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Officers Evaluation System (OES)

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1 Officers Evaluation System (OES)

CDR Beth Naff Branch Chief LT C. Olson Quality Reviewer LT C. Bennett CWO3 K. Pitt Admin Support (GS & YN2) GS L. Nedd GS B. Chittum Officer Specialty Mgmt System Small staff processes plus OERs annually. How does the system work? - YN2 receives the OER and does a quick check for issues (wrong Form, missing signatures, no attachments, etc.) - Ms. Lu enters Data into DA … it turns your CGBI color Green and it goes into a Reviewer’s queue. - Sits in Reviewers queue pending validation .. Boards/Panels/Special Assignments get priority -PY13 there were board and panel candidates going before boards and panels - peak at around mid-September and they average about 750 OERs in their queue - OPM-A validates O-6 OERs Provide OER consultation Provide OES training for Civilian Supervisor/RO (mandatory requirement) Assign case officers for Special OERs Compile OERs for all Boards & Panels Provide input for BCMR/PRRB applications Manage the Officer Specialty Management System

Management of OES (advice on policy) Ownership of OES procedures (PSCINST M1611.1A) OER consultation for Reported-on Officers & rating chains Review/validate active duty OERs (~ 9600/yr) ensure compliance with OES policy expedite for Selection Boards/Panels Provide OES input to following: Personnel Records Review Boards (PRRB) Boards for Correction of Military Records (BCMR) Consultation/guidance to the field. Some questions are not difficult (just ensuring they’re on the right path). Others can be complicated and unique to one scenario. During peak season (June - October), OERs for Promotion Board/Selection Panel candidates have priority over others.

Manage electronically imaged personnel data records (EI-PDR) system - enter authorized documents into your EI-PDR * Provide copies of EI-PDR (upon request)** Return copy of your validated OER normally by * Military PDR System, COMDTINST M i (Encl 1) ** Most officers believe OPM plays a role in entering OERs into their e-PDR. Not the case! We do forward the OERs to the Records Branch. OPM does not return a copy of validated OERs to individual officers. (Military Records Branch does - by when possible.) Visit their website for info on obtaining a copy of your personnel record.

5 OER PROCESS Member Rating Chain / Unit CG PSC (opm-3) CG PSC (bops-mr)

Officer Accessions, Evaluations, and Promotions Manual COMDTINST M1000.3A (Chapter 5) Officer Evaluation System Procedures Manual PSCINST M (**New 09/13**) OER is most important document in an officer’s record Key for personnel management decisions Promotions Assignments Retention Career Development 1. Boards tasked to evaluate each officer on the “4 pillars” Performance, Professionalism, Leadership and Education (PPLE). *CG-4082 Record of Professional Development 2. Note description of the standard (“4”) - Biggest item challenged is the Health and Well-Being with marks of 6 or 7 and not meeting criteria … same for Evals. 3. Behaviorally Anchored Rating Scale (BARS) are an appraisal method that aims to combine the benefits of narratives, critical incidents, and quantified ratings by anchoring a quantified scale with specific narrative examples of good, moderate, and poor performance.

7 OES POLICY Commanding Officers:
ensure accurate, fair and objective evaluations are provided to all officers under their command designate /publish command rating chains ensure civilian rating chain members are properly trained Individual Officers: - responsible for managing their own performance understand job expectations obtain sufficient feedback to succeed use guidance to meet or exceed standards Self- explanatory! Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11) Each officer should receive timely counseling and be clear about the feedback received. (Seek clarification if needed!)

8 RATING CHAIN Published by Unit Commanding Officer
Exceptions to the rating chain: Unavailable (extended TAD, Retirement, Medical, etc.) or, (they left service is not “unavailable”) Disqualified (interested party to an investigation or personal interest or conflict that raises question as to whether the ROO will receive a fair, accurate evaluation. OPM-3 DOES NOT approve rating chains! We can help answer questions. CO’s designate the rating chain exceptions. OPM-3 SHALL be advised so we can provide advice … we don’t approve them! Some important info on ROs and Reviewers … lots of rules about who can serve as ROs and when it requires “Reviewer Comments” w/Comparison scale filled in If Reviewer Comments are not required … don’t fill in the Comparison Scale – nothing prohibits comments about it though. An Officer Frocked to O-5 can sign as Reporting Officer and Reviewer.

