UNITED STATES ARMYSOLDIER SUPPORT INSTITUTEADJUTANT GENERAL SCHOOL

HUMAN RESOURCES TECHNICIAN WARRANT OFFICER ADVANCE COURSE

MANAGE EVALUATIONS PROCESS w/ SR PROFILE HR ASSESSMENT

LP LESSON PLAN LP April 20

US ARMY ADJUTANT GENERAL SCHOOLHuman Resources Technician Warrant Officer Advanced Course

Lesson Plan for Lesson –Manage Evaluation Process

Lesson: 6.0 HoursLesson Author: CW4 Andrea A. Ebanks-JoynerDate: April 20

1. SCOPE: The intended outcome of this lesson is to produce officers who can confidently administer an evaluations reporting program in their future assignments. The lesson begins by reviewing a baseline of doctrinal concepts that are expected to be familiar to all US officers regardless of their basic branch. Information added to this foundation focuses on the considerations S-1s must take into account when planning for and administering an evaluations reporting program.

While the lesson provides basic key information you must know and understand to be successful in your future assignments, it cannot and will not provide you with everything you need to know. The evaluations reporting program, like many HR services and functions, are complex and dynamic events. To best prepare you for these events, this lesson uses information to highlight responsibilities and challenges faced by HR providers, primarily at the battalion and brigade level. You are expected to come to class prepared to participate, sharing knowledge and your real-world experiences to reach conclusions. Often you will find that there is no one “right” answer to a question. Instead you will be required to propose and defend possible “best” answers. If your group works together well, you may even find the “best” questions are the ones you ask yourselves.

Take note that there is one assignment due before the lesson begins in addition to your pre-class reading. Several self-development products are also provided for you to learn more about what interests you, or what you feel you need to spend more time on. We will discuss the principles of the evaluation reporting system, rating chain qualifications and responsibilities, counseling requirements, types of evaluations, principles of the evaluation reporting system redress program, requirements for completion of evaluation reports, senior rater profile management actions, and other topics that show how the evaluation reporting program relates to other HR key functions. Think about these topics now, and what questions you may want to raise during class.

The lesson is interrelated with most of the other key function lessons you have had or will receive, and will support the other Provide HR Services blocks of instruction later in the course.

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2. LEARNING OBJECTIVES:

TLO: Manage Evaluation Process

Action: Manage Evaluation Process

Condition: Given classroom instruction, AR 623-3 (Evaluation Reporting System) and DA PAM 623-3 (Evaluation Reporting System) and awareness of Operational environment (OE), variables, and actors.

Standard: Upon completion, the students will be able to: Identify required Rater/Senior Rater management actions.

Learning Domain: Cognitive

Level of Learning: Application

Instructional Guidance: Before presenting this lesson, instructors must thoroughly prepare by studying this lesson and identified reference material. Throughout this lesson, solicit from students the challenges they experienced in the current operational environment (OE) and what they did to resolve them. Encourage students to apply at least 1 of the 8 critical variables: political, military, economic, social, information, infrastructure, physical environment and time.

Safety Requirements: In a training environment, leaders must perform a risk assessment in accordance with ATP 5-19, Risk Management. Leaders will complete the current Deliberate Risk Assessment Worksheet (DD Form 2977) in accordance with the TRADOC Safety Officer during the planning and completion of each task and sub-task by assessing mission, enemy, terrain and weather, troops and support available-time available and civil considerations, (METT-TC). Note: During MOPP training, leaders must ensure personnel are monitored for potential heat injury. Local policies and procedures must be followed during times of increased heat category in order to avoid heat related injury. Consider the MOPP work/rest cycles and water replacement guidelines IAW FM 3-11.4, Multiservice Tactics, Techniques, and Procedures for Nuclear, Biological, and Chemical (NBC) Protection, FM 3-11.5, Multiservice Tactics, Techniques, and Procedures for Chemical, Biological, Radiological, and Nuclear Decontamination.

Risk Assessment Level: Low

Environmental Statement: Environmental protection is not just the law but the right thing to do. It is a continual process and starts with deliberate planning. Always be alert to ways to protect our environment during training and missions. In doing so, you will contribute to the sustainment of our training resources while protecting people and the

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environment from harmful effects. Refer to FM 3-34.5 Environmental Considerations and GTA 05-08-002 ENVIRONMENTAL-RELATED RISK ASSESSMENT.

3. STUDENT PREREQUISITE WORK:

a. Online familiarization: Due NLT the beginning of the Evaluations Block of instruction. Review the Evaluation Systems homepage on HRC’s website. Use the links listed above, under para. 3.a.(2) Electronically Provided Materials.

b. Assigned Readings .

Read:(1) FM 1-0: Chapter 4, para 4-12 thru 4-17 (Evaluation Reports)(2) AR 623-3 and DA PAM 623-3: Evaluations(3) DA PAM 600-8: Chapter 4, Providing HR Services(4) FM 3-0: Chapter 1 and Apendix A (Command Relationships)(5) FM 4-0: Chapter 2, HR Organizations (HRC is the proponent for Army

Evaluations)

Scan:(1) ADRP 6-22: Figure 1-1, The Army Leadership Requirements Model(2) ADRP 6-0: Mission Command as a Warfighting Function

Review: None

c. Bring to Class: None d. Be prepared to discuss the following in class:

What is the primary function of the Evaluation Reporting System? When does the individual evaluation process actually starts? Can a person direct a change to an evaluation if the evaluation is in

compliance with AR/DA PAM 623-3? What are the rules for designating a rater, senior rater, intermediate rater, and

reviewer? What is a Dash-2? Where can a Senior Rater obtain a copy of his DA Form 67-9-2? IAW FM 3-0, what drives the ASCC administrative responsibilities? IAW FM 3-0, who establishes command and support relationships with the

Theater Army?

4. INSTRUCTOR ADDITIONAL READING(S)/MATERIAL:

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NOTE: In addition to the student readings listed above, instructors should be well-versed in the evaluation reporting program – specifically AR 623-3 and DA PAM 623-3 and all MILPER Messages referenced in the advance sheet as well.

5. TRAINING AIDS, REFERENCES, AND RESOURCES:

This lesson is intended to be taught in a small group classroom setting with the ability to project PowerPoint slides. Several additional resources are available digitally for students to reference on their laptops without having the need to print.

Appendix A: Assessment PlanAppendix B: Additional Resources for Students

6. CONDUCT OF LESSON:

a. Lesson Timeline:20 minutes Concrete Experience: 20 minutes Publish and Process10 minutes Break5 minutes Introduction45 minutes Generalize New Information10 minutes Break50 minutes Generalize New Information10 minutes Break50 minutes Generalize New Information10 minutes Break 50 minutes Practical Exercise10 minutes Break 35 minutes Generalize New Information15 minutes Develop10 minutes Break 50 minutes Apply (includes class time allowed for practical exercise).10 minutes Closing

NOTE: While the main purpose of this lesson is to impart knowledge – it is also intended to get students thinking about how to best prepare for managing the Rater and Senior Rater profiles their units. There are not many slides in the lesson, but there is great potential for discussion. While topic slides do introduce knowledge for consideration, they are primarily designed to start discussions and constantly engage students, even in the GNI portion. The information covered in this lesson is basic, and even students with no background can prepare for the lesson by completing the reading assignment. There is no reason for anyone to not participate!

Your purpose in this block of instruction is to first help students realize they have a good idea of what the evaluation reporting program is, to facilitate discussion and critical

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thought of new information, and then to push students to the next level and have them apply their knowledge in an application process. Instructors must be thoroughly familiar with the topics and structure of the lesson to properly facilitate a small group. For each topic, ask students “Why is this important – particularly as you prepare for your next assignments?”

b. Concrete Experience (20 min):

Slide 2 OpenerObjective: Break the ice and become better acquainted.

Objective: Break the ice and become better acquainted

Group size: Any number, in subgroups of five to seven

Time: 10 to 20 minutes

Equipment: One sheet of open-ended sentences per person. Enough pencils for all participants

Process: The instructor hands out the sheet of open-ended sentences and pencils and asks participants to select and complete any five of the sentence stems. Participants then share in small groups why they selected particular stems and how they completed them.

