as bearing and behavior.

Example: Using a nine point scale, an observer made 100 ratings of administrative ability and all were either 4, 5, 6.

2.3.2. Error of Standards. Some overrate or underrate because of differences in standards. This may be caused by not agreeing with the set standard, not knowing what the standard is, or misinterpretation of the standard. When supervisors use their own standards to evaluate, we could end up with as many standards as there are supervisors. Always evaluate people against the established standard.

Example: Two supervisors work in the same shop. One wears a close cropped crewcut while the other sports a traditional hairstyle. The supervisor with the crewcut constantly berates his ratees for sporting the traditional look and they receive lower ratings on appearance.

2.3.3. Error of Halo (Horns). Sometimes you allow your general impressions of people to influence your ratings. When someone favorably impresses us we'll have a tendency to rate them higher. When we aren't impressed, we may rate them lower. Are some of your subordinates also your "friends"? How will you rate members of the opposite sex? How do you rate people you don't like? Halo errors can be traced to the likes, dislikes, opinions, prejudices, and moods of the rater. This error is considered the most difficult to overcome or control. Specific aspects of performance should be the focus here.

2.3.4. Error of Logic. This error may occur when rating two or more traits. It's present when a rater gives similar ratings to traits that don't necessarily go together. We see this often when rating appearance and behavior. Someone who looks exceptional in uniform must also behave well, right?

2.3.5. "Firewalling". Marking most of the scales to the extreme right is the most common rating error. Raters make this mistake for one of three reasons; they don't take the time to properly appraise performance, they don't wish to confront ratees, or they don't understand the purpose of performance feedback. "Firewalling" hinders ratees. Ratees who receive these reports are at a disadvantage compared with their peers. They don't know where their performance falls short of expectations, or which areas need improvement.

Remember! Honest appraisals are the only way to go.

2.4. OBJECTIVE OBSERVATION. The most important factor in preparing for a feedback session is to routinely observe the performance of the ratee. A rater can't expect to comment on strong and weak areas, trends, and any degree of improvement without routinely watching performance. The days of pulling out a file of old EPRs or just asking for a list of accomplishments once a year is over. A rater must be actively involved in the process to make feedback work. One does not need to follow an "official" plan or create a "fancy" note-taking device. However, as a rater you must routinely make notes about behaviors and the impact of those behaviors, collect examples of work or letters of appreciation, talk to others who are knowledgeable about duty performance, and actively interact with ratees. Information should be collected over time and in a variety of circumstances to foster a solid evaluation. Reviewing performance without bias and keeping good notes allows for meaningful insight and helps in preparing for the feedback session. Observation must be done fairly and without prejudice. All ratees are strong in some areas and less strong in others. Making repeated observations, without bias, should reveal areas of strength as well as areas for potential growth.

2.5. RECORDING THE OBSERVATION. The observer should make enough of a note about a particular incident to fix it in his or her mind, or to facilitate its recall for the person being observed. In doing so, observers need to note what happened, the ratee's behavior, and how the mission was affected. In other words, how did the person behave in a certain situation, and what was the result? If the incident has no impact on the unit's mission accomplishment, the behavior can be disregarded. If it did, the observer has an obligation to tell the person being observed. This obligation exists whether the behavior has a positive or negative impact on the unit, and feedback should be given as soon as practical.

2.5.1. One method that provides a useful recording structure for the observation is illustrated below:

SITUATION BEHAVIOR OUTCOME

What happened? What behaviors did I observe?

Was the unit’s mission affected by these behaviors?

(Notes taken using this approach can be valuable for providing specific examples when completing the PFW. The following example illustrates the model's use in observing Sgt Harris' behavior prior to an upcoming feedback session.)

SITUATION BEHAVIOR OUTCOME

Welder working-no eye protection (safety violation) Sgt Harris confronts welder with safety issue. Has welder don safety glasses. Possible injury averted. Safety standards met.

(This example purposely presents a clear and easily understood application of the method. However, the method may be deceptive in its simplicity when used to analyze more complex situations. For example, a wing meeting its sortie goal is the result of many individuals performing well in a multitude of situations. Without the use of a method that provides a framework for observing behavior, documenting the specific contributions of any one person meeting this goal could be difficult. The point is that use of any observational method requires effort and dedication.)

SECTION III

CONDUCTING THE SESSION

3.1. FORM PREPARATION. Preparing the performance feedback worksheet before the session is the final step. Remember that the worksheet is private and should be handwritten, not typed or stored in a computer. It serves to direct the discussion and as a ready reference for reinforcement until the next feedback session. In general, comments should contain conclusions about each area with specific examples noted during the observation period. The conclusions show the ratee where he or she stands.