9 CIVILIAN RATING CHAIN Must receive formal and documented training from OPM-3. Supervisor U.S. govt civilian employees may serve as Supervisors. Reporting Officer (RO) U.S. govt civilian employees may serve as RO. If RO is not a CG Officer or CG SES civilian, a CG-5315 is required w/Comparison Scale filled in. Only CG SES can be both Supervisor and RO on same OER. Reviewer Only CG SES members, may serve as Reviewer. No Reviewer for Ensign OERs

10 OER FORMS CG-5310A (W2 – W4, O2) CG-5310F (DUINS) CG-5310B (O3 – O4)
CG-5310C (O5) CG-5310D (O6) (Rev. 10/13) CG-5310E (O1) (Rev. 06/13) (Rev. 02/09) CG-5310F (DUINS) CG-5310G (Continuity) CG-5310H (Concurrent/O1) CG-5310I (Concurrent/CWO & O2) CG-5310J (Concurrent/O3- O4) CG-5310K (Concurrent O5) CG-5310L (Concurrent O6) Old versions cannot be accepted. Recommend against over-typing on the form used for previous OER; start with a new form to ensure you have a current one.

11 OER FORMS (cont.) Reviewer Comments: CG-5315A (W2 – W4, O2)
CG-5315B (O3 – O4) CG-5315C (O5) CG-5315D (O6) Comments page: CG-5315E (O1, signed by Supervisor)

12 OCCASIONS OF REPORT Annual/Semi-Annual (Routine)
Detachment of ROO (Transfer) Detach/Change of RO (Change) Promotion (CAPT / CWO-to–LT) Concurrent (TDY >60 days) Special (several categories) Continuity OER (separations, adjudication) Duty Under Instruction (DUINS) Regular OERs Annual/semiannual OER is optional if: - a regular OER was submitted within 182 days prior to the annual schedule or 92 days prior to the semi-annual schedule. - a regular OER will be submitted within 182 days following the annual schedule or 92 days for semi-annual reports. ** This does not apply for officers in-zone for promotion. - if ROO has been on-board less than 120 days If no legitimate reason to wait and for all in zone --- annual/semi-annual is the way to go. Continuity OER – if retiring and in or above zone, must request waiver acknowledging record will be incomplete before the board. When an OER is required for promotion reasons, the reporting period ends on the day prior before the effective date of promotion and the officer’s grade is the grade prior to promotion.

13 - OER coverage req’d for every day of commissioned service -
ROO RESPONSIBILITIES Familiarize self with OES & OER policies/procedures; Seek performance expectations from Supervisor; - manage own performance & obtain feedback Prepare Section 1, Administrative Data of the OER; Provide list of accomplishments/bullets to Supervisor; (NLT 21 days prior to end of period of report) - OER coverage req’d for every day of commissioned service - Self- explanatory! Know when the 21 day clock starts. Seek meeting with Supervisor within 7 days of reporting aboard! Seek performance feedback at mid-year! Know how you’re doing six months out – gives you a chance to improve. Some units have you write your own OER! Ask early! Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11)

14 ROO RESPONSIBILITIES Make sure data in Block 1 is correct
- Date of Rank & Date Reported (use your ESS to verify info) - If not correct, OPM-3 will edit ATU-OPFAC – Leave blank Days Not Observed – Leave blank Date Submitted – Leave blank Return Address – Leave blank Reported-On Officer: Recommend printing out ESS and route with OER and OSF

Provides direction and observes your performance; Provides counseling and feedback; Completes sections 2 through 6; (1) compares performance/qualities against standards – not against other officers (2) based on direct observation & input/info from you Forwards OER to RO when ready. Only rating chain member who can sign the report before the end of period - Can be civilian or military - Self- explanatory! Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11) Supervisor initiates OER if you’re unwilling, unavailable, or unable.