Options: Some of the sentence stems are job-oriented and some are personal. The instructor can add, delete, or change any of them to shift the focus of discussion. The instructor can allow groups to complete and share additional phrases periodically during the day as an engerizer.

c. Publish and Process (20 min): This phase is student-centered and instructor facilitated.

The “publish” portion is a short discussion on how group members felt during their experience of during this exercise. This can be kept short; once the group moves to

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“process,” they will likely continue to add to “publishing” type information. Do not let the group jump straight to content. When well facilitated, publishing is a good method to relate a discussion of interpersonal communication and group dynamics to the broader topic of leader competencies described in ADP 6-22. Questions the instructor may ask to assist in the publishing phase:

What happened? How did you feel about that? Who had a similar or different experience, and why? Were there any surprises? What can we learn about the evaluations reporting program in light of this

example?

Discussion and questions are directed toward making sense of the data for the individual and the group.

d. Introduction (5 min): Although instructor focused, this lesson has been designed for student involvement and discussion.

Note: Refer Students to FM 3-0, Operations, and notify the students of the below.The Army is transitioning to large scale combat operations (LSCO). This will require modification to how we execute HR operations to build efficiency in executing HR core competencies. FM 3-0, Operations, covers large scale combat operations (LSCO). Once FM 1-0, Human Resources Support is updated, it and FM 4-0, Sustainment Operations will align with FM 3-0. Therefore, some of the information presented during this course may change. Until regulations change, the information presented is valid.

During LSCO, Your organization may deploy as a part of a bigger organization. As an HR professional in a BDE/BCT S1, contact your higher command for guidance on how evaluations will be executed during LSCO (Some higher command requires a rating scheme from subordinate commands and updates as the OPORD relationship changes).

Use the information obtain from higher command to implement policies and procedures for your organization as you prepare for deployment. The key to a successfully evaluations process is proactive planning and preparation.

Note: Refer students to paragraph 1-4, to understand FM 3-0’s description of Large-scale combat operations.Large-scale combat operations are intense, lethal, and brutal. Their conditions include complexity, chaos, fear, violence, fatigue, and uncertainty. Future battlefields will include noncombatants, and they will be crowded in and around large cities. Enemies will employ conventional tactics, terror, criminal activity, and information warfare to further complicate operations. To an ever-increasing degree, activities in the information environment are inseparable from ground operations. Large-scale combat operations present the greatest challenge for Army forces.

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Note: Refer students to FM 3-0, Operations, Figure 1-4. Figure l-4 shows the Army's strategic roles. The Army strategic roles are nested with joint phases to highlight the actions the Army will take in each phase.

Slide 6: FM 3-0: LSCOFocus:

Note: Refer students to FM 3-0, Operations, paragraph 1-143. During LSCO, deployments will be conducted at Corps level with Divisions, Brigades and other units as identified by the operational order, deploying in support of the Corps’ mission. This means Corps will be supporting a Theater Army Organization’s mission.

Note: Review the definition of SHAPE to highlight its importance during LSCO. Emphasize that all the strategic roles are important; however, SHAPE will be reviewed because it ensures the successful execution of the other roles. Also, notify Students that even though the following is not annotated in the regulation, they have to understand their duties and responsibilities of evaluations within their organization.

Evaluations is not a critical task during LSCO unless the Soldier is pending a board appearance. In that event, the HR professionals should have identified those Soldiers that will require an evaluation during the deployment and notify the command. Additionally, notify students that analog/disconnect HR operations may occur during LSCO and they need to develop COAs to present to the command for his decision.

Shape: paragraph 1-62.

Army operations to shape bring together all the activities intended to promote regional stability and to set conditions for a favorable outcome in the event of a military confrontation. Army operations to shape help dissuade adversary activities designed to achieve regional goals short of military conflict. As part of operations to shape, the Army provides trained and ready forces to geographic combatant commanders (GCCs) in support of their theater campaign plan. The theater army and subordinate Army forces

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assist the GCC in building partner capacity and capability and promoting stability across the AOR. Army operations to shape are continuous throughout a GCC's AOR and occur before, during, and after a joint operation within a specific operational area.Refer Students to FM 3-0, Appendix A, Command and Support Relationships.Note: Highlight to the students that your organization’s command and support relationships with other organizations are vital during LSCO. Depending on the deployment location and the mission the unit is supporting, units command relationships may change. Working with your unit’s S3/G3, can assist S1/G1 in identifying the reporting hierarchy (upper/lower echelons). An OPORD will identify a unit’s reporting hierarchy during a contingency operations.

A-1. Establishing clear command and support relationships is a key aspect of any operation. Large-scale combat operations present unique and complex challenges that demand well defined command and support relationships among units. These relationships establish responsibilities and authorities between subordinate and supporting units. Some command and support relationships limit the commander's authority to prescribe additional relationships. Knowing the inherent responsibilities of each command and support relationship allows commanders to effectively organize their forces and helps supporting commanders understand their unit's role in the organizational structure.Review Table A1-A3, Command Relationships.

Slide 3: Terminal Learning ObjectiveNOTE: Inform the students of the Terminal Learning Objective (TLO) requirements. Remind them that all references are available on Blackboard and the Advance Sheet for this lesson.

The Army Learning Area (ALA) provides a framework to assist in grouping General Learning Outcomes (GLO) . The learning areas foster the tenets of leader development and the vocation of the profession, emphasize human dimension, and stress empowering subordinates through well-structured intent in Mission Command. This lesson has the following ALAs and GLOs.

1) ALA: Human Dimensions

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a. GLO: Soldiers and Army Civilians demonstrate capacity in critical thinking

b. GLO: Soldiers and Army Civilians demonstrate proficiency in communications skills

2) ALA: Professional Competencea. GLO: Soldiers and Army Civilians support Army policies, programs,

and processesb. GLO: Soldiers and Army Civilians are technically and tactically

competent

e. Generalize New Information (130 min): Although instructor focused, this lesson has been designed for student involvement and discussion.

NOTE: Pacing of the GNI phase relies on student interaction. The intent is for the group to discuss the topics presented, and by expressing the importance of these subjects in terms of their own knowledge and experience, to thereby attach “relevance” to the material. The goal is not to just get through the slides. “Hard data” content varies from topic to topic, and when information is provided, it is mainly to serve as anchor points for discussions requiring more critical thinking. Although there are many questions related to the material that may have “right” answers, facilitators should push students to explain why an answer is “right,” or why one answer may be better than another. Occasionally, students will disagree with you or one another which is great – encourage professional discussion that relies on critical thinking. Learners are more likely to remember these interactions than a bullet on a slide.

Properly administering the evaluations reporting program can be overwhelming at first. After completion of this lesson, students should have an idea of where to start, how to sift through the large amounts of information available to them, and how to categorize and prioritize that information for use in problem solving. This is asking a lot, particularly for students who are being exposed to the topic for the first time. So start easy.

Slide 4: LSA 1 - Identify the Principles of the Evaluation Reporting System

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The purpose of an Army evaluation is to: Provide selection boards and personnel managers adequate information to make their decisions.

Before advancing, ask students if they can define what the evaluations reporting system is.

Instructor Notes: Refer students to AR 623-3, paragraph 1-8a

Slide 5: Identify the Principles of the ERSThe purpose of an Army evaluation is to: Provide selection boards and personnel managers adequate information to make their decisions.

The ERS identifies Soldiers who are best qualified for promotion and assignment to positions of greater responsibility. The ERS also identifies Soldiers who will be kept on active duty, retained in grade, or eliminated from military service.

The ERS combines major elements of counseling, assessment, documentation, and integration with other personnel functions to meet the needs of the Army, rating officials, and rated Soldiers in their current environments. Its basic foundation—to evaluate today’s Soldiers to select and develop tomorrow’s leaders—will remain consistent.

Instructor Notes: Refer students to AR 623-3, paragraph 1-8a

Slide 6: Identify the Principles of the ERS

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The purpose of an Army evaluation is to: Provide selection boards and personnel managers adequate information to make their decisions.

