Adjutant General School Administer Evaluations Reporting Program

Adjutant General School Administer Evaluations Reporting Program
Department of the Army Pamphlet 623-3 Personnel Evaluation Evaluation Reporting System Headquarters Washington, DC 4 November 2016 UNCLASSIFIED Army Regulation 623-3 Personnel Evaluation Evaluation Reporting System Headquarters Department of the Army Washington, DC 4 November 2015 UNCLASSIFIED

Terminal Learning Objective TERMINAL LEARNING OBJECTIVE:
ACTION: Administer Evaluations Reporting Program CONDITIONS: In a classroom environment, given access to AR (Evaluation Reporting System), DA PAM (Evaluation Reporting System), access to Army Human Resource Command and Army Knowledge Online and awareness of Operational Environment (OE) variables and actors. STANDARDS: Students will meet the standard of 70% accuracy when they: 1. Identify the principles of the Evaluation Reporting System 2. Determine rating chain qualifications and responsibilities 3. Define counseling requirements that support the ERS 4. Identify types of Evaluations Reports 5. Identify Forms used for Evaluations 6. Define the Noncommissioned Officer Reports (NCOER) 7. Define the Officer Evaluation Reports (OER) 8. Communicate the Evaluation Entry System (EES) and ERS LESSON OUTCOME: This lesson provides an overview of doctrinal responsibilities, philosophies, and objectives for processing evaluation reports. At the conclusion of this block of instruction, students will be able to complete and process evaluation reports.

Principles and Standards of Evaluation Reporting System (ERS)
The ERS encompasses the means and methods needed for developing people and leaders The ERS identifies Soldiers who are best qualified for promotion and assignment to positions of greater responsibility The ERS combines major elements of counseling, assessment, documentation, and integration with other Army, rating officials, and rated Soldiers in their current environments Soldier is evaluated on his/her performance and potential AR 623-3, Section II, Para 1-8

ERS Responsibilities HRC:
Acts as lead agency for the Secretary of the Army and is responsible for the effective operation of the ERS Clarifies policies, grant exceptions to policies, or formulate new policies, as the need arises HRC Evals Home Page Commanders (at all levels) will ensure that: AR is available Rating officials are fully qualified Reports are prepared by rating officials Rating chains correspond to the chain of command or supervision, are published, and provided to each Soldier Completed evaluation reports are submitted NLT 90 days after the thru date AR 623-3, Para 1-4

Principles of Support Evaluate the performance and potential in peacetime and wartime Warrant Officer 1 (WO1) thru Brigadier General (BG) Noncommissioned Officers (NCOs), Sergeant (SGT) thru Command Sergeant Major (CSM) Evaluate the performance and compliance of Soldiers during DoD, Civilian Educational, Medical, or Industrial Institution programs Support the Army’s personnel life cycle AR 623-3, Para 1-7

ERS Functions Primary – provide information to HQDA for making personnel management decisions. Components include- thoughtful, fair, accurate and complete evaluation reports indoctrination of Army Values and basic responsibilities a “whole file” concept and continuous growth philosophy ensuring the selection of the best qualified to serve in positions of increasing responsibility Secondary – encourage leader professional development and increase mission accomplishment through – stressing importance of senior/subordinate relationships increased emphasis on performance counseling necessary senior/subordinate communication Para 1-9 AR 623-3, Para 1-8c

Categories of Evaluations
Mandatory/Optional Evaluations– Officer Evaluation Reports and NCO Evaluation Reports School Evaluations – Academic Evaluation Reports for both military and civilian institutions AR 623-3, Para 1-8a(4)a-c

Sexual Harassment/Assault Response and Prevention Program and Evaluations
Zero Tolerance! Both officers and noncommissioned officers must commit themselves to eliminating sexual harassment and assault and to fostering climates of dignity and respect in their units Army Performance Objectives and Special Interests Army performance objectives have been identified at the highest levels of the Army as areas of special interest Rating officials of Soldiers with substantiated issues or incidents regarding Army performance objectives and/or command special interest items during the rating period will include such information on evaluation reports Goals and objectives Mandatory Officer Evaluation Report Support Form NCOER Counseling and Support Form Initial Counseling for students Rater’s Assessment Fostered a climate of dignity and respect Identify any significant actions or contributions Identify failures (on and off duty) Substantiated Findings Rater comments on evaluation Senior Rater comments on evaluation Academic Evaluation Reports (Military and Civilian) Where do you put it on an evaluation?

LSA1 Check on Learning The ERS identifies Soldiers who are ___ for promotion and assignment to positions of ___. a. ready / influence b. eligible / importance c. qualified / importance d. best qualified / greater responsibility ERS will evaluate the ___ and ___ of Warrant Officer One (WO1) through brigadier general (BG), and Sergeant (SGT) through Command Sergeant Major (CSM) in peacetime and wartime. a. performance / intellect b. performance / potential c. intellect / fitness d. performance / fitness

LSA1 Summary

Rating Chain Requirements & Responsibilities

Rules for Designating a Rating Chain
Rater (OER & NCOER) (Para 2-5) Intermediate Rater (OER only) (Para 2-6) Senior Rater (OER & NCOER) (Para 2-7) Supplementary Reviewer (Para 2-8) (OER & NCOER) Who can / can’t serve in the position? What is the time requirement? What are the restrictions? AR 623-3, Chapter 2

