21 April 2001 NYGD 1321

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EVALUATION REPORTS - NYGD 1321

RECORD OF CHANGES (U)

CHANGE COPY DATE OF DATE POSTED

NUMBER NUMBER CHANGE ENTERED BY REMARKS
_________ _________ _________ _________ _________ _____________________
_________ _________ _________ _________ _________ _____________________
_________ _________ _________ _________ _________ _____________________
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In accordance with the procedures contained herein, change recommendations to this directive
will be forwarded to:
Headquarters New York Guard
330 Old Niskayuna Road
Latham, NY 12110-2224
ATTN: NYSG-CS
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EVALUATION REPORTS - NYGD 1321

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EVALUATION REPORTS - NYGD 1321

PREFACE

BY ORDER OF THE COMMANDER

OFFICIAL:
Digitally signed by JOHN F. BAHRENBURG
cn=JOHN F. BAHRENBURG, ou=Commander NYG, o=Major
General, c=US
Date: 2001.04.21 12:15:19 -05'00'
Reason: I am approving this document
Headquarters NYG, Latham

JOHN F. BAHRENBURG
Major General, New York Guard
Commander

1. Purpose. This publication sets forth format and procedures to govern the evaluation of
Officers and Enlisted personnel to accomplish the following goals;

a. Provide management information for selection and assignment decisions.

b. Provide evaluation information to each successive member of the rating chain.

c. Reinforce professionalism in the Officer and Non-Commissioned Officer Corps.

2. Application

a. Format and procedures established in this publication apply to all NYG personnel.

b. This publication is directive in nature. These formats and procedures will be followed.

3. Scope. This publication describes the evaluation reporting for all Officer personnel and
Enlisted personnel E4 and above.

4. Basis. These procedures are based in part on AR 623-105, NGB Pam 623-105, NYARNG
Pam 600-2, and AFI 36-2406. They have been simplified to better reflect the volunteer nature of
our forces while yet providing sufficient information for board actions.

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EVALUATION REPORTS - NYGD 1321

TABLE OF CONTENTS

CHAPTER PAGE

I POLICY…………………………………………………………………….………….. I-1
1. Evaluation Reports…………………………………………………………….. I-1
2. Evaluation Support Forms……………………………………………….…….. I-1
3. Filing…………………………………………………………………………… I-1

II RESPONSIBILITIES…………………………………………………………………… II-1
1. Senior Commanders…………..………………….…………………………….. II-1
2. Senior Rating Officials……………………………………………..…….…….. II-1
3. Rating Official…………..………………………………………..…………….. II-1
4. Rated Individual……………………………….………………….…………….. II-1
5. Personnel Staff Officer……………..………………………..…………………. II-1

III. EVALUATION REPORT PROCEDURES……..…...……………..………………… III-1

1. Part I, Ratee Identification...……………………………………………..…….. III-1
3. Part II, Job Description..………………..…………………………..…………. III-1
4. Part III, Impact on Mission Accomplishment…………………..……………… III-2
5. Part IV, Performance Factors………………………………………..…………. III-2
2. Part V, Rater Overall Assessment and Authentication..……………………….. III-1
6. Part VI, Senior Rater/Reviewer Comments……………………………………. III-2

IV. SUPPORT FORM PROCEDURES……..……………………….…………………… IV-1

1. Part I, Rated Individual Identification…………………….………………..….. IV-1
2. Part II, Rating Chain.………………………………………………….……….. IV-1
3. Part III, Verification of Review…………………………….…..……………… IV-1
4. Part IV, Rated Individual…………………………………...…………………. IV-1
5. Part V, Completion Certification………………………….…..………………. IV-1

APPENDIX
A. NYG Form 1321 Evaluation Report…………………….…………..………………. A-1
B. NYG Form 1321-1 Evaluation Support Form………………………………..……… B-1