The ERS assesses the quality of Soldiers and determines the selection of future Army leaders and the course of their individual careers. It supports many current Army and Joint personnel management programs. The ERS places emphasis on the senior and/ or subordinate communication process; the characteristics of evaluation reports ensure that leaders specialties are considered along with the specialty requirements of their duty positions when they are evaluated.

The ERS is a multifunctional system that allows the rater to give shape and direction to the rated Soldier’s daily performance; provides a chain of command of supervision assessment of an individual Soldier’s performance and potential for promotion, schooling, and successive assignments; and permits the entire evaluation reporting process to be reviewed.

Instructor Notes: Refer students to AR 623-3, para 2-12j

Slide 7: SHARP Program and Evaluations

Note: See Army Directive 2013-20 and AR 623-3, para 2-12j

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a. Army Directive 2013-20 and AR 623-3, 2-12j is the reference for changes regarding evaluation as pertains to Sexual Harassment/Assault Response and Prevention Program (SHARP) and Evaluations. The Army is taking important steps to eliminate sexual harassment and assault and to foster climates of dignity and respect in their units.

b. All Officers and NCOs will include goals and objectives to help eliminate sexual harassment and assault. The Officer Evaluation Report Support Form (or its equivalent) and NCOER Counseling and Support Form must be annotated with goal and objective adherence to SHARP Program. Soldiers attending military service schools, civilian education, medical, or industrial institutions, goals and objectives will be establish during the students’ initial counseling

c. The rater will assess the rated officer or NCO on how well they adhered to the SHARP Program and any significant actions or contributions the rated officer or NCO made:

1) Promoting the personal and professional development of his or her subordinates 2) Ensuring the fair, respectful treatment of assigned personnel 3) Establishing a workplace and overall command climate that fosters dignity and respect for all members of the group

d. Assessments should also identify, as appropriate, any failures by the officer or NCO to foster a climate of dignity, respect and adherence to the SHARP Program.

e. Raters and senior raters will document any substantiated finding on the officers’ DA Form 67-10 series, NCOs’ DA Form 2166-8, DA Form 1059 and DA Form 1059-1 (Character) such as:

1) Committing an act of sexual harassment or sexual assault 2) Failing to report a sexual harassment or assault 3) Failing to respond to a complaint or report of sexual harassment or sexual assault 4) Retaliating against a person making a complaint or report of sexual harassment or sexual assault

Slide 8: CHECK ON LEARNING

Note: Conduct Check on learning with students

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1. The ERS determines__________________

ANSWER: The ERS assesses the quality of Soldiers and determines the selection of future Army leaders and the course of their individual careers.

2. The ERS is a multifunctional system that ___________________________ provides____________________ and permits________________________

ANSWER: The ERS is a multifunctional system that allows the rater to give shape and direction to the rated Soldier’s daily performance; provides a chain of command of supervision assessment of an individual Soldier’s performance and potential for promotion, schooling, and successive assignments; and permits the entire evaluation reporting process to be reviewed.

3. The basic foundation of ERS is_____________________

ANSWER: to evaluate today’s Soldiers to select and develop tomorrow’s leaders.

Slide 9: SUMMARY

Slide 10: LSA 2 – Determine Rating Chain qualifications and responsibilities

Note: Transition slide

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Instructor Notes: Refer Students to AR 623-3, Paragraph 2-4 thru 2-7

Slide 10: Rules for designating Rating Chain

NOTE: Refer students to AR 623-3, Paragraph 2-4

NOTE: Refer students to AR 623-3, Paragraph 2-4 General rules for establishing rating chains:  a. The rating chain for a rated Soldier will be established at the beginning of the rating period. This allows the rated Soldier and rating officials to properly execute their roles and responsibilities in the evaluation process. Rating officials must meet grade requirements, as well as time in position, in order to render evaluation reports.

b. CDRs, commandants, and organization leaders are responsible for ensuring valid rating schemes are established. Rating schemes for two-star level commands (or equivalent organizations) and below will be approved by the next higher CDR, commandant, or organizational leader.

Note. When CDRs, commandants, and organization leaders establish rating chains, they will ensure “Pooling” of the rated population is not occurring.

c. It is essential that rating officials meet and maintain the required eligibility criteria throughout the rating period. If the rated Soldier’s grade changes during the rating period, rating officials must still meet the eligibility requirements in order to be

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authorized to render an evaluation report on a rated Soldier when one is due. If eligibility criteria are not met, evaluation reports will not be processed at HQDA.

d. When necessary, rating chain exceptions to policy must be requested at the earliest possible date and cannot be implemented until approved by HQDA (for exceptions see para 2–7a(7)).

e. Specific requirements for rating officials are addressed in the subsequent paragraphs and in specified appendices of this regulation.

Instructor Notes: Refer students to AR 623-3, Table 2-1

Slide 12: Rating Chain Requirements

NOTE: Refer students to AR 623-3, Chapter 2, Para 2-3 f (1) and Paras 2-5 through 2-8 for rules which designate raters, intermediate raters, senior raters (SR), and reviewers.

NOTE: Refer students to AR 623-3, Chapter 2, Para 2-3 f (1) and Paras 2-5 through 2-8 for rules which designate raters, intermediate raters, senior raters (SR), and reviewers.

Most officer rating chains consist of the rated officer, the rater, and the SR. The SR accomplishes the final rating chain review. Some officer rating chains will also include an intermediate rater. An intermediate rater will be designated only when a rated officer has a supervisor who is between the rater and senior rater and requires a technical expert in the chain of command.

In some cases, a rated officer’s rating chain may have a qualified rating official/supervisor who serves as both a rater and an SR. In other situations, a rated officer’s rating chain may consist of new supervision, when he/she is supervised and

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assigned different duties by two qualified, but separate chains of command or supervision through the entire rating period.

A military Rater will be senior to the rated officer, by grade or date of rank. Exceptions to this rule are —

(1) A rater in a command position may rate an officer who is of the same grade but senior in date of rank if the rater has been appointed to command by direction of the President and has command authority over the rated officer.

(2) Officers in command positions may rate an officer over whom they have command authority and who are senior in date of rank but ineligible by law or regulation to command troops other than those of their own branch, service, or department. In such cases, the raters will attach a copy of the written assumption of command as an enclosure to the rated officer’s report.

(3) An officer in a Joint headquarters or activity may rate an officer who is senior in date of rank provided —

(a) The rater is not a U.S. Army officer. (b) The senior rater is at least one grade senior to the rated officer.

(c) Each instance is approved in writing by the next senior Army member of the command or activity. A copy of the approval will be sent to HQDA as an enclosure to the evaluation form.

(4) For OERs, a civilian rater has no minimum grade requirement but will be the rated individual’s designated supervisor.

(5) Commanders will normally be rated by the next higher commander. An exception to this rule is allowed when a staff officer or higher level commander is the logical choice as the commander’s immediate supervisor because of functional, geographical, or technical supervision requirements.(6) Officers who are selected for promotion and who are in authorized positions for the new grade may rate any officer they supervise if, after the rater’s promotion, they will be senior to the rated officer.

(7) A rater who has been selected for promotion and who is in an authorized position for the new grade will be considered to be serving in the new grade. The symbol “P” will be put next to the current grade on the applicable evaluation form.

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(8) A rater who has been selected for promotion but is not in a position authorized for the new grade will be considered to be serving in the current grade. The symbol “P” will not be put next to the current grade on the applicable evaluation form.

Intermediate Rater - U.S. or allied officer or federal employee. No minimum grade requirement for civilian employees, but must be rater’s designated supervisor.SR - Officer of U.S. Armed Forces or federal employee senior to all members of rating chain. Immediate supervisor of the rater who is two grades higher for WO1–MAJ and one grade higher for LTC–COL. Also conducts the final rating chain review.

Memorandum of Input: To further reduce short-term evaluation reports, particularly in deployed situations, the rules for COR reports (Code 03) permit officers who change raters, but continue to perform the same duties under the same SR, to receive a memorandum of input from their departing rater instead of a COR evaluation. At the SR's discretion, raters will complete a memorandum of input when the rated officer has served under the rater for at least 90 days (120 days for U.S. Army Reserve TPU, drilling IMA and drilling IRR Soldiers or ARNG Soldiers). SRs are encouraged to use a memorandum of input in lieu of a change of rater report.