QA Block 1 Complete Block 2 (including “Primary Duty”) MUST match exactly what’s in Direct Access Use CAPS for “Primary Duty” Do not attach awards If Supervisor changes during the period, departing Supervisor is required to provide new Supervisor with a written assessment of member’s performance, with suggested marks Tell the N/O story Can sign before EOP

Ensures Supervisor fulfilled their OER responsibilities; (cannot direct Supervisor to change marks/comments) Completes sections 7 through 11; (1) compares performance/qualities against standards – not against other officers (2) based on direct observation & input/info from Supervisor Mark Comparison Scale & address Potential; Forwards OER to Reviewer Must not sign OER before the end of period. - Can be civilian or military - Self- explanatory! Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M1000.3A (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11)

Choose bubble in block 7. If you disagree w/ Supervisor, state why & be specific. Do not direct Supervisor’s marks/comments You can argue whether a comment supports the mark If Supervisor felt obligated to make changes, OER is prone to BCMR/PRRB challenge. Evaluates overall performance Ensures Supervisor fulfilled role Completes page 3 Provides “Comparison Scale” mark Addresses “Leadership Potential” Provides performance feedback Do not write concur if concur is filled in. If Do Not Concur state why (good or bad)

ROO’s Ranking Relative to All Other Officers of the Same Grade that RO Has Known. An important indicator for promotion boards & panels. RO’s assessment of the ROO compared to all officers in the same grade they have observed over their entire career. Strip “12” so named because the comparison scale was Section 12 in the OER Represents relative ranking, not performance trends; from period to period, ROO could improve performance but comparison scale mark could conceivably be lower Rating Scale history in DA= Home>Self Service> Employee> View> Off Comparison Scale Summary Note: This is a relative ranking; not necessarily a trend of performance.

20 Optional (Encouraged)
POTENTIAL (SECTION 10) Mandatory Ability to assume greater leadership roles and responsibilities Optional (Encouraged) Assignments Promotion recommendation PG and Senior Svc Schools Special skills Promotion recommendations are not mandatory by policy Critical area for boards and panels SPELL THIS OUT – DON’T MAKE IT INTENTIONALLY VAGUE SSS is overused … Does the ROO ave any special skills for certain jobs. (e.g. great writer that would be a good fit as a speech writer.

Determines if Supervisor/RO fulfilled their OER responsibilities - return if inconsistencies are found; (cannot direct Supervisor or RO to change marks/comments) Ensures OER reflects consistent picture of performance; May address add’l performance/potential on CG-5315 (Reviewer Comments form) Ensure OER arrives at OPM-3 (nlt 45 days after end of period of report) No Reviewer for Ensign evaluations - Must be a CG Officer, CG SES civilian or USPHS Flag Officer - Self- explanatory! Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11) CG SES = Senior Executive Service (civilian equivalent to Flag Officer – CG has about 18) USPHS = Public Health Service (Medical Officers)

Reviewer (Section 12 only) Do not direct anyone’s marks or comments If you disagree with OER or would like to add comments about performance, use a CG-5315. Check block 12.a If Sup/RO felt obligated to make changes, OER is prone to BCMR/PRRB challenge. Do not sign Section 12 before end of period! ROO (W2 – LCDR) signs after the Reviewer Ensures OER reflects reasonably consistent picture of performance Adds Comments and/or Comparison Scale, when req’d Conducts admin review Returns OER to ROO for review and signature. x

23 New ENS OER (CG-5310E) Highlights One page form
Two member rating chain (no Reviewer; RO must be a CG Officer) Only need to comment on three performance dimensions that “best characterize the officer” (no longer required to support marks higher than a ‘4’ with comments)