The examples serve to illustrate the decision process and to clarify the things the rater likes or dislikes. In addition, the form provides space for goal setting and other comments the rater cares to make. The rater must sign and date the form the day of the session. On completion of the session, the original form is given to the ratee but the rater is allowed to keep a personal copy for future reference. However, AFI 36-2403 prohibits the rater from showing the PFW to any individual other than the ratee.

EXCEPTION: If the ratee alleges during a personnel action that the rater did not hold a required feedback session, the rater is allowed to introduce the form. Those in the rating chain are also allowed access to the form if the situation demands.

3.2. AVOIDING PITFALLS:

3.2.1. The problems that can arise in the course of the feedback process are as varied as the people who are involved in the process. Such problems vary in degree but can happen any time. Examples of pitfalls include: personal bias, stereotyping, loss of emotional control, inflexible methods, reluctance to provide feedback, inadequate planning, focusing on the person versus the behavior, drawing or jumping to conclusions based on limited observations or poor recall, rating performance as outstanding when it isn't, telling the individual he or she is the "best" when the individual is not, and giving favorable ratings to an individual who is well liked or unfavorable ratings to an individual who is not. The key is that pitfalls always lead to a discussion of general impressions versus specific aspects of performance.

3.2.2. Avoiding pitfalls is not easy. While we won't address each one specifically, two general guidelines help. First, raters can avoid many of these problems by practicing good observation skills: gathering supportive notes over a period of time; discriminating between relevant and irrelevant information; focusing on specific behaviors and outcomes; deciding what aspects of the job are really measurable and important; doing selective work sampling when direct observation is infrequent; and communicating with their ratees. Second, raters should exhibit the proper role attitude. The role during feedback is that of a coach or helper. The goal is to develop the individual. This should be beneficial for all. The unit should be more productive and the Air Force mission should be enhanced. When the feedback session is approached with a positive attitude, backed by good observation skills, potential pitfalls will be avoided.

3.3. TIPS FOR BETTER FEEDBACK:

3.3.1. Ratees must first accept the rater before they can willingly accept feedback. The successful rater does not rely on grade or position. To be successful, raters must develop ratee confidence in their competence, sincerity, and fairness before the feedback session.

3.3.2. Perceptions and opinions should be presented as such and not as facts.

3.3.3. Feedback should be in terms of specific relevant behaviors and not attitudes or generalities.

3.3.4. Feedback should be concerned with those areas over which a person can exercise some control.

3.3.5. When feedback is mainly evaluative versus purely descriptive, feedback should be in terms of established criteria, probable outcomes, and methods of improvement. While feedback is intended to disclose expectations, it should be based on accepted standards and be in line with Air Force expectations not just your own.

3.3.6. Feedback is pointless unless a ratee benefits from it. Praise for the sake of praise has no value. It should motivate, build self-confidence, or reinforce top performance. Without a balance between positive and negative, the feedback process breaks down.

3.3.7. Listen carefully. Paraphrase what is heard to check perceptions. Ask questions for clarification.

3.3.8. Feedback should be given in a manner that communicates acceptance of the ratee as a worthwhile person.

3.3.9. Feedback should avoid "loaded" terms that produce emotional reactions and heightened defenses.

3.3.10. When encountering rising defenses or emotional reactions, deal with these reactions rather than trying to convince, reason, or supply additional information. Feedback stops when communication stops.

3.3.11. Sessions should be scheduled far enough in advance for both rater and ratee to prepare for it.

3.3.12. Set an agenda with a basic outline of topics to discuss.

3.3.13. Choose an approach that is commensurate with your personality.

3.3.14. Summarize and set goals for the next observation period. End on a positive note.

SECTION IV

FEEDBACK REQUIREMENTS

4.1. WHO RECEIVES FEEDBACK? Performance feedback sessions are mandatory for colonels and below.

4.1.1. Airman, AF Form 931.

4.1.2. NCO, AF Form 932.

4.1.3. Officer, AF Form 724.

4.2. WHEN FEEDBACK IS DUE.

4.2.1. Initial feedback is required within 60 days after being assigned a rating official or when there is a change of rating official (CRO). Performance feedback sessions are conducted within 60 days of completion of an EPR not due to CRO.

4.2.2. A mid-course session is held midway between the date supervision began and projected EPR close-out date to focus on how well the ratee is meeting expectations.

4.2.3. If a rater change is expected or the projected EPR close-out date limits period of supervision to less than 150 days, a feedback session should take place at least 45 days before the EPR close-out.