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21 April 2001 NYGD 1321

CHAPTER I

POLICY

1. Evaluation Reports. All New York Guard personnel, Officers and Enlisted (E4 and above),
Army and Air will be evaluated using NYG Form 1321 under the following circumstances;

a. Upon a Change of Duty Position, Retirement, or Transfer. If rated individual has served
in the same duty position, and rank, under the same rater for 90 or more calendar days, and the
individual is transferred or promoted.

b. Upon a Change of Rater. If rated individual has served in the same duty position, and
rank, under the same rater for 90 or more calendar days, and the rater is changed.

c. Triennial. When three full calendar years have elapsed since last report was rendered,
and there has been no change in rater, duty position or rank.

d. Special, as desired by Rater or Senior Rater.

(1) When an individual is about to be considered for promotion, the rater may elect to
submit a "complete the Record" evaluation if the rated individual has not yet been rated in their
current duty position.

(2) When the Senior Rater/Reviewer changes, an evaluation may be directed for any
individual they are the Senior Rater for, provided that the Senior Rater, Rater, and Individual
have been in position for a minimum of 90 days and have not previously completed an evaluation
within 180 days.

(3) Upon incapacitation of the Rating Official, the Senior Rater/Reviewer may elect to
serve as Rating Official to "Complete the Record," providing they have been in the rating chain
for a minimum of 90 days.

(4) Upon nomination of individual for General Officer promotion board.

2. Evaluation Support Form. All New York Guard personnel requiring evaluations, except for
E4s, will complete a Support Form (NYG Form 1321-1) upon assignment to a position, upon
promotion, change in Rating Official, or start of a new evaluation period. This will be reviewed
with the Rating Official and retained by the Rated Individual. At the close of a rating period, as
indicated above, the Rated Individual will complete and submit the Support Form as directed.

3. Filing. The completed Evaluation Report will be forwarded to Headquarters New York
Guard, 330 Old Niskayuna Road, Latham, NY 12110-2224, for filing in the official Military
Personnel Records Jacket. Only documentation on file at Latham will be used to support
Promotion Board actions.
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CHAPTER II
RESPONSIBILITIES

1. Senior Commanders. Commanders are responsible to establish a rating scheme and ensure
the evaluations are completed as required through command emphasis. Senior commanders, in
their evaluation of rating officials should evaluate their attention to evaluations.

2. Senior Rating/Reviewing Official. The Senior Rating/Reviewing Official is responsible to

ensure the rating official has accurately and fairly rated the individual. The Senior
Rating/Reviewing Official should try and be aware of any relationships between the rating
official and the individual being rated to preclude any biased reports not based on performance.
The Senior Rate/Reviewer can review evaluations with the Rating Official but may not
coercively dictate changes.

3. Rating Official. Detailed instructions for evaluations are set forth in Chapter III. Outlined
below are the general principles that apply to the role of rating officials in the evaluation process.

a. Prepare Support Form. Soon after the assignment of either the rater or the rated
individual, the rater should conduct an initial review with the rated individual to begin the
development of appropriate objectives in support of the organization’s mission for the rated
individual. Based on this review the Support Form is initially prepared.

b. Council. The rater is responsible to council the rated individual if there are performance
problems, and to work with the rated individual to update the duty description or performance
objectives to stay current with the latest situation

c. Objective and Complete Evaluation. The rater will complete the evaluation report and
verify all data provided on the form prior to signing, dating, and passing it on to the Senior Rater.
The date entered will not be prior to the rated individual’s authentication date.

d. Items NOT appropriate for inclusion on Evaluation. Promotion recommendations or

comments on anticipated promotions are prohibited. Do not comment on advanced education
unrelated to military specialties. Family activities, marital status, race, sex, ethnic origin, age, or
religion are not to be commented on.

4. Rated Individual;

a. Prepare Support Form. Soon after the assignment of either the rater or the rated
individual, the rater should conduct an initial review with the rated individual to begin the
development of appropriate objectives in support of the organization’s mission for the rated
individual. Based on this review the Support Form is initially prepared.