Officer Rating Chain Requirements
Rating Official Minimum Time Rank Requirement Rater Minimum 90 calendar days (120 days ARNG) Senior to rated officer; sister and allied service ok Intermediate Rater Minimum 60 calendar days (90 days ARNG) Only when required; Senior to rated officer; sister and allied service ok Senior Rater Minimum 60 calendar days (90 days ARNG) See Table 2-1 Supplementary Reviewer No time period is required U.S. Army Officer; Senior to rated officer and SR

Minimum Grade Requirements

NCO Rating Chain Requirements
Rating Official Minimum Time Rank Requirement Rater Minimum 90 calendar days (120 days ARNG) SGT/GS7+; senior to rated NCO; sister service OK Senior Rater Minimum 60 calendar days Senior to rater; GS9+; sister service OK Supplementary Reviewer No time period is required Officer/SGM/GS12+; Senior to SR; sister service OK, when rater or SR is a uniformed Army Official Senior Rater: The senior rater will be the immediate supervisor of the rater and designated as the rated NCO’s senior rater for a minimum period of 60 calendar days (see chap 3, sections VIII and IX)

Rating Chain Responsibilities
Rater Provide Support Forms, if required Initial/quarterly counseling Assess Soldier using all reasonable means Review Support Form at end of rating period if applicable Provide an objective and comprehensive evaluation of the rated Soldier’s performance only Senior Rater Become familiar with Soldier’s performance Evaluate Soldier from a broad organizational perspective Only evaluate the rated Soldier’s potential relative to peers Ensure all reports are complete and realistic Ensure Soldier electronically signs eval Intermediate Rater (OERs) When required to link rater and senior rater (e.g., Physician Assistant, Chaplain) Assess performance based on personal contact, records, and reports Can comment on both performance and potential An intermediate rater will not be incorporated within the rating chain as a means to promote pooling Reviewer (NCOERs) Ensure rating safeguard and over watch Ensure rating chain is followed Ensure report was reviewed by a 1SG/CSM Comment only when a disagreement exist between rater and senior rater

Rating Chain Information
Rating Chains: Are established by Commanders, Commandants or leaders of an organization and maintained by rating officials Tie individual performance to a specific senior/ subordinate relationship and should correspond as nearly as practicable to chain of command and supervision Are established by name, effective dates, published and distributed to all concerned List the rated Soldier and all rating officials AR 623-3, Para 2-2 and 2-3

Special Branch Rating Chain Requirements
JAG Officers JAGC officers assigned to BCTs will have a rating chain that is in accordance with Paragraph 2–3 and will normally be considered as serving under dual supervision; therefore, Paragraph 2–22 applies BDE JAs will, whenever possible, be rated by their local SJA and senior rated by the BCT CDR Trial counsel officers will normally be rated by the BDE judge advocate, intermediate rated by the BCT executive officer, and senior rated by the SJA Chaplains There will be a supervisory chaplain in the rating chain when possible. For example, a BDE chaplain, as the supervisory chaplain, will be the intermediate rater for a BN chaplain. In the absence of a supervisory chaplain, a senior chaplain familiar with the rated chaplain’s performance will be designated as the intermediate rater if qualifications are met (refer back to Para 2–6 for intermediate rater qualifications) AR 623-3, Appendix C & D

Rating Chain Development
Example Rating Chain As of Rated NCO Rater Senior Rater Reviewer CSM Posey LTC Jones COL Reese MG Smith Bn CSM Bn Cdr Bde Cdr Div CG Rated Officer Intermediate Senior Rater Rater Rater LTC Jones COL Reese N/A MG Smith Bn Cdr Bde Cdr Div CG CH(CPT) Cox MAJ Black CH(MAJ) Ivy LTC Jones Bn Chaplain Bn XO Bde Chaplain Bn Cdr Par 1-4

LSA 2 Check on Learning 1. On an OER, who in the rating chain is responsible for commenting on an officers Performance? a. Rater b. Intermediate Rater c. Senior Rater d. Reviewer 2. What is the military senior rater minimum grade requirements for a 2LT? a. CPT b. CPTP / MAJ c. LTC d. COL 3. The _________ ties the rated Soldier’s performance to a specific senior/subordinate relationship.ed Soldier’s performance to a specific

Counseling Requirements/Support Form Communication Process
Initial counseling/discussion and follow-up face-to-face: Initial counseling/discussion assists in developing duty description, responsibilities, and performance objectives Follow-up counseling enhances mission related planning, assessment, and performance development Follow-up counseling sessions conducted: Active Army NCOs – Quarterly ARNGUS and USAR NCOs – Semi-annually Active Army CPT/LT/CW2/WO1 – Quarterly ARNGUS and USAR CPT/LT/CW2/WO1 – Quarterly All Field Grades and above – Determined by rating officials

Performance Counseling
Support Forms Officer Support Form Use of DA Form A is mandatory for COLs and below Initiate and complete in the Evaluation Entry System Data transferable between the support and evaluation forms within EES Facilitates the rater’s ability to easily complete future OERs Performance based counseling tool Ties performance objectives to measureable accomplishments Nested with the current leadership doctrine (ADRP 6-22) NCO Support Form DA Form A is mandatory for SGT – CSM Initiate and complete in the Evaluation Entry System (EES) Used by Rater to prepare for, conduct, and record results of performance counseling Emphasize development and improvement Nested with the current leadership doctrine (ADRP 6-22) DA Pam 623-3, Para 3-1 Objective Setting Performance Counseling Evaluation DA Pam 623-3, Table C-1

OER Support Form Page 1 Part I–Rated Officer Admin Data
Part II–Authentication/Rating Chain Part III–Counseling Part IV–Duty Title/Responsibilities Part V–Objectives/Accomplishments