Slide 13: Rating Chain Responsibilities

NOTE: Refer students to AR 623-3, Paragraphs 2-12 and 2-14.

NOTE: For specific instructions, refer students to DA Pam 623–3

Instructor Notes: Refer students to AR 623-3, para 2-2 and 2-3

Slide 14: Rating Chain Information

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Note: Refer students to AR 623-3, Chapter 2, Paras 2-2 and 2-3.

Rating chains must correspond as nearly as practicable to the chain of command and supervision within an organization, regardless of component or geographical location. Rating chains are established by name, given effective dates, published, and distributed manually or electronically to each rated officer, NCO, and civilian member of the rating chain. Any changes to the rating chain will also be published and distributed as required. Changes to the rating chain may not be retroactive.

Rating chains are established by Commanders or Commandants and maintained by rating officials to provide the best evaluation of an individual Soldier’s performance and potential. A rating chain also ties the rated Soldier’s performance to a specific senior/subordinate relationship. This allows for proper counseling to develop the rated Soldier and accomplish the mission. These functions are best achieved within an organization’s chain of command.

Generally, the evaluation of Soldiers by persons not involved in the chain of command or supervision is inappropriate. It is recommended that the BDE S-1/BN S-1 or other administrative office maintain superseded rating chains for a period of one to two-years for historical purposes only; however, there is no requirement to do this. Special rules for designating rating officials have been made to cover the death, relief, or incapacitation of a rating official. These rules are covered in AR 623-3, Para 2-20.

Slide 15: Rating Chain Development

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Note: Officer rating chains consist of the rated officer, the rater, and the senior rater. The senior rater accomplishes the final rating chain review.

Officer rating chains consist of the rated officer, the rater, and the senior rater. The senior rater accomplishes the final rating chain review.  (1) Some officer rating chains will also include an intermediate rater. An intermediate rater will be designated only when a rated officer has a supervisor who is between the rater and senior rater and requires a technical expert in the chain of command. (2) In some cases, a rated officer’s rating chain may have a qualified rating official/supervisor who serves as both a rater and a senior rater. In such a case, refer to Paragraph 2-20 of AR 623-3 for further guidance. (3) In other situations, a rated officer’s rating chain may consist of new supervision, when he/she is supervised and assigned different duties by two qualified, but separate chains of command or supervision through the entire rating period. (4) For special rules governing the rating of officers under dual supervision, chaplains, Judge Advocate General Counsel (JAGC), Army Medical Department (AMEDD) and others, refer to section IV of Chapter 2, AR 623-3. c. NCO rating chains consist of the rated NCO, the rater, the senior rater, and the reviewer. The reviewer will be a Sergeant Major (SGM), CSM, warrant officer, or commissioned officer in the direct line of supervision and senior in pay grade or date of rank to the senior rater. NCO rating chains will not include an intermediate rater. d. Generally, the evaluation of Soldiers by persons not involved in the chain of command or supervision is inappropriate. (1) Special rules for designating rating officials have been made to cover the death, relief, or incapacitation of a rating official. These rules are covered in Paragraph 2-20 of AR 623-3.

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 (2) It is recommended that the battalion S-1/brigade S-1 or other administrative office maintain superseded rating chains for a period of 1 to 2 years for historical purposes only.

Refer Students to FM 3-0, Appendix A, A-12 Army Support Relationships

Slide 16: FM 3-0 Army Command RelationshipsArmy command and support relationships play a key role during rating chain development, especially in an operational environment where non-organic units are involved. Each organization must find out the types of command relationships with higher and lower echelons and how they affect rating chain development.

Notify students that the OPORD will identify command relationships during an operational environment. They should consult with their G3/S3 for more information.

ARMY COMMAND AND SUPPORT RELATIONSHIPS

Army command and support relationships are similar but not identical to joint command authorities and relationships. Differences stem from the way Army forces task-organize internally and the need for a system of support relationships between Army forces. Another important difference is the requirement for Army commanders to handle the administrative support requirements that meet the needs of Soldiers. These differences allow for flexible allocation of Army capabilities within various Army echelons. Army command and support relationships are the basis for building Army task organizations. Certain responsibilities are inherent in the Army's command and support relationships.

ARMY COMMAND RELATTONSITPS

A-13. Army command relationships define superior and subordinate relationships between unit commanders. By specifying a chain of command, command relationships unify effort and enable commanders to use subordinate forces with maximum flexibility. Army command relationships identify the degree of control of the gaining Army commander. The type of command relationship often relates to the expected longevity of the relationship between the headquarters involved, and it quickly identifies the degree of support that the gaining and losing Army commanders provide. Army command relationships include-

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• Organic.

• Assigned.

• Attached.

• OPCON (see paragraph A-4).

• TACON (see paragraph A-5).

Also review Table A2 and pay close attention to ADCON relationships. This table is only a guide and can be change by the Combatant Commander in charge forces.

Slide 17: SUMMARY

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Commanders are required to establish and maintain rating schemes for all officer, NCO, and DOD civilian personnel within their respective commands. S-1s assist commanders by coordinating communication at all levels to ensure rating schemes are up-to-date and free of errors. Frequent checks and updates are required due to personnel turbulence units experience while in garrison or changes to task organization while deployed. Established rating schemes become critical tools when processing evaluation report appeals.Slide 18: Learning Step Activity 3

Note: Transition slide

Slide 19: Types of Evaluation Reports

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NOTE: Refer students to AR 623-3; Paragraph 2-5c. Ask students to name the different types of reports.

NOTE: Explain to students that the method to determine rating periods will be discussed more fully in a subsequent learning activity

NOTE: Refer students to AR 623-3; Paragraph 2-5c. Ask students to name the different types of reports. a. There are two types of reports: mandatory and optional. These are further divided into a 90-day minimum rating period and other-than-90-day-minimum requirement. To determine if a Soldier meets the minimum calendar day requirements to receive a report, nonrated periods occurring during the rating period are deducted from the total number of days served in the same position under the same rater. NOTE: Explain to students that the method to determine rating periods will be discussed more fully in a subsequent learning activity.

Slide 20: Mandatory Reports

NOTE: Remind students that minimum rater qualifications must be met in the case of a TDY, SD, or TCS supervisor’s evaluation.

NOTE: Refer students to AR 623-3, Para 3–54.

Mandatory reports with a 90-day minimum include- 

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(1) Change of Rater (Paragraph 3-44). (2) Annual (Paragraph 3-45). (3) Extended Annual (Paragraph 3-46) (4) Change of Duty (Paragraph 3-47) (5) Depart Temporary Duty (TDY), Special Duty (SD), or Temporary Change of Station (TCS) (Paragraph 3-48); including Supervisor Evaluations while TDY, SD, or TCS (Paragraph 3-49). (6) Officer failing selection for promotion (Paragraph 3-50). c. Mandatory reports with other than a 90-day minimum include- (1) Initial Tour of Extended Active Duty (Paragraph 3-54). (2) Application for Army Appointment (Paragraph 3-55) (3) Funded Legal Education Program (FLEP) Officers participating in on-the-job training (Paragraph 3-56). (4) Human Resources Command (HRC) Directed (Paragraph 3-57). (5) Relief for Cause (Paragraph 3-32). d. The minimum rating period for a change of rater is 90 days.  (1) An OER report is mandatory when the rated officer ceases to serve under the immediate supervision of the rater and minimum rating qualifications are met (90-days). Officers who undergo a permanent change of station (PCS) or are released from active duty (REFRAD) will receive a change of duty report instead of this type of report. (2) An NCOER is mandatory when the rated NCO- (a) Ceases to serve under the immediate supervision of the rater and minimum rating qualifications are met (90-days). (b) Is reduced to corporal/specialist or below. Reduction to another NCO grade does not require a report, unless the rated NCO’s immediate supervisor changes.