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b. Review Support Form. In most cases, even the best developed duty description and
performance objectives will be altered by the changing situation or unexpected developments.
Therefore, it may be necessary for the rater and rated individual to meet periodically to update
the duty description or performance objectives to stay current with the latest situation.

c. Complete Support Form. Upon completion of a rating period the rated individual is
responsible to complete the last part of the Support Form, documenting significant
accomplishments during the period indicated. The completed form is submitted to the rater
along with the evaluation form with the rated individuals signature in Part II acknowledging the
rating chain and the administrative data in Part I.

5. Personnel Staff Officer. The Personnel Staff Officer at all levels of command is responsible
to;

a. Maintain the overall rating scheme.

b. Advise the rating chain when evaluations are required.

c. Provide administrative support to the rating chain as necessary, to procure forms, and
complete administrative entries not subject to evaluation.

d. Submits completed evaluations through the chain of command to the individuals official
personnel records at Headquarters, NYG. Provides copies to the rating chain.

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CHAPTER III

EVALUATION FORM PROCEDURES

1. Part I, Ratee Identification Data: Administrative data will be completed by the Personnel
Officer, when it is determined a report is required IAW Chapter I, paragraph 1.

a. Name: Self-explanatory. Name will be capitalized.

b. Service Number: enter only the last four (4) of the service number.

c. Grade: Enter "pay grade" (e.g., O3, E6, WO2).

d. Date of Rank: Enter the date of rank for the grade in which serving during the period of
the report.

e. PMOS/AFSC: Enter the specialty code which identifies the individual's primary Military
Occupational Specialty or Air Force Specialty Code. For staff officers or branch immaterial
positions enter the individual's primary area of concentration.

f. Organization, Command, Location: Self-explanatory.

g. Reason for Submission: Enter the reason for which this report is being submitted as
identified in Chapter 1, paragraph 1.d. These are as follows;

(1) Change of Duty.

(2) Change of Rater.

(3) Triennial.

(4) Special.

h. Date of This Report: This date is the day prior to the date of the "reason." (e.g., the day
prior to the effective date of duty change).

i. Date of Last Evaluation: Date from the last report on file.

2. Part II, Job Description: Job description may be entered by Personnel Officer based on
Support Form or previous evaluations. If not, the Rating Official completes this section based on
the submitted Support Form.

a. Principal Duty Title: Official TDA/UMD position title.

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b. Key Duties, Tasks, and Responsibilities: It is the responsibility of the Rater to provide a
formal, detailed description of the Rated Individual's key duties, tasks and responsibilities, to
include additional duty assignments. Descriptions must be clear and concise emphasizing
specific functions required of the rated individual, while noting conditions peculiar to the
assignment. The description will include as a minimum, descriptions of both the principal and
major additional duties. Most raters will be able to use Part IV.b. of NYG Form 1321-1 to assist
them in completing this section.

3. Part III, Impact on Mission Accomplishment: The focus of Part III is on what the rated
individual di, how well they did it and how they contributed to the mission of the NYG.

a. Participation Points: Enter the attendance points calculated for the last three years.
Guidance on these points is contained in NYG Directive 1379, Attendance.

b. Service Value: Enter the total of any Service Value Reports on record for the rated
individual for the period under evaluation. Guidance on Service Value Reporting is contained in
NYG Directive 7041, Service Value Reports.

c. Education Attended: Enter any special training the individual received during the report
period. This training should be relevant to NYG missions or their specialty.

d. Accomplishments during period:

(1) Officers and Enlisted above E4. Rater comments on specific aspects of
performance. As a minimum, the comments should address the key elements mentioned in the
key duties, tasks, and responsibilities description in Part II and as appropriate, the key duties,
tasks, and responsibilities, objectives, and contributions portions of the Support Form. Items
reflected in Service Value Reports should receive special mention.