24 New ENS OER (cont’d) Comments required for all below standard performance (CG-5315E may be used) Comments should be more narrative in nature List qualifications earned during the period of report **Refer to PSCINST M1611.1A, Chapter 11, for specific guidance on how to use the CG-5310E form***

25 **MUST always Enable JavaScript
New ENS OER (cont’d) **MUST always Enable JavaScript for this document** Click the “open” button next to each performance category to open a separate document

26 New ENS OER (cont’d) List quals and competencies earned this marking period (see section 11.c.6) Bubble in 3 performance dimensions that best characterize this officer

27 New ENS OER (cont’d) Two-person rating chain, no Reviewer. Supervisor and RO must be two distinct persons. RO must be a CG Officer. Comments sheet (CG-5315E) ONLY authorized when additional room is needed to commend on substandard performance

28 MARKS & COMMENTS Numerical marks higher or lower than a “4” must be properly supported with amplifying comments (excludes Ensign evaluations). An officer who receives an Alcohol (AI) or Drug Incident (DI) has not met the expected standards of performance for the Judgment dimension and therefore, cannot be awarded a mark of '4' or higher. See PSCINST M1611.1A, Chapter 2 An officer who receives an AI, DI or is not compliant with USCG weight and body fat standards has not met the expected standards of performance for the Health and Well-Being dimension, therefore, cannot be awarded a mark of '4' or higher Rating chains must determine whether substandard performance of this nature should impact other OER performance dimensions (i.e., Responsibility, Professional Presence, etc.).

1 (Derogatory) – Met all the written performance standards in the “2” level but the rater considered the impact as severely detrimental to the organization or to others. 2 (Below standard) – Met all the written performance standards in this level. 3 Did not meet all the written performance standards in the “4” block. 4 (Standard) – Met all the written performance standards for this level and none in the “6” level. 5 Met all the written performance standards in the “4” level and at least one of those in the “6” level. 6 (Above Standard)– Met all the written performance standards for this level and did not exceed any of them. 7 Met all the written performance standards in the “6” level and exceeded at least one of them. N Insufficient information to provide a mark or if observations are believed inadequate to render a judgment, the “not observed” circle is used.

What they did – its impact on the unit/CG/individual … “Took initiative to assist unit prep for aviation STAN visit, learned particulars for aviation training jackets & meticulously examined 16 pilot records; efforts yielded 120 line items of discreps previously not detected by more senior pilots & ensured correction prior to official review – efforts earned an ‘outstanding’ rating from ATC Mobile.” No longer- How well it’s done / Concise accomplishment/ Demonstrated Impact

31 RESTRICTIONS Rating chain shall not:
 1.  Mention the ROO's conduct is the subject of a judicial, administrative, or investigative proceeding, including criminal and NJP proceedings. 2.  Consider or evaluate the performance of an ROO as a member of court-martial, or give a less favorable evaluation to any defense counsel because of the zeal with which they represented an accused. 3.  Mention or allude to the fact that ROO was not selected by a Board/Panel. 4.  Mention any PRRB/BCMR application or decision. 5.  Mention any medical/psychological (incl NFFD) conditions, whether factual or speculative. Restriction applies to ROO and family members. 6.  Mention pregnancy. Restriction applies to ROO and family members.

32 RESTRICTIONS 7.  Expressly evaluate, compare, or emphasize gender, religion, color, race or ethnic background. 8.  Place emphasis upon a third party by name, gender, religion, color, race, or ethnic background (e.g., Catholic lay minister, wrote award recommendation for African-American civilian,  was a female role model). 9.  Refer to the ROO by first name. 10.  Refer to ROO's marital or family status. 11.  Discuss performance or conduct occurring outside the reporting period. 12.  Provide comments which include info subject to a security classification. 13. Reserve OERs shall not comment on non-CG employment (incl ROO's who are also employed as CG civilians)