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 (c) Is separated from active duty. As an exception, retirement reports of less than one year will be rendered at the option of the rater or senior rater or when requested by the rated NCO. (d) Is declared mission or becomes a prisoner or hostage. Under these situations, rating chain minimums do not apply. e. An annual report for both OERs and NCOERs is mandatory for a rated Soldier on completion of one calendar year of duty following the THRU date of the last report. (1) If one year has elapsed and the rated Soldier has not performed the same duty under the same rater for 90 days, an extended annual (Paragraph 3-46) will be submitted. (2) If the rated Soldier must go TDY to attend a school and the annual report will be due, the Depart TDY report (Paragraph 3-48) may be prepared and processed before departing to reestablish an annual cycle or an extended annual report may be prepared upon return to the same rating officials. (3) Additional specific requirements for completion of an annual NCOER include- (a) One calendar year after the effective date of promotion to sergeant. (c) Reversion to NCO status after serving as a commissioned or warrant officer for 12 months or more. (d) Re-entry on active duty in a rank of sergeant or above after a break in enlisted service of 12 months or more.  f. There are two types of extended annual reports: (1) An extended annual will be prepared if one year has elapsed and the rated Soldier has not performed the same duty under the same rater for 90 days. This extended annual will be only 90 evaluated (rated) days. (2) An extended annual report can be prepared in cases when mandatory reports (for example, annual, change of duty/rater) come due while Soldiers are attending schooling (nonrated time). This report may be submitted to alleviate the need for a mandatory report while at school. The total number of evaluated months (rating period minus

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nonrated time) will be no more than 12 months even though the rating period may be longer. g. A change of duty report is mandatory when the rated officer has a change of principal duty, even though the rater remains the same. This report is used for all reassignments, including PCS. No report is submitted when organizational changes merely alter the rated officer’s principal duty title but do not change the type of work performed. A report will be submitted when organizational changes result in a change of rater.

(1) A change of duty report is mandatory when the rated officer is separated from active duty. As an exception, retirement reports of less than one year will be rendered at the option of the rater or senior rater or when requested by the rated officer. (2) When the rated officer is declared missing or becomes a prisoner or hostage, a report is required as of the date of the incident. Under these situations, rating chain minimums do not apply. h. An OER or NCOER will be submitted on rated Soldiers by the rating officials in the organization from which they depart when they depart on temporary duty (TDY), special duty (SD), or temporary change of station (TCS) to perform duties not related to the rated Soldier’s primary functions in their units; and, while on TDY, SD, or TCS, they serve under a different supervisor for a period of 90 or more calendar days. However, this report is not required before departure on TDY for schooling. (1) In cases where it cannot be determined if such duty-related TDY, SD, or TCS will last for 90 days, a report may be submitted. (2) In cases when a mandatory report (annual, change of rater, etc.) may come due while Soldiers are attending schools that will result in nonrated time, this report may be submitted to alleviate the need for a mandatory report while at school. In these cases, an extended annual report is also an option. (3) A report is not authorized when the rated Soldier is still responsible to or receiving guidance or instruction from the chain of command of the parent unit. (4) An individual attached to an organization pending compassionate reassignment remains responsible to the parent unit and will not receive an evaluation report from the attached organization. A memorandum of input from the supervising officials at the attached organization to the Soldier’s rating officials in mandatory. 

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(5) Rated Soldiers on TDY, SD, or TCS who are not responsible to their parent organization will be rated by their TDY, SD, or TCS supervisors according to the rating chain requirements. In these cases, the TDY, SD, or TCS supervisor is responsible for ensuring that a rating chain is published and that a support form is initiated on the rated Soldier. Reports are not authorized for periods of fewer than 90 calendar days unless otherwise authorized as an exception. NOTE: Remind students that minimum rater qualifications must be met in the case of a TDY, SD, or TCS supervisor’s evaluation. i. An officer who fails to be selected for promotion by an active-duty promotion board will receive an OER prior to the next promotion board of the same type. The following conditions must be met: (1) The rated officer has not received an OER since the convene date of the board that did not select the officer for promotion. (2) The rating period must cover 90 or more calendar days as of the date announced in a DA message announcing the zone of consideration for the next board. (3) The minimum time requirements for the rater are satisfied. j. This requirement does not apply to officers who are not in a regular duty environment with an established rating chain, e.g., officers attending school are not eligible for an OER. k. An OER or NCOER is required when a rated Soldier is relieved for cause regardless of the rating period involved. Relief for cause is defined as:  (1) Officer – early release of an officer from a specific duty or assignment directed by superior authority and based on a decision that the officer has failed in their performance of duty. In this regard, duty performance will consist of the completion of assigned tasks in a competent manner and compliance at all times with the accepted professional officer standards shown in DA Form 67-9, Part IV. These standards apply to conduct both on and off duty. (2) NCO – removal of an NCO from a rateable assignment based on a decision by a member of the NCO’s chain of command or supervisory chain that the NCO’s personal or professional characteristics, conduct, behavior, or performance of duty warrants removal in the best interest of the U.S. Army.  

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l. Additional considerations for these reports are as follows: (1) If the relief does not occur on the date the rated Soldier is removed from the duty position or responsibilities, the suspended period of time will be included in the report as nonrated time. (2) Cases where the rated Soldier is suspended from duties pending an investigation must be resolved as quickly as possible to reduce the amount of potential nonrated time involved. (3) If Relief-for-Cause is contemplated on the basis of an informal AR 15–6 investigation, referral procedures contained in that regulation will be followed before the act of initiating or directing the relief. This is irrespective of the fact that the resultant report will also be referred to the rated officer as described in Paragraph 3–34. T (4) The minimum time requirements for rating officials do not apply.  (5) An NCOER report is required when an NCO is relieved for cause regardless of the rating period involved. The minimum rater and senior rater qualifications and the minimum rating period are 30 rated days. The fundamental purpose of this restriction is to allow the rated NCO a sufficient period to react to performance counseling during each rating period. Authority to waive this 30-day minimum rating period and rater and senior rater qualification period in cases of misconduct is granted to a general officer in the chain of command or an officer having general court-martial jurisdiction over the relieved NCO.  (6) The rating official directing the relief will clearly explain the reason for the relief in his/her portion of the NCOER. If the relief is directed by an official other than the rater or senior rater, the official directing the relief will describe the reasons for the relief in an enclosure to the report. NOTE: Refer students to AR 623-3, Para 3–54. m. Reports are also submitted under the following circumstances. These reports are mandatory, but less common.  (1) Initial tour of extended active duty-An OER report will be prepared only for AMEDD and JAGC commissioned officers under specified circumstances. Specified circumstances requiring a report include officers who are:  

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(a) Serving an initial tour of active duty in the Army (other than active duty for training or RC officers serving on statutory tours under 10 USC 175, 3021, 10211, 12301(d), and 12402. (b) Reentering active duty after a break in service of at least 1 year. (c) Completing law school under TJAG’s Funded Legal Education Program (AR 27–1) (see appendix D). (d) Army Medical Specialist Corps officers serving on an initial tour of extended active duty in the Army following completion of the dietetic internship, Occupational Affiliation Program, or U.S. Army Baylor University Program in Physical Therapy, or Physician Assistant Program. (2) Application for Active Army appointment-An OER report will be required when an active-duty officer applies for appointment in the Active Army. This applies only if the applicant has completed fewer than 5 years Active Army commissioned or warrant officer service and has not been rated during the 90 days immediately preceding the date of application. The rating officials will meet the minimum time requirements. (3) Funded Legal Education Program officers participating in on-the-job training- An OER report will be required when an officer taking part in TJAG’s Funded Legal Education Program (AR 27–1) completes on-the-job training (OJT) of 31 or more calendar days. Commanders, in coordination with JAGC officials at the OJT sites, will establish rating chains that ensure rating officials are present and available during OJT to ensure at least one report per year. OERs for officers who perform on-the-job training of 30 or fewer days may be submitted at the option of the rating officials. Rating chain time minimums do not apply.  (4) U.S. Army Human Resources Command directed evaluation report-For evaluation reports when HRC decides there is a need for a report (Para 1–4a(3) and other provisions of this chapter do not apply, HRC may direct that a report be submitted. The command directed report code will be used. (5) These reports do not apply to NCOS.  n. These reports are submitted at the option of rating officials.