Support Form (Back) Nested with the current leadership
doctrine (ADP 6-22) Pages 3-5 of the form contain instructions to assist Objectives/Contributions Continued linked to Attributes and Competencies APFT Goals

NCOER Support Form Page 1
Up to 7 lines of text Up to 2 lines of text Up to 16 lines of text Part I – SSD and NCOES requirement met for next grade Part II – Senior Rater annotates counseling dates Part II – Supplementary Reviewer, if required Part IV – Rated NCO provides goals and expectations

NCOER Counseling Support Form
Up to 8 lines of text for each field Part V – Attributes and Competencies (ADP 6-22) CHARACTER: Rater assesses the rated NCO’s performance in fostering a climate of dignity and respect and adhering to the requirements of the SHARP Program Part VI – Senior Rater provides comments

LSA3 Check on Learning When are counseling sessions conducted for all Field Grades Officers and above? a. Quarterly b. Determined by rating officials c. Annually d. Semi-annually

Types of Evaluation Reports
Two types: Mandatory Optional Further divided into: “90-day minimum” “other than 90-day minimum” To determine 90-day minimum requirements, nonrated periods are deducted from total number of days in rating period AR 623-3, Para 3-2c

*Other Mandatory Reports (less common)
90-day minimum Other than 90-day minimum Change of Rater (3-40) Annual (3-41) Extended Annual (3-42) Change of Duty (3-43) Depart Temporary Duty, Special Duty or Temporary Change of Station (3-44) Temporary Duty, Special Duty, or Temporary Change of Station (3-45) Officer Failing Selection Promotion (3-46) JAG Officers (3-51) Initial Tour of Extended Active Duty (3-52) HRC Directed (3-53) Relief for Cause (3-54/3-55) AER (DA Form 1059) (3-49) for schools longer than 12 months AR 623-3, Chapter 3 *Other Mandatory Reports (less common) Initial Tour of Extended Active Duty (OER Only) (AMEDD and JAGC commissioned officers only) Application for Active Army Appointment (OER only) (Active Duty officer applies for Active Army Appointment) Funded Legal Education Program (FLEP) officers participating in on-the-job training (OER Only) (JAGC officer only) U.S. Army HRC Directed (EX: When OER changed) Release from Active Duty Service (USAR and ANG only)

Optional Reports 90-day minimum Other than 90-day minimum
Complete the Record report (3-56) Senior Rater Option (3-57) Sixty Day Option (3-58) Rater Option (3-59) Complete the Record(3-56) Not a basis for Stand By Advisory Board (STAB) for promotion consideration AR 623-3, Chapter 3, Section X

Letter of Input Applies to:
Rated Soldiers on TDY, SD, or TCS (0 to 89 day periods) Release from Active Duty Service reports (USAR & ARNG only) Lack of Specific Rater Qualification Situations (See AR , E-5) All previous Memorandum of Input policy is removed in lieu of rendering an evaluation report. AR 623-3, Table 3-1

Restrictions Evaluation Parameters (3-16) Comments (3-17)
Prohibited narrative (3-18) Unproven derogatory information (3-19) Prohibited comments (3-20) Comments about marital status and spouse (3-21) Participation in the Army Substance Abuse Program (3-24) Evaluation of special interest items (3-25) AR 623-3, Chapter 3, Section VI

Referred Reports (OER)
A “FAIL” for the APFT in part IV, block a; or a “NO” entry for height and weight. A SR potential evaluation of “Not Qualified” or “Unsatisfactory” in part VI, block a A rater performance evaluation of “Unsatisfactory” in part IV A SR potential evaluation of “Qualified” or “Retain as Colonel” in part VI, block a where the required explanation has derogatory information A rater performance evaluation of “Capable” in part IV where the required explanation has derogatory information Any report with negative remarks; where the required explanation has derogatory information A rater potential evaluation in part IV where the required explanation has derogatory information (for SGP- OERs) A “Relief for Cause” report submitted under the provisions of paragraph 3–54 AR 623-3, Para 3-26, 3-54/55, DA Pam 623-3, Para 2-28 thru 2-30

Referral Process (OER) 1 of 3
SR places an “X” in Part II, block d; OER given to rated officer for signature and placement of an “X” indicating whether or not comments will be provided. Rated officer may refuse to sign referred OER; however, must check “YES” or “NO” comments box. Rated officer comments must be: Factual Concise Limited to matters directly related to the referred OER Rated officer’s comments do not constitute an Appeal or request for Commander’s Inquiry – these actions are processed separately. A reasonable suspense date must be given.

If SR decides comments provide significant new facts about rated officer’s performance, may refer comments to other rating officials who may reconsider their individual evaluations. SR will not pressure or influence other rating officials. Evaluation may not be lowered because of comments. If OER is changed - but still requires referral – repeat acknowledgment and comments process. Only the latest acknowledgment and comments (if submitted) will be forwarded to HQDA with the completed OER.

Unmasking of OERs Elimination of the masking process supports transparency. Improves the accuracy of an officer’s file in the personnel management decisions for the individual officer and the Army. Boards are now best qualified vs. fully qualified – ensures the Army retain and promote best qualified. All OERs, including previously masked OERs will be placed in the performance section of the official Army Military Human Resource Records file.