33 OER CONCERNS Excessive Abbreviations: “Spb plg/prp res 4 mtg all op msn reqmts; thrly plnd 2 FL sts, 1 WWP, 1 GANTSEC, & 1 JIATF-S ptl & dpt cmptly prp’d for C4I mgtn.” Confuses the reader. Community-Specific Acronyms: “CATCH, ATP, PEL” – Use only widely known acronyms; if unsure define thoroughly. Prohibited Comments: outside period of report (i.e., expected quals, promotions, degrees during next period). Use of Personal Pronouns: not restricted… but avoid excessive use (general rule of thumb – no more than 2-3 per page). Too much emphasis on GRE words! Use the space more productively … is there much difference between “skillfully drafted 5 memos” compared to “drafted 5 memos”? Also do not use words such as “elucidation”: to give a clarifying explanation. Excessive Abbreviations - makes it difficult to read, impact of statement gets lost in excessive abbreviations/acronyms. Turns reader off – regular feedback from panel and board members. Acronyms - Don’t assume Board/Panel members will know them all (boards are diverse) Prohibited Comments - References to Medical/Psychological issues, Gender, Ethnicity, Religion, Race or Family Status are restricted. To avoid biased personnel management decisions based upon color, race, gender, religion, medical, marital status, etc. OERs are not intended to be gender neutral, but placing emphasis on gender is prohibited. (personal pronouns authorized, though excessive use will be flagged). Pending promotions … don’t say “will promote to LT” … rather it is ok to say “well deserved selection to LT” Comments should follow the sequence of the performance dimensions.

34 DISSATISFIED WITH OER? Reported-on Officer Reply *
- Express view of performance which differs from rating chain; - comments are performance oriented (no personal attacks ) - does not serve as an appeal; is appended to OER Error or Injustice? - Application for Correction of Military Record (DD-149) - Personnel Record Review Board (PRRB) - Board for Correction of Military Records (BCMR) * Does not imply correction of the OER. Reply – self explanatory. Filed with OER. (See reference) See “Correcting Military Records, COMDTINST ) PRRB Within 1 year from date contested info entered into record (or should have been) Procedural/Admin corrections DD Form 149 Not open to retirees or separatees. BCMR Within 3 yrs from date contested info entered into record (or should have been) More complicated issues Only way to grant financial / promotion relief Correcting Military Records, COMDTINST (series)

35 * Units must engage OPM-3 for guidance
SPECIAL OERS* Used to document: subsequent to below standard performance subsequent to disciplinary action consideration by Selection Panels or Boards significant historical performance Also considered derogatory if: given a numerical mark of “1” in any dimension, or marked “Unsat” in Comparison Scale, or removed from primary duties / relieved for cause. * Units must engage OPM-3 for guidance Reference: Officer Accessions, Evaluations and Promotions Manual COMDTINST M1000.3A (series), Chapter 5A (CG PERSMAN was cancelled on 30Sep11 - See ALCOAST 454/11) Derogatory OERs must be prepared/ routed IAW reference. Engage Opm-3 Staff early in the process (draft OERs, addenda, replies). ROO is given advance notice of proposed Special OER Option to prepare addendum (i.e., statement) within 14 days; Two-page maximum; Rating chain endorsement Attached to OER

36 What Do Boards/Panels Consider?
Performance Professionalism Leadership Education COMDT’s Guidance Board Precept OER/Assignments CG- 4082, Test Scores, Official Transcripts ESS: COMDT’S GUID: CG Central (My Workspace > Career Management > Officer > Promotions) Board Precept: Education documented on CG Include major degrees at the top: masters, etc. Omit mandatory training such as ICS classes or PQS completion. COMDT’s Guidance for Boards & Panels CG PSC Memo to Panel President

Simple memo with name and EMPLID Scanned and attached to an Live Record Review: POC:

38 ACTIVE DUTY RESOURCES OPM-3 Website: OER Submissions: OER Questions: OER Waivers: ARL-PF-CGPSC-OPM-OER-WAIVERS Employee Summary Sheet (ESS):


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