Slide 21: Optional Reports

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 NOTE: Explain to students that chapters 4 and 5 will not be explained in detail during this class. However, as professional HR Soldiers, it behooves them to research these chapters on their own time.  NOTE: Refer students to AR 623-3, Table 2-24

Complete-the-Record reports are optional. Therefore, the absence of such a report from the OMPF at the time of the board’s review will not be a basis to request standby reconsideration unless the absence is due to administrative error or a delay in processing at HQDA.

1. For officers a DA Form 67–10 series- Complete-the-Record report may be submitted on a rated officer who is about to be considered by a DA selection board for promotion, project manager, school, or command (battalion or brigade level) provided the following conditions are met: 

a. The rated officer will be in or above the zone of consideration for promotion.

b. The rated officer will have served for a minimum of 90 calendar days (excluding nonrated periods) in the same position under the same rater as of the Complete the Record date announced in the DA message announcing the zones of consideration. 

c. All other rating chain time minimums apply. 2. For NCOS-a DA Form 2166–8-Complete-the-Record Report may be submitted on a NCO who is about to be considered by a DA centralized board for promotion, school, or CSM selection, provided the following conditions are met:

a. The rated NCO will be in the zone of consideration (primary or secondary) for a centralized promotion board or in the zone of consideration for a school or CSM selection board. 

b. The rated NCO will have been under the same rater for at least 90 rated days as of the ending date established in the message announcing the zones of consideration. 

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c. All other rating chain time minimums apply. 

d. The rated NCO will not have received a previous report for the current duty position at the current organization. 3. Senior rater option reports. For DA Form 67–10 series and DA Form 2166–8, when a change in senior rater occurs, the senior rater may direct that a report be made on any officer whom they senior rate. This will apply only if the following conditions are met: 

a. The senior rater has served in that position for at least 60 calendar days. In cases where a general officer is serving as both rater and senior rater, the minimum rater requirement will also be 60 days versus the normal 90-day requirement. 

b. The rater meets the minimum requirements to give a report. 

c. The Soldier has not received a report in the preceding 90 calendar days. 

d. When an evaluation report is due within 60 calendar days of the change in senior rater, the senior rater will submit a senior rater option report to prevent that OER or NCOER being submitted without a senior rater evaluation. 4. Sixty-day option reports - When one of the conditions described in Paragraphs 3–44 through 3–47 (Change of rater, change of duty etc.) occurs, and there are fewer than 90 calendar days but more than 59 calendar days (excluding nonrated periods) in the rating period, a report on rated Soldiers maybe initiated at the option of the rater. However, the following conditions will be met: 

a. The rated Soldier will be serving in an overseas designated short tour for a period of 14 months or less. 

b. The senior rater will meet the minimum time-in-position requirements to evaluate (60 days) and will approve or disapprove submission of the report. When the senior rater disapproves the submission of the report, the basis for the disapproval will be stated and the report returned through the rating chain to the rater. The rater will inform the rated individual that the report has been disapproved and destroy the report. 5. Rater option reports (DA Form 67–10 series only)-When one of the conditions described in Paragraph 3–59 occurs but there are fewer than 90 calendar days (excluding nonrated periods) in the rating period, an OER may be submitted at the option of the rater. However, the rated officer will have served continuously under the

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same rater in the same position for 90 or more calendar days in the previous rating period.  NOTE: USE EXAMPLE IN AR: An officer received an annual OER on 31 March. The rated officer departs PCS on 22 May. The rating period is 51 days. If those 51 days were spent in the same duty position under the same rater as shown on the report ending 31 March, the rater may, at their option, render a report for the period 1 April-21 May. All other rating chain minimums apply. NOTE: Explain to students that chapters 4 and 5 will not be explained in detail during this class. However, as professional HR Soldiers, it behooves them to research these chapters on their own time.  NOTE: Refer students to AR 623-3, Table 2-24 6. The reason submission codes correspond with the type of report being submitted and is a part of the drop down menu on the new evaluation forms.

Slide 22: Restrictions

Note: Refer students to AR 623-3 paragraphs 3-5, 3-16 to 3-21, and 3-24

Slide 23: Referred Reports (OER)

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Note: Refer to DA Pam 623-3 para 2-28

The following types of reports will be referred to the rated officer by the senior rater for acknowledgment and comment before they are sent to HQDA (see DA Pam 623–3, Paragraph 2–28, for detailed instructions and process for handling referred OER reports):

A Relief for cause report A rater performance evaluation of “Unsatisfactory” in part IV; A rater performance

evaluation of “Capable” in part IV A SR potential evaluation of “Not Qualified” or “Unsatisfactory” in part or

“Qualified” or “Retain as Colonel” in part VI, block a where the required explanation has derogatory information.

Any report with negative remarks; where the required explanation has derogatory information

Any report with an entry of “FAIL” in Part IV, indicating noncompliance with AR 350–1; or an entry of “NO “ indicating noncompliance with AR 600–9

A “Relief for Cause” report submitted under the provisions of paragraph 3–54.

Slide 24: Evaluation Redress Program

Note:

Both preventive and corrective in nature.

Protects the Army’s interests and ensures fairness to the rated Soldier.

The Evaluation Redress Program consists of several elements at various levels of command (e.g., field, AHRC, Army G–1, and HQDA). The program is both preventative

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and corrective, in that it is based upon principles structured to prevent, and provide a remedy for, alleged evaluation injustices or regulatory violations, as well as to correct them once they have occurred.

The first program element is the communication process fostered by DA Form 2166–8–1, which affords the rated NCO a forum for establishing duty requirements and a discussion of actual accomplishments.

A second element is the various regulatory requirements, such as each report standing on its own without reference to facts or events occurring prior or subsequent to the rated period (para 3–20); the prohibition against command influence on rating officials during the preparation of reports. The Evaluation Redress Program includes (in this order):

(1) The Commander’s or Commandant’s Inquiry

(2) The Appeals System

(3) Army Board of Correction of Military Records

Slide 25: CHECK ON LEARNING

Note: Conduct Check on learning with students

Note: Conduct Check on learning with students

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The two types of evaluations are __________ and ______________. a. performance / school  b. optional / mandatory c. performance and potential d. mandatory / school

Memorandum of Input is mandatory a. True b. False

Slide 26: SUMMARY

Raters will have up to 5 lines of narrative text which demonstrate “Performance” regarding Field Grade attributes and competencies as it relates to the Rated Officer’s duty description. (Note: Raters will not mention potential)

Mandatory reports with a 90-day minimum include-Change of Rater Annual Extended AnnualChange of Duty Depart Temporary Duty (TDY)Special Duty (SD)Temporary Change of Station (TCS) Officer failing selection for promotion

Mandatory reports with other than a 90-day minimum include-Initial Tour of Extended Active Duty Application for Army Appointment Funded Legal Education Program (FLEP)Human Resources Command (HRC) Directed Relief for Cause

Slide 27: Rater and Senior Profile Management

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Note: Transition slide

Slide 28: Rater Profile

Note: This slide covers some of the basic fundamentals of the Rater Managed Profile Technique

This slide covers some of the basic fundamentals of the Rater Managed Profile Technique.

Raters of LTCs and below will now be accountable and limited to the number of “EXCELS” block he/she can give. Raters must ensure that of the OERs submitted that he/she remains awards less than 50% of all OERs, by grade, as a top box EXCELS selection.

Raters will receive a credit of 3 in the “Proficient” box which will allow a Rater the flexibility to render an “EXCELS” for not more than “two” of the first 3 reports. (Note: If a Rater submits 1 “EXCELS” then the math is 1 EXCELS combined with credit of 3 proficient which makes 1 “EXCELS” of 4 combined reports which equals 25% total for EXCELS – when a Rater submits 2 EXCELS combined with credit of 3 proficient’ s, then the profile is 2 “EXCELS” of 5 reports which equals 40% EXCELS (which is less than 50% and within tolerance.)