Evaluation Redress Program
Both preventive and corrective in nature Protects the Army’s interests and ensures fairness to the rated Soldier First program element is the communication process; second element is the various regulatory requirements Commander’s Inquiry Provide command involvement in preventing obvious evaluation injustices and in correcting errors before they become a matter of permanent record Not a prerequisite for submission of an appeal Not used to document differences of opinion amongst rating officials Commanders will not pressure/force raters to change their evaluation Appeals Process The Soldier or another party can file an appeal of an evaluation report that he or she feels is unjust The results of a Commander’s Inquiry does not constitute an appeal -- they may be used to support it Substantiating evidence must support an appeal Appeals based solely on the lack of counseling will not normally serve as a basis to invalidate a report Two types: Administrative (no time limit) Substantive (3 year limit) Army Board of Correction of Military Records (ABCMR) Highest level of administrative review within HQDA with the mission to correct errors in or remove injustices from Army military records AR 623-3, Chapter 4, Section I

LSA 4 Check on Learning 1. How do you determine the 90 day minimum rating requirement for an annual report? 2. Memorandum of Input is optional for all evaluations. a. True b. False 3. Match the type of report with the definition: a. Annual b. Extended Annual c. Change of Rater d. Change of Duty e. Senior Rater Option 1. mandatory to cover any period of nonrated time since the previous evaluation report when 1 calendar year has elapsed 2. when a rated Soldier is reassigned to a different principal duty while still serving under the same rater 3. may be rendered when a change in senior rater occurs 4. when the rated officer ceases to serve under the immediate supervision of the rater and minimum rating qualifications have been met 5. upon completion of 1 calendar year of duty, without periods of nonrated time

Officer Evaluation Reports (OERs)
DA Form DA Form DA Form DA Form

Company Grade Form Page 1
Administrative data remains consistent with the old OER (DA Form 67-9) Highlights the need for a supplementary reviewer is required by updated AR / DA PAM 623-3 Addresses the completion of the multi-source assessment feedback Rater’s comments pertaining to APFT move to Page 1 Performance block checks and the Rater’s overall performance assessment Up to 4 lines of text

Rater Assessment Company
Grade Form Page 2 Focused on Attributes and Competencies (ADRP 6-22) More prescriptive Performance based assessment Mandatory entry for each Attribute/Competency Encourages specific discussion with Rated Officer on desired traits Comments on performance – not potential Intermediate Rater if applicable Senior Rater block checks redefined to better identify leader potential Most Qualified Highly Qualified Qualified Not Qualified Up to 4 lines of text Up to 5 lines of text Up to 5 lines of text

Field Grade Form Page 1 Administrative
Data remains consist with the CO Grade evaluation Raters have the opportunity to comment on possible broadening and operational assignments Attribute of Character is highlighted on the Field Grade Form

Rater Assessment: Field Grade Form Page 2
Officer’s performance against the Attributes and Competencies during the rating period Box checking philosophy remain consistent; less than 50% EXCELS Rater’s overall performance is further codified in the Comments section No comments on potential Up to 5 lines of text Up to 4 lines of text Up to 5 lines of text Up to 5 lines of text

Rater Recommended Assignments
(Field Grade and Strategic Level) Field Grade Plate- Rater Recommended Strategic Grade Plate- Rater Recommended

Strategic Report (COL) Page 1
Admin data mirrors Company and Field Grade forms Raters will recommend future strategic assignments to assist talent managers in placing the Rated Officer into their next duty assignment Unclassified

Strategic Report (COL) Page 2
Rater’s of COLs will comment on the Officer’s potential Senior Rater box check labels change from Company and Field Grade Officer forms Up to 5 lines of text Up to 5 lines of text Cumulative percentage must remain below 50%

Strategic Report (BG) Report
1-Page OER for BGs Rater and Senior rater both comment on character and potential No rater and senior rater box check Processes thru HRC to Officers Army Military Human Resource Record Unclassified

OER Possible Combinations
EXCELS X MOST QUALIFIED PROFICIENT HIGHLY QUALIFIED CAPABLE QUALIFIED UNSAT NOT QUALIFIED EXCLLS 16 TOTAL POSSIBLE COMBINATIONS PROFICIENT / HIGHLY QUALIFIED = THE NORM WATCH FOR MISMATCHED RATINGS 7 VERSIONS OF REFERRED REPORTS

LSA5 Check on Learning Company Grade Evaluations are used for _____________. The rater’s comments addresses the officer’s _________. a. Potential b. Performance c. Potential and Performance d. Knowledge, Skills, and Abilities

Rater and Senior Rater Profile Management
(Officers)

Rater Profile Maintain less than 50% of reports written by grade in the “EXCELS” box (for Raters of LTCs and below) Flexibility - Raters have a “credit” of 3 in the “Proficient” box to start profile OER profiles calculated based on date Rater “Locks” the profile May not Lock profile earlier than 14 days prior to report THRU Date OERs are due at HRC within 90 days after the thru date of evaluation Senior Rater sequencing does not interfere with the Rater’s Locked profile Maintain a working copy of your rater profile and monitor for accuracy Profile calculators will be provided in EES for raters to use, which will assist with profile management

Rater Box Check Defined
EXCELS: *Results far surpass expectations. *The officer readily (fluently/naturally/effortlessly) demonstrates a high level of the all attributes and competencies. *Recognizes and exploits new resources; creates opportunities. *Demonstrates initiative and adaptability even in highly unusual or difficult situations.*Emulated; sought after as expert with influence beyond unit. *Actions have significant, enduring, and positive impact on mission, the unit and beyond. *Innovative approaches to problems produce significant gains in quality and efficiency. PROFICIENT: NORM: *Consistently produces quality results with measurable improvement in unit performance. *Consistently demonstrates a high level of performance for each attribute and competency. *Proactive in challenging situations. *Habitually makes effective use of time and resources; improves position procedures and products. *Positive impact extends beyond position expectations. CAPABLE: * Meets requirements of position and additional duties. *Capable of demonstrating Soldier attributes and competencies and frequently applies them. *Actively learning to apply them at a higher level or in more situations. *Aptitude, commitment, competence meets expectations. *Actions have a positive impact on unit or mission but may be limited in scope of impact or duration.