4.2.4. For airmen who do not receive EPR’s, a follow up session is due 180 days after the initial session.

4.2.5. Sessions are held if the rater determines a need, or within 30 days of a request from ratee, provided at least 60 days elapsed since the last feedback session.

4.2.6. As of Jan 1999, Colonels and CMSgts are only required to have an initial feedback session; no further feedback session is required unless a new rater is assigned.

4.3. FEEDBACK QUESTIONS AND ANSWERS.

Question: Will the forms be kept for "Official Use Only?"

Answer: Yes. The PFW is considered private property between the rater and ratee. However, personnel in the rating chain may view the PFW if the situation arises.

Question: Why so many forms?

Answer: One of the difficulties with the previous system is that we were asking a single form, in this case the EPR, to carry too much weight: providing feedback and documenting performance all on one form.

Consequently, in the revised system, we use two separate forms accomplished at separate times with clearly separate purposes. Another difficulty is designing one form to cover all ranks and the diversity of their responsibilities. This being the case, you see separate PFWs for airmen versus NCOs, and different EPRs for TSgts and below versus senior NCO’s.

Question: What guidance is there for use of PFWs in personnel matters or separation actions?

Answer: The PFW may not be used in any personnel action unless the ratee first introduces it. Exception: If the ratee alleges during a personnel action that the rater did not hold a required feedback session, the rater is allowed to introduce the form.

Question: Can a PFW be used to prepare an EPR?

Answer: Yes, however the PFW should reflect back on the ratee's performance at the time of the feedback session. The PFW is intended to be a communication tool. There is no set method of translating marks on the PFW to blocks on the EPR.

Question: Must there be comments on the PFW?

Answers: Raters are highly encouraged to give specific comments to help the ratee understand the rater's thoughts and to reinforce what exact behaviors are expected. Ratees have the responsibility to notify the rater's rater when a required feedback session does not take place.

Question: What should be talked about during a feedback session?

Answers: The PFW outlines the topics; AFI 36-2403 and AFPAM 36-2627 describe in more detail what the topics mean. In general, feedback should focus on duty performance: what the rater's expectations are, how the ratee is meeting those expectations (positive and negative), specific examples to explain the rater's conclusions, and ways to improve.

Question: How do we document completion of the session when those with less than 20 months don't receive EPRs?

Answer: Orderly rooms receive a roster each month detailing which airmen should receive feedback. Raters will receive a RIP telling them a feedback session is due. After the session, the rater and ratee will sign the RIP and return it to the orderly room. The orderly rooms will check-off the ratee's name on the monthly roster. After all sessions are finished, the orderly room destroys the roster. It is not a permanent document.

SECTION V

UNIT IMPLEMENTATION

5.1. RATER RESPONSIBILITIES.

5.1.1. Conduct objective ratee observation. As a supervisor you must be objective in evaluating performance. You should seek to encompass the facts in reality and not use your own subjectivity against the rating.

5.1.2. Overcome personal bias. With all new systems there comes a change. As first line supervisors your first step is to set aside personal feelings about the system. Next, utilize it toward improving your relationship with subordinates. Third, personal bias should be set aside during the objective observation portion of evaluation.

5.1.3. Give face-to-face, honest feedback. In order for this tool to be used properly, supervisors will have to tell the people exactly how they are performing to expectations. Be it bad or be it good, honesty is the best policy.

5.1.4. Overcome the tendency to inflate ratings. Measured against standards there is often a tendency to see the best in everyone. As raters, you must rate against the facts observed as compared to expectations.

5.1.5. Fill out the correct form. The proper form must be properly completed in order to use it effectively. Each section should be rated appropriately and marked according to the rater's observations. Areas marked less than the total possible should give an explanation as to why and the rater should discuss improvement areas.

5.1.6. Conduct sessions when required. The current AFIs and AFPAMs explain in detail how and when sessions are to be conducted.

5.2. RATEE RESPONSIBILITIES.

5.2.1. Understand feedback. The ratee should understand the system and the feedback they are receiving. Any problem areas should be discussed between the rater and ratee.

5.2.2. Remain open minded and foster good communications. Ratees must overcome the fear of how the rater will give the feedback. They must also remain open minded to accept criticism as well as positive strokes. Good communication is a must if this system is to be successful.

5.2.3. Request additional sessions if necessary. Ratees may request additional feedback when necessary.

5.3. COMMANDER RESPONSIBILITIES. Unit commanders administer and monitor the performance feedback system.

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Page Added on: 09 September 2004