(2) Enlisted E4 Personnel. Enlisted E4 are not required to submit an Evaluation

Support Form. The Rating Official will enter the following seven (7) qualities in the
accomplishment section and indicate if standards were met or not.

(a) Ability to communicate effectively.

(b) Ability to write effectively.
(c) Personal grooming.
(d) Wearing of uniform.
(e) Military Bearing/Courtesy.
(f) Performance of duty.
(g) Use of the Chain of Command.

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21 April 2001 NYGD 1321

4. Part IV, Performance Factors: The Rater evaluates the Rated Individual's performance by
placing an "X" in the appropriate box. Following are the six (6) factors and items to consider in
their evaluation. These are not required for an E4 evaluation.

a. Job Knowledge. Has knowledge required to perform duties effectively. Strives to

improve knowledge. Applies knowledge to handle non-routine situations.

b. Leadership Skills. Sets and enforces standards. Works well with others. Fosters
teamwork. Displays initiative. Self-confident. Has respect and confidence of subordinates. Fair
and consistent evaluation of subordinates.

c. Professional Qualities. Exhibits loyalty, discipline, dedication, integrity, and honesty.

Adheres to standards. Accepts personal responsibility. Is fair and objective.

d. Organizational Skills. Demonstrates ability to plan, coordinate, schedule effectively,

and uses resources effectively and efficiently. Adheres to the Chain of Command. Meets
suspenses.

e. Judgement and Decisions. Makes timely and accurate decisions. Emphasizes logic in
decision making. Retains composure in stressful situations. Recognizes opportunities, and acts
to take advantage of them. Requires minimal supervision.

f. Communication Skills. Listens, speaks and writes effectively.

5. Part V, Rater Overall Assessment and Authentication:

a. Comments: The Rater may include additional comments, such as recommendation for
assignments, or elaboration on performance factor indicators.

b. Authentication: Signs and dates evaluation form after completion of entries. Enter only
the last four (4) of the service number. Date must be prior to Senior Rater/Reviewer.

6. Part VI, Senior Rater/Reviewer Comments:

a. Concur/Nonconcur: The Senior Rater/Reviewer has the role of not only administrative
review and arbitration, but also the responsibility to assess the potential of the Rated Individual.
The Senior Rater initials their concurrence or non-concurrence with the Rater's evaluation.

b. Comments: The Senior Rater/Reviewer enters comments in this block. If the Senior
Rater concurs comments are optional. Non-concurrence requires comments describing the areas
of disagreement.

c. Authentication: Signs and dates evaluation form after completion of entries. Enter only
the last four (4) of the service number. Date must be after Rater.

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CHAPTER IV

SUPPORT FORM PROCEDURES

1. Part I, Rated Individual Identification: Administrative data will be completed by the

Personnel Officer at the start of a new evaluation period and the form will be forwarded to the
Rated Individual for further action.

2. Part II, Rating Chain: Rating Chain data of Rating Officials, grade, and duty position, will
be completed by the Personnel Officer.

3. Part III, Verification of Review: Soon after the assignment of either the rater or the rated
individual, the rater should conduct an initial review with the rated individual to begin the
development of appropriate objectives in support of the organization’s mission for the rated
individual. Based on this review the Support Form is initially prepared. The date of this initial
review and the initials of the Rated Individual and the Rater will be entered in this block.

4. Part IV, Rated Individual:

a. Principal Duty Title: Official TDA/UMD position title.

b. Duty Description: It is the responsibility of the Rater to provide the Rated Individual a
formal, detailed description of their duties and responsibilities. Descriptions must be clear and
concise emphasizing specific functions required of the rated individual, while noting conditions
peculiar to the assignment. The description will include as a minimum, descriptions of both the
principal and major additional duties.

c. Major Performance Objectives: The rated individual indicates the major performance
objectives for the rating period. These are the most important tasks, priorities, and major areas of
concern and/or responsibilities associated with the performance. This is in effect the rated
individual’s viewpoint of how they will accomplish the duties described in block b.

d. Significant Contributions. The rated individual describes the major contributions during
the evaluation period. This is not intended to be an item-by-item check of the objectives in block
c, but rather those things that is felt to have been the major contributions to the organization.
These contributions should address the duties and responsibilities of the position focusing on the
organizational missions. Any Service Value activities should be indicated.