Rater Profile Management
Rater profile established for raters of company and field grade officers Maintain less than 50% of reports written by grade in the “EXCELS” box (for raters of LTCs and below). Flexibility - Raters have a “credit” of 3 in the “Proficient” box to start profile Rater OER profiles calculated based on Profile LOCK date as evidenced by “LOCKING” the profile indication (Locking as a Rater is the same as signing and sending to HQDA for a Senior Rater); once an indication of performance is LOCKED, the rater cannot retrospectively change mind (undo) on block check without HQDA exception to policy LOCKING cannot be completed earlier than 14 days before the THRU Date on the Evaluation OERs are due at HRC within 90 days after the thru date of evaluation Maintain a working copy of your rater profile and monitor for accuracy EES will have built in profile calculators. This profile calculator is your profile. It does not predict your plans. Profile calculators are provided for raters to use (example on next slide) are available on the Evaluation Webpage at HRC HRC will explore an automated “Profile Predictor” for future release**

Profile Credit of 3 – By Grade
Rater Profile - 4 Box System Profile Credit of 3 – By Grade Profile Credit Start After first 10 Reports with Credit After first 20 Reports with Credit Rater profile credit of 3 in Proficient Box. Profiles are counted by grade, not cumulative for all grades Rater may submit: 6 of first 10 as EXCELS EXCELS box must be less than 50% profile limitation Rater may submit: 11 of first 20 as EXCELS EXCELS cannot exceed the 50% profile limitation Using a Profile Credit of 3: Minimal inflation in the “EXCELS” Box

Rater Box Check Rater overall assessment of rated officer’s performance compared to officers in same grade Limited to Company and Field Grade forms e. This Officer’s Overall Performance is Rated as: (Select one box representing Rated Officer’s overall performance compared to others of the same grade whom you have rated in your career. Managed at less than 50% in EXCELS.) I currently rate____ Army Officers in this grade. EXCELS PROFICIENT CAPABLE UNSATISFACTORY X Norm Comments: Example Rater Label: HQDA COMPARISON OF THE RATER’S PROFILE AND BOX CHECK AT THE TIME THIS REPORT PROCESSED PROFICIENT RO: RANK SOLDIERS NAME SSN: xxx-xx-xxxx DATE: RATINGS THIS OFFICER: R: RANK/GRADE NAME SSN: xxx-xx-xxxx TOTAL RATINGS: Comments:

Example Rater Label

Rater Managed Profile Labeling Rules
Rule #1: If the Rater checks “Proficient” box, then the report is always labeled “Proficient” Rule #2: If the Rater checks “Capable” or “Unsatisfactory” box, then the report is always respectively labeled “Capable” or “Unsatisfactory” - The sum of “Proficient,” “Capable,” and “Unsatisfactory” box checks should always be greater than 50% of total ratings Rule #3: If the Rater checks “EXCELS” box and rater’s profile is less than 50%, then the report is labeled “EXCELS” - An entry of “EXCELS” will only be accepted if the mathematical result of the entry is less than 50% of the total number of reports rendered in that grade. Rule #4: MISFIRE – “If the Rater checks the “EXCELS” box and rater’s profile is equal to or greater than 50%, then the report is labeled “Proficient" and the rater is charged with EXCELS. EES will not allow Misfires online.

Will be available thru Evaluation Entry System Website
Rater Profile Calculator/Tracker Will be available thru Evaluation Entry System Website

Senior Rater Box Check LTC & Below
Four box profile remains consistent with previous system; provides more options for senior raters Highly Qualified and Qualified enable greater stratification Most Qualified becomes the control box (limited to less than 50%) No restart of profile; no close-out reports Continue to mask 2LT/1LT after promotion to CPT; WO1 after selection to CW3 MOST QUALIFIED: Strong potential for BZ and CMD; potential ahead of peers HIGHLY QUALIFIED: Strong potential for promotion with peers QUALIFIED: Capable of success at the next level; promote if able NOT QUALIFIED: Not recommended for promotion Box Check Assessment = Current COM Not Referred

Rater Tips EXCELS = Absolute top performers
PROFICIENT = Good performers, but less than the best CAPABLE = Meets the expectations of grade (Not referred) UNSATISFACTORY = Failed one or more standards (Referred) Require OER counseling/mentorship from subordinates Be honest and forthright in your assessments Be prepared to explain/justify your rating LT/WO1 reports are masked after promotion to CPT/selection to CW3 Don’t be afraid of Referred Reports Clearly articulate success and failures and explain Know your rated population, e.g., how they perform, when they are eligible for boards, when reports will be due Review rating chains regularly and ensure they are current Know your profile at all times Understand how to manage and maintain your profile

Senior Rater “Rating Philosophy”
Mission: Identify your best. Develop “Rating Philosophy” and consider communicating it to rated officers. Counseling – ensure counseling is accomplished. Decide how to assess (particularly) “MOST QUALIFIED” based on performance and potential (not position). Write well – quantify and qualify in narrative; correspond comments with box check as the system allows and if box check is used. If not, use the narrative to paint the picture. Plan ahead, think series of reports (number of times you will senior rate an officer); use “MOST QUALIFIED” sparingly.