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Profiles are calculated upon receipt at HQDA.Evaluations are still due to HRC NLT 90 days after thru date on the evaluation.Raters will have to manage a profile which is a Dash 2 (-2) and monitor it for accuracy. Leaders must share experiences on profile management with junior officers.

The new Evaluation Entry System (EES) will have built in profile calculators to assist raters. It is extremely important to note that evaluations that are mailed in must be accounted for by rater until they have been received at HRC and calculated into an individual’s profile numbers. The Entry Evaluation System will prevent an individual from breaking their profile however it is only as accurate as what it can see. Mailing an eval is like writing a check. Your bank does not know you have written a check until it arrives get deducted.

Slide 29: Rater Box Check Defined

Note: Define Rater Box Check: Excels, Proficient and Capable

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: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

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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.

Slide 30: Rater Profile Management

Note: On this slide you’ll see some of the basic fundamentals of the new Rater Managed Profile Technique for raters of LTCs and below.

On this slide you’ll see some of the basic fundamentals of the new Rater Managed Profile Technique for raters of LTCs and below.

The Managed Profile Technique ensures raters can have confidence that other Raters are not gaining an advantage and that they are still able to give their best officers a good rating without hurting other.

Of course, the bottom line of the technique is that Raters must keep less than 50% of all OERs written, separated by grade, as a top box “EXCELS”.

HRC will apply a credit of 3 in “Proficient” once the profile is started.

The rater cannot mention the box check in any way as a means to ‘beat” the restriction. The rater cannot say: “if I had an EXCELS box to give”--- The rater cannot go back and “retrospectively” change the block check either. The profile is calculated upon rater’s LOCKING the report in EES.

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OERs are due at HRC within 90 days of Thru date on report, so plan accordingly. EES will assist raters and senior raters with profile management, but raters can always keep a separate tracker/calculator that I will show you later.

Can unlock but must send a memorandum to HRC requesting so.

Slide 31: Profile Credit of 3 – By Grade

Note: This slide depicts the Rater profile math using the 4 box system.

This slide depicts the Rater profile math using the 4 box system.

Each grade will receive a credit of 3 in the “Proficient” category.

Looking at the first diagram you can see where the rater has been credited with 3 in the “Proficient” category.

The second diagram shows how the math will add up after the first 10 evaluations have been submitted (13 evaluations factoring in the credit of 3). After submitting 6 evaluations with “EXCELS” and 7 with “Proficient” it will bring the rater’s profile to 46% in “EXCELS” which is within the LESS THAN 50% standard. The “Proficient” category will be at 53%.

The third diagram shows how the math will calculate after the first 20 reports have been submitted with a credit of 3 in “Proficient.” A rater can submit up to 11 evaluations with “EXCELS” and 12 with “Proficient” which will put the Rater’s “EXCELS” profile at 47.8% which is still within standard of being LESS THAN 50%.

Slide 32: Rater Box Check

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Note: This slide depicts the box checks that a Rater can select with regard to the rated officer’s performance as compared to all of the officers the Rater has rated throughout his/her career.

The bottom portion of this slide shows an example of the HQDA label that will be over-stamped on the OER once processed at HQDA. The label will contain the Rated Officer’s name, date the evaluation was submitted to HQDA, the number of ratings for this officer, and the total number of ratings for officers in this grade.

Slide 33: Rater Managed Profile Labeling Rules

NOTE: There are four rules HRC uses in labeling reports.

Shown on the slide are the first two of four rules involved with a managed profile technique for those receiving a box check.

Rule 1: If the Proficient box is checked, a HQDA electronically generated Proficient label will be applied to the report, regardless of the senior rater’s profile.Rule 2: If Capable box or Unsatisfactory box is checked, a HQDA electronically generated Capable label or Unsatisfactory label will be applied to the report, regardless of the senior rater’s profile.

NOTE: Tell the students that the Proficient, Capable, and Unsatisfactory are added together when determining the next two rules - those for EXCELS boxes.

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Rule 3: If the rater checks “Excels” and the rater’s profile (total number of “Excels” given in that grade divided by the total number of reports rendered in that grade) remains less than 50% including the current report, then the report will receive an “Excels” label.

Rule 4: A MISFIRE occurs when the rater checks “Excels”, but the rater’s profile is 50% or higher, then the report is labeled “Proficient”. The Rater is still charged with an “Excels”.

NOTE: Rule 4 has a greater risk of occurring for mailed in or emailed reports to HQDA – The online entry system will prevent raters and prompt senior raters when checking blocks so MISFIRE situations should be minimal

Slide 34: Example Rater Profile Calculator/Tracker

Note: Rater Profile Calculator/Tracker

INSTRUCTIONS FOR RATER PROFILE MANAGEMENT CALCULATOR   This worksheet is designed to assist raters in keeping track of ratings rendered under the Officer Evaluation Entry System using DA Form 67-10. This unofficial worksheet should mirror information found on the profile report. It is available thru Evaluation Entry System Website www.evaluations.hrc.army.mil Raters must maintain a separate worksheet for each rank, for the ranks of WO1, CW2, CW3, CW4, 2LT, 1LT, CPT, MAJ, and LTC. The rater will have one combined profile for each component: Active, USAR, and ARNG are not separate. Promotable officers serving in positions authorized at the promotable grade are profiled at the higher grade by entering a rank with (P) in Part Ic on the OER.  

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This is an unofficial worksheet, which may be modified to meet individual needs. Instructions for columns on the worksheet follow: 1. On the correct rank TAB at bottom of sheet, enter the Ratee’s Name, Type, and Date of Evaluation.  2. Enter a one in the corresponding Box Checks (grey box) column. You see a credit of 3 in Proficient Box to allow Raters some flexibility on issuing EXCELS for initial reports. 3. Annotate the box check the Rater made on the OER in the Profile (green box) column by adding a “1” to the respective box and carry the balances down from above. For computing and profiling purposes Proficient, Capable, and Unsatisfactory box checks are totaled, then the number of EXCELS issued is divided by the total number of reports completed to get % EXCELS (must remain under 50%). The total column (in yellow) calculates the total number of Evals completed for that rank. Information should be verified with HRC (by reviewing EES periodically). 4. Enter date due to HRC (forecast 90 days after thru date of evaluation) 5. Enter the actual date completed at HRC (verify in EES). 6. Total EXCELS % calculates number of EXCELS at far right of the sheet (tan), which must maintain less than 50%.  POC: OER Profile Policy questions. Evaluation Systems Office, USA HRC, (502) 613-9019 (DSN: 983), usarmy.knox.hrc.mbx.tagd-eval-policy@mail.mil

Slide 35: Rater Tips

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The Rater is the first rating official in the military rating chain. Raters should use their position and experience to evaluate the rated Soldier from a performance perspective. Rater’s assessment is the link to the day to day observation of the rated Soldier’s performance. Raters use the narrative and block check with definitions to provide this assessment. Use the support form as a communication tool and be honest and forthright.

There will be times when the Rater will have to make a hard call to identify weak performers, so be ready to explain your rating. Don’t be afraid of referred reports to hold substandard performers accountable! Put it in writing and tell rated officers what they need to do to improve. On the other side, ensure success is articulated and recognized. Raters must become familiar with their rated population of officers and track when reports are due. In addition, raters must always have an idea of their profile status and manage accordingly. We’ll discuss how to manage a profile during the next few slides.

Slide 36: Senior Rater Box Check LTC & Below

Note:

Senior raters must maintain less than 50% for all reports written on officers WO1-LTC in a single grade in the Most Qualified Box to retain the MOST QUALIFIED label at final processing.

A rule in AR 623-3 allows any one of the first four OERs written in any grade to be a Most Qualified, even though the percentage might exceed the 50% rule. After the first four reports are rendered, any OERs for a given grade must maintain an Most Qualified percentage less than 50%.

OER Senior Rater profiles are calculated based on date of receipt at HQDA. Multiple OERs received on the same day will profile as of DATE TIME OF receipt and will include HARD COPY (mailed or email copies) as of the synchronization date (day prior).

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If the rated officer’s name is not included in your profile numbers and his or her OER was not sent via EES, you may misfire.