5. Part V, Completion Certification: The rated individual dates and signs the Support Form
after completing the contributions block, and forwards the form with the Evaluation Report form
to the rater.

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APPENDIX A

NEW YORK GUARD EVALUATION REPORT

(PRESCRIBING DIRECTIVE IS NYGD 1321, PROPONENT IS NYSG-J1)
I. RATEE IDENTIFICATION DATA
LAST NAME FIRST NAME MIDDLE INITIAL SERVICE NUMBER GRADE DATE OF RANK PMOS/AFSC
Year Month Day

ORGANIZATION, COMMAND, LOCATION REASON FOR REPORT

DATE OF THIS EVALUATION:

DATE OF LAST EVALUATION:
II. JOB DESCRIPTION
PRINCIPAL DUTY TITLE
KEY DUTIES, TASKS, AND RESPONSIBILITIES

III. IMPACT ON MISSION ACCOMPLISHMENT

PARTICIPATION POINTS, 3 Years SERVICE VALUE EDUCATION ATTENDED:
YR:____ YR:____ YR:____ $

ACCOMPLISHMENTS DURING PERIOD: (Continue on back as necessary.)

IV. PERFORMANCE FACTORS DOES NOT MEET MEETS DOES NOT MEET MEETS
STANDARDS STANDARDS STANDARDS STANDARDS
1. Job Knowledge 4. Organizational Skills
2. Leadership Skills 5. Judgement and Decisions
3. Professional Qualities 6. Communication Skills
V. RATER OVERALL ASSESSMENT AND AUTHENTICATION
COMMENTS:

NAME, GRADE, BR OF SVC, ORGN, CMD & LOCATION DUTY TITLE DATE

SERVICE NUMBER SIGNATURE

V. SENIOR RATER/REVIEWER I Concur _____(init) I Do Not Concur ______(init)

COMMENTS:

NAME, GRADE, BR OF SVC, ORGN, CMD & LOCATION DUTY TITLE DATE

SERVICE NUMBER SIGNATURE

NYG Form 1321 (4 APR 01)

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APPENDIX B

NEW YORK GUARD EVALUATION SUPPORT FORM

(PRESCRIBING DIRECTIVE IS NYGD 1321, PROPONENT IS NYSG-J1)
PART I - RATED INDIVIDUAL IDENTIFICATION
LAST NAME FIRST NAME MIDDLE INITIAL GRADE ORGANIZATION

PART II - RATING CHAIN

RATER: LAST NAME FIRST NAME MIDDLE INITIAL GRADE POSITION

SENIOR RATER/REVIEWER: LAST NAME FIRST NAME M I GRADE POSITION

PART III - VERIFICATION OF REVIEW

AN INITIAL FACE TO FACE DISCUSSION OF DUTIES, RESPONSIBILITIES, AND PERFORMANCE OBJECTIVES FOR THE
CURRENT RATING PERIOD TOOK PLACE ON: _________________________________
RATED INDIVIDUAL'S INITIALS: ________ RATER'S INITIALS: ________

PART IV - RATED INDIVIDUAL (Complete a, b, and c for current rating period)

a. PRINCIPAL DUTY TITLE
b. KEY DUTIES, TASKS, AND RESPONSIBILITIES:

c. INDICATE MAJOR PERFORMANCE OBJECTIVES:

d. LIST SIGNIFICANT CONTRIBUTIONS:

PART V - COMPLETION CERTIFICATION

DATE COMPLETED: RATED INDIVIDUAL'S SIGNATURE:

NYG Form 1321.1 (4 APR 01)

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