Senior Rater Comments 1 of 2
SR assessment of rated officer’s potential for promotion when compared with other officers. Intended to capitalize on SR’s: Experience Broad organizational perspective Tendency to focus on organizational requirements and actual performance results. OER Support Form should assist SR and supplement more traditional means of evaluation – personal observation, reports and records, other rating officials, etc. “Good” SR Comments Enumeration Promotion potential Next higher position potential Schooling

Senior Rater Comments 2 of 2
Should quantify and qualify the passion (or lack thereof) that senior rater has for rated officer’s performance and potential. • Selection boards should understand what input the Senior Rater is providing without having to guess. • There are no “magic” or “buzz” words to convey Senior Rater intent. • Focus on potential (3 to 5 years; command, assignment, schooling and promotion). • Cannot mention Box Check in the narrative (i.e., “MOST QUALIFIED” officer…..“If my profile allowed, I would rate this officer higher.” • Avoid Disconnect with Box Check Example: Large population, “HIGHLY QUALIFIED” Box Check, but Exclusive Narrative. Exceptions: Immature profiles, Back-to-Back reports. •Be careful with your narrative – don’t say the same thing for all your people (Boards can easily detect repeated verbiage)

Senior Rater Profile Management
Senior Rater profile established for Senior Raters of company and field grade officers Maintain less than 50% of reports written by grade in the “Most Qualified” box (for raters of LTCs and below) Flexibility - Raters may indicate Most Qualified for 1 of the First 4 reports Senior Rater OER profiles are calculated based on date and time of receipt at HQDA; once an evaluation is completed, the rater cannot retrospectively change mind on block check OERs are due at HRC within 90 days after the thru date of evaluation Maintain a working copy of your rater profile and monitor for accuracy EES will have built in profile calculators. Profile calculators are provided for raters to use (example on next slide) available on Evaluation Webpage

Senior Rater Box Check COLs
No Rater “box check” Rater narrative comments focused on performance and potential Change Box Check Terminology and option of 24% and % limits (more restrictive than current system) More clearly identifies the best compared to current system Requires restart of COL population Senior Rater will receive a “credit” of 5 to start profile in “Retain as Colonel” block Senior Rater philosophy will best determine how to describe the rated officer’s General Officer Potential Two ACOM Boxes Multi-Star limited to 24% of total reports Promote To BG limited to 25 – 49.9% of total reports a. POTENTIAL COMPARED WITH OFFICERS SENIOR RATED IN SAME GRADE (OVERPRINTED BY DA) MULTI-STAR POTENTIAL (Limited to no more than 24%) PROMOTE TO BG (25% to 49%) RETAIN AS COLONEL Note: Combined cumulative percentages of both “MULTI-STAR POTENTIAL” and “PROMOTE TO BG” will not exceed 49% CUMULATIVE % Remains less than 50%

How to Lock the Rater Profile Allows Sr Raters to see their profile

What’s a Misfire? Definition: An OER with an Most Qualified box checked that receives a Highly Qualified DA label because the senior rater’s profile (50% or greater) does not support the Most Qualified rating. Mechanism to prevent: Senior Rater Contact Program. Once OERs are processed, a daily Potential Misfire roster ID’s problems. The SR is contacted and given options: Submit Highly Qualified OER(s) to support Most Qualified / re-sequence Withdraw/return potential misfire OER Give authorization to change box check to Highly Qualified (SR should notify rated officer) Officially misfire the report - What happens? Rated officer receives a Highly Qualified DA Label Most Qualified counts on SR profile, further limiting SR ability to give future Most Qualified SR receives a Discipline Memo thru their rating chain Bottom line: Know and manage your profile Management Support Division (HRC Ft Knox) will help and work with you

Methods for Combating “Pooling”
Inclusion and specific discouraging of “pooling” via regulatory guidance Raises visibility of issue in a public forum which has not previously been done Still allows commanders and senior leaders to be responsible for designating rating schemes / Approved one level up Intermediate Rater limited to specialty branches only Example: AR Para 2-5: AS READ: "The Rater will normally be the immediate supervisor of....." NOW READS: "The Rater will be the immediate supervisor of...“ Para 2-7 AS READ: "The SR will normally be the immediate supervisor of....." NOW READS: "The SR will be the immediate supervisor of the Rater...” Also, NOW READS: “Commanders will rate Commanders” Also, NOW READS: “Rating Schemes will be approved one level up” Added "notes" throughout regulation at applicable locations (i.e. Managing the Rating Chain, Roles and Responsibilities, etc.) that brings "Pooling" to light. Evaluation Entry System (EES) will prompt the Senior Rater to validate that the form is accurate, and to attest that he/she is not promoting pooling.

LSA7 Check on Learning 1. Raters have a “credit” of ___ in the ______ box to start their profile. 2. Define a Misfire in your own words.