OERs process and profile at HQDA in date of receipt order. An OER received today will not complete processing and profiling before one of the same rank and same senior rater that arrived last week.

The profile for any single grade may only be restarted if at least 3 OERs for the same grade have processed, senior raters obtain permission /authorization from their senior raters and at least one OER in this grade has already been documented as a misfire. The senior rater must notify HQDA Evaluations Systems Office (HQDA-ESO) and both must agree to the effective date and grade(s) for the restart

Slide 37: Senior Rater Box Check LTC & Below

Note:

Senior Raters will continue to have a 4 box check system they can use to assess Potential.

The top 3 blocks are favorable. Each recommends promotion.Highlighted in yellow box to the right, it defines the level of stratification for potential and future promotion.

Profile transfers for LTC and below. The New system will read from your existing SR profile, and continue to include any reports submitted using the 67-9 when providing the real-time SR profile.

Additionally, Senior Raters will receive a “Warning Label” if rendering a Most Qualified box will cause a misfire. An official misfire (going over 49.9% in that rank) will calculate

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the SR profile against the Most Qualified box, but show a DA Label of Highly Qualified when the board reviews the OER.

Slide 38: Senior Rater Box Check COLs

Lets now review Senior Rater Box Check for COLs

Because the math will change, Senior Raters of Colonels, will have their COL profile re-start on 1 Apr 14 for reports rendered using the 67-10. They will then be given a credit of 5 in “Retain as Colonels” which will allow immediate recognition of top performers.

Unlike the Field Grade report, Raters of Colonels will have 5 lines of narrative to comment on Performance and an additional 5 lines of narrative to comment on Potential.

The names of the box checks in the Senior Rater section have changed to better stratify top performers. There is a “Multi-Star” and “Promote to BG” block. Both are equivalent to the previous “Above Center of Mass.” The Multi-star potential block is limited to not more than 24%. The cumulative percentage of both Multi-star and Promote to BG cannot exceed 49%. (Note. A Senior rater can elect NOT to give any multi-star blocks and issue up to 49% for the Promote to BG block).

There is a 3rd box, “Retain as Colonel” which is equivalent to a Center of Mass.

Slide 39: Profile Credit of 5 for Colonel Report

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Note: This slide shows what the math will look like once the Colonel profile has been reset and given a credit of 5 in the “Retain as Colonel” category

This slide shows what the math will look like once the Colonel profile has been reset and given a credit of 5 in the “Retain as Colonel” category.

The second box shows what the profile will look like after the first 5 reports with credit of 5 factored in. A senior rater can give up to 2 “Multi-star” and 2 “Promote to BG.” The cumulative percentage of both Multi-star and Promote to BG is 40%.

The third box shows what the profile will look like after the first 10 reports with credit of 5 “Retain as Colonel” factored in. Three of the first 10 reports can be given a “Multi-star” and 4 of the first 10 can be “Promote to BG.” The combined total of Multi-star and Promote to BG is 46% which is just below the maximum percentage of 49%.

Slide 40: How to Lock the SR Rater Profile

Note: This slide shows a snapshot of what the “Rater” will see within the new Evaluation Entry System.

This slide shows a snapshot of what the “Rater” will see within the new Evaluation Entry System.

-After entering the Performance block comments, the Rater will select the appropriate overall performance block rating then will have to “lock” that rating.

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-The system has a built in profile calculator which will not let you select an “EXCELS” block if your profile does not support it. If an individual’s profile does not support giving an “EXCELS” box check then the option will be grayed out and not allow you to select it.

-Once the rater “Locks” his/her box check, it cannot be unlocked by the rating official. If there is a need to make a change to the rater box check, the rater must contact HQDA and request an exception to policy.

Slide 41: Senior Rater Profile Calculator

Note: Senior Rater Profile Calculator

This worksheet is designed to assist raters in keeping track of ratings rendered under the Officer Evaluation Entry System using DA Form 67-10. This unofficial worksheet should mirror information found on the profile report.  Raters must maintain a separate worksheet for each rank, for the ranks of WO1, CW2, CW3, CW4, 2LT, 1LT, CPT, MAJ, and LTC. The rater will have one combined profile for each component: Active, USAR, and ARNG. Promotable officers serving in positions authorized at the promotable grade are profiled at the higher grade by entering a rank with (P) in Part Ic on the OER.  This is an unofficial worksheet, which may be modified to meet individual needs. Instructions for columns on the worksheet follow: 1. On the correct rank TAB at bottom of sheet, enter the Ratee’s Name, Type, and Date of Evaluation.  2. Enter a one in the corresponding Box Checks (grey box) column. You see a credit of 3 in Proficient Box to allow Raters some flexibility on issuing EXCELS for initial reports. 

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3. Annotate the box check the Rater made on the OER in the Profile (green box) column by adding a “1” to the respective box and carry the balances down from above. For computing and profiling purposes Proficient, Capable, and Unsatisfactory box checks are totaled, then the number of EXCELS issued is divided by the total number of reports completed to get % EXCELS (must remain under 50%). The total column (in yellow) calculates the total number of Evals completed for that rank. Information should be verified with HRC (by reviewing EES periodically). 4. Enter date due to HRC (forecast 90 days after thru date of evaluation) 5. Enter the actual date completed at HRC (verify in EES). 6. Total EXCELS % calculates number of EXCELS at far right of the sheet (tan), which must maintain less than 50%.  POC: OER Profile Policy questions. Evaluation Systems Office, USA HRC, (502) 613-9019 (DSN: 983), usarmy.knox.hrc.mbx.tagd-eval-policy@mail.mil.

 Slide 42: What’s a Misfire?

NOTE: Ask students if anyone has provided assistance to a senior rater regarding this topic

As discussed on the previous slide, a documented misfire is an OER submitted to HQDA with a DA Form 67-10, Part via MQ box check not supported by the senior rater profile for that grade and labeled by HQDA as center of mass.

Slide 43: Methods for Combating “Pooling”

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NOTE:

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

Slide 44: CHECK ON LEARNING

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Note: Conduct Check on learning with students

What is the maximum percentage a rater can give an “EXCELS” rating to a CGOs? a. 51%  b. 50% c. 49% d. 48%

Rater Profiles will receive a credit of __ in proficient for each rank rated. a. 1 b. 2

c. 3 d. 4

Evaluations are due to HRC NLT ____ days after the THRU date. a. 30 b. 60

c. 90 d. 120

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Slide 45: TLO

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NOTE: Restate Terminal Learning Objective (TLO) requirements.

Appendix A

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Assessment Plan

Your performance in this lesson will be assessed through the following:

Group Participation – (20 percent). See AG Technical Rubric for specific grading criteria. This is a team evaluated item, with half of the grade being the group interaction, and the remaining half based on your group participation.

Peer Evaluation (10 percent). Each student completes this online for their peers (using AG Technical Rubric). International officers submit a hardcopy form. This is an individually evaluated item.

HR Gunnery Table - Evaluations (20 percent). This gunnery table measures the student’s understanding of the Army Evaluation System and their ability to create a Senior Rater profile for their commander. (See AG Technical Rubric).

Instructor Evaluation (50 percent). The instructor evaluation is part of a single document that captures the grades from all other portions in addition to providing instructor scoring and feedback (See AG Technical Rubric). This instructor evaluation is an individually evaluated item.

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Appendix BAdditional Resources for Students

A. Regulations and Forms:

AR 623-3, Evaluation Reporting System, November 2015DA PAM 623-3, Evaluation Reporting System, November 2015FM 1-0, Human Resources Support, April 2014DA Form 67-9, Officer Evaluation ReportDA Form 67-9-1, Officer Evaluation Report Support FormDA Form 67-9-1a, Developmental Support FormDA Form 2166-8, NCO Evaluation ReportDA Form 2166-8-1, NCOER Counseling and Support FormFM 3-0: Appendix A

B. Electronically Provided Materials:

Evaluations Student Handout (located on Blackboard)Evals and MyForms on AKOEvaluation Information and OER Senior Rater TechniquesIWRS - OER/NCOERHow to use SR Profile NCO-ER System InformationAppeals and Corrections

B-1