Non-commissioned Officer Evaluation Reports (NCOERs)
DA Form

NCOER Support Form-Page 1
Part I – SSD and NCOES requirement met for next grade Part II – Senior Rater annotates counseling dates Part II – Supplementary Reviewer, if required Part IV – Rated NCO provides goals and expectations Up to 7 lines of text Up to 2 lines of text Up to 2 lines of text Up to 16 lines of text

NCOER Counseling Support Form
Part V – Attributes and Competencies (ADP 6-22) CHARACTER: Rater assesses the rated NCO’s performance in fostering a climate of dignity and respect and adhering to the requirements of the SHARP Program. Part VI – Senior Rater provides comments Up to 8 lines of text for each field

Bullet comments for all grade plates except Strategic Report (CSM/SGM)
DA Form Front Page Administrative data is the same for all reports Supplementary Reviewer required when the Senior Rater is a 1LT and below and in certain situations Part II, block d2 – Rated NCO’s signature verifies seeing the report and the accuracy of administrative data in Part I, rating chain and counseling dates in Part II, duty description in Part III, and APFT and HT/WT data in Part IV Part IV Bullet comments for Direct- and Organizational-level reports Narrative comments for Strategic-level report Up to 7 lines of text Up to 5 lines of text Bullet comments for all grade plates except Strategic Report (CSM/SGM)

Direct-level Report (SGT) Page 2
Focuses on proficiency and is developmental in nature; aligns with Army Leadership Doctrine Assessment based on 2-box scale MET STANDARD DID NOT MEET STANDARD Rater – bullet format Unconstrained Senior Rater box check Senior Rater – narrative format Up to eight (8) lines of text (bullet format) for each field in Part IV, blocks c through h Up to five (5) lines of text (bullet format) Up to 5 lines of narrative text

Organizational-level Report (SSG-1SG/MSG) Page 2
Focuses on organizational systems and processes; aligns with Army Leadership Doctrine Rater – bullet format Senior Rater – Narrative format Assessment based on 4-box scale FAR EXCEEDED STANDARD EXCEEDED STANDARD MET STANDARD DID NOT MEET STANDARD Unconstrained Rater Tendency Constrained Senior Rater Profile (limited to 24% for “Most Qualified” selection); no credit applied Up to eight (8) lines of text (bullet format) for each field in Part IV, blocks c through h Up to five (5) lines of text (bullet format) Up to 5 lines of narrative text

Strategic-level Report (CSM/SGM) Page 2
Focuses on large organizations and strategic initiatives; aligns with Army Leadership Doctrine Rater and Senior Rater – narrative format Rater Overall Performance is not limited Unconstrained Rater Tendency Senior Rater Profile (limited to 24% for "MOST QUALIFIED" selection); no credit applied “Silver Bullet” – only one of the first four reports may be “MOST QUALIFED” Up to 5 lines of narrative text Up to 4 lines of narrative text Up to 5 lines of narrative text

Exceeds Standards (applies to Organizational and Strategic-level NCOERs)
mentored two squad members to be inducted into the Sergeant Audie Murphy Club graduated from M1A2/ MGS/ Bradley Master Gunner’s Course scored 2+/2+ on the Defense Language Proficiency Test (DLPT); surpassed Army standard in a Category IV language recognized with the Military Outstanding Volunteer Service Medal for volunteering over 100 hours with local community selected over eight seniors and 15 peers by the Deputy Commanding General to serve as Master Driver EXCEEDED STANDARD Rated NCO performs above the required Army standards and organizational goals of leader competencies and attributes; this NCO and his/her Soldiers often take disciplined initiative in applying leader competencies and attributes; results have an immediate impact on the mission, their Soldiers, the unit, and the Army; this level of performance is not common, typically demonstrated by the upper third of NCOs of the same grade.

Far Exceeded Standards (applies to Organizational and Strategic-level NCOERs)
Rated NCO performs extraordinarily above the required Army standards and organizational goals of leader competencies and attributes; leadership enables Soldiers and unit to far surpass required organizational and Army standards; demonstrated performance epitomizes excellence in all aspects; this NCO and his/her Soldiers consistently take disciplined initiative in applying leader competencies and attributes; results have an immediate impact and enduring effect on the mission, their Soldiers, the unit, and the Army; demonstrated by the best of the upper third of NCOs of the same grade. placed 1st of 23 teams in the recent LTG David E. Grange Jr. Best Ranger Competition nominated and selected over 11 senior NCOs to serve as the Army Corrections Command Operations Sergeant selected as the Secretary of the Army Career Counselor of the Year; incomparable retention knowledge expertly led his/her SGLs to earn an Institute of Excellence rating within eight months of arrival selected by Corps/Division G-1 as the best Brigade S-1 within area of responsibility

Met Standard (applies to all Grade Plates)
established a workplace environment and overall command climate that fostered dignity and respect for all team members scored 263 on last APFT helping company to achieve a 250 average assisted in the weapons qualification of 200 Soldiers throughout the battalion developed a strong priority work plan and anticipated constant change; successfully completed all missions developed several SOPs that were effectively used by Soldiers for accomplishment of daily missions MET STANDARD Rated NCO successfully achieves and maintains the required Army standards and organizational goals of leader competencies and attributes; effectively meets and enforces the standard for the unit and those in his/her charge; succeeds by taking appropriate initiative in applying the leader competencies and attributes; results have a positive impact on the mission, their Soldiers, the unit, and the Army; this level of performance is considered normal and typically demonstrated by a majority of NCOs of the same grade.

Did Not Meet Standard (applies to all Grade Plates)
failed to consistently adhere to rules, regulations, or standard operating procedures demonstrated no concern for security and accountability of sensitive items displayed meager enthusiasm and optimism; his/her actions discouraged others to develop and reach their full potential failed to maintain accountability of Soldiers under his supervision; fabricated status reports declined to address subordinate’s request for assistance with personal issues DID NOT MEET STANDARD Rated NCO fails to meet or maintain the required Army standards and organizational goals of leader competencies and attributes; does not enforce or meet the standard for the unit or those in his/her charge; exhibits/displays minimal or no effort; actions often have a negative effect on the mission, their Soldiers, the unit, and the Army.

Rater Tendency Label (applies to SSG-CSM/SGM)
2 3 6 1 Total Ratings: 12 Note: This is the Rater’s “capstone” assessment of performance and opportunity to “stratify / quantify.” Rater Tendency Label – the value below each box equals the overall history of those ratings in this grade and the rated NCO’s overall performance compared to NCOs in same grade SSG-CSM/SGM. Rater Tendency (i.e., rating history) will be imprinted on the NCOER and viewable within the Evaluation Entry System (EES) by the Rater’s Rater and Senior Rater. Emphasizes the following: Importance of the Rater’s role and responsibility to provide credible information to HQDA Importance of a Rater’s sequencing of NCOER submissions to avoid inflation Provides information to HQDA Selection Boards and Army Leadership on the Rater’s rating tendency Continues without interruption as the Rater moves from unit to unit, position to position, regardless of promotion.

Senior Rater Assessment (applies to SSG-CSM/SGM)
Most Qualified: Definitely select for higher levels of responsibilities (24%) Highly Qualified: Possesses the ability to perform at the next level of responsibility Qualified: Retain at current level Not Qualified: Needs improvement Limited to 24% Senior Rater’s assessment of rated NCO’s overall potential compared to NCOs in same grade Profile limited to 24% Only one of the first four NCOERs may be rated as Most Qualified (“Silver bullet”) Narrative comment format

Immature Profile/Small Population
(5 or less) HQDA COMPARISON OF THE SENIOR RATER’S PROFILE AT THE TIME THIS REPORT PROCESSED HIGHLY QUALIFIED RNCO: SMITH, BOB SR: DODD, JANE DATE: TOTAL RATINGS: 3 RATINGS THIS NCO: 1 Small Population (3 or less) Future Guidance to DA Centralized Selection Boards for the New NCOER Check DA Label: “Total Ratings” (5 or less = immature profile) Check Part Va – same grade in population (3 or less = small population) Expect “HIGHLY QUALIFIED” assessment if immature profile and/or small population exists Focus on Senior Rater’s narrative

Senior Rater Grade Requirements

Evaluation Narrative Assessment of Overall Potential
Most Qualified: Strong potential for selection in the secondary zone; potential ahead of peers Highly Qualified: Strong potential for promotion with peers Qualified: Capable of success at the next level; promote if able Not Qualified: Not recommended for promotion; consider for separation

LSA6 Check on Learning 1. When is a Supplementary Reviewer required? 2. What is the minimum pay grade required for a civilian to senior rate an NCO on the DA Form ? 3. Senior raters manage a constrained profile which is limited to _______ for the top block or “MOST QUALIFIED.” 4. What are the three types of reports in the DA Form series?

EVALUATION ENTRY SYSTEM (EES)

Evaluation Entry System (EES)
EES is the revised web-based tool in development at HRC, which will be used to complete and submit evaluations EES will consolidate AKO Myforms wizard, IWRS, EXCEL profile calculators, etc. Benefits of EES: Enhanced wizard to guide rating chain and Human Resource professionals in preparing the evaluation Multi-pane dashboard allows user to view data input and forms simultaneously Built-in tool to view and manage Rater and Senior Rater profiles Provides quick reference to AR and DA PAM 623-3 Eliminates accessing multiple systems and consolidates evaluation tools to one system Does not delay evaluation processing due to rater profile “misfires” (automatic downgrade)

Evaluation Entry System (EES)
EES link from HRC Self-Service tools & online applications page

COMPUTING REPORTING PERIODS, RATED MONTHS AND NON-RATED TIME

Computing Reporting Periods, Rated Months and Non-rated Time 1 of 3
Step one: Determine the report type: What is the triggering factor that requires an evaluation? (e.g., PCS, Annual, Change of Rater, etc.) Refer to DA PAM, Tables 2-24 and 3-6 for codes and reasons Step two: Determine the reporting period Start date: always the day after the thru date of previous report Thru date: based on report type and last day of rating (if departing a unit, it is the day before you sign out) Step Three: Determine and calculate the non-rated periods DA PAM, Tables 2-25 and 3-7 for nonrated codes Subtract all non-rated days from the rating period and divide the number of days by 30 If 15 or more days are left after dividing the rating period by 30, count them as a whole month (for example, 130 days is 4 months and 10 days and is entered as 4 months; 140 days is 4 months and 20 days and is entered as 5 months)

Calculating Non-rated Time
AR 623-3, Figure 3-1

SFC Craven’s last NCOER ended He received assignment instructions to report to Fort Jackson with a report date of SFC Craven was hospitalized from to SFC Craven will sign out of his unit on Complete Part I, item g-j on SFC Craven’s next NCOER.

SFC Craven i. 03 Change of Rater (DA PAM 623-3, Table 3-16) j – (DA PAM 623-3, Table 3-6) k. 361 days – 26 days / 30 = 11 months (DA PAM, Table 3-6) l. P (DA PAM 623-3, Table 3-17)

Terminal Learning Objective
ACTION: Administer Evaluations Reporting Program CONDITIONS: In a small group classroom environment, given access to AR (Evaluation Reporting System), DA PAM (Evaluation Reporting System), access to Army Human Resources Command Evaluation Entry System (EES) and awareness of Operational Environment (OE) variables and actors. STANDARDS: Students will meet the standard of 80% accuracy when they: 1. Identify the principles of the Evaluation Reporting System (ERS). 2. Determine rating chain qualifications and responsibilities. 3. Define counseling requirements that support the ERS. 4. Identify types of Evaluations Reports. 5. Compute report periods, rated months and non-rated time. Employ the Evaluation Entry System (EES). Manage Rater / Senior Rater Profiles.

Adjutant General School Administer Evaluations Reporting Program

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