Addendums / Commander's Inquiry / Derogatory Information
Rating Officials / Eligibility
Dive into the Evaluation Reporting System's primary function and more insights about the military's personnel management decisions.
Q1-1. What is the primary function of the evaluation reporting system?
A1-1. The primary function of the evaluation reporting system is to provide key information to HQDA for use in making critical personnel management decisions (i.e., promotions / key assignments).
Q1-2. When was the new NCOER made available?
A1-2. The new NCOER was implemented on 1 January 2016.
Q1-3. What was the reason for the delay?
A1-3. During a review of the new NCOER, the Sergeant Major of the Army and his Senior Enlisted Council expressed concerns about the effects of the 49% "MOST QUALIFIED" control box assessment on future NCO promotion rates. In order to identify the absolute best talent within the NCO Corps, the SMA and his Senior Enlisted Council recommended to the CSA and SECARMY and they approved a senior rater profile limited to 24%.
This change postponed implementation (1 January 2016) to allow HRC to revise IT systems, publications, forms, and Army-wide training materials.
Q1-4. What forms comprise the DA Form 2166-9 Series?
A1-4. The DA Form 2166-9 Series is comprised of the following forms:
DA Form 2166-9-1A (Support Form)
DA Form 2166-9-1 (Direct-level)
DA Form 2166-9-2 (Organizational-level)
DA Form 2166-9-3 (Strategic-level)
Q1-5. What format must enclosures to the DA Form 2166-9 Series be in?
A1-5. Enclosures must be in .pdf, .jpg, or .tiff format.
Q1-6. Will units still be able to mail hard copies to HRC for processing?
A1-6. In special circumstances, yes. Examples are foreign rating officials, ink signatures, etc. Hard copy evaluations including DA Form 1059s can be mailed to the HRC mailing address:
U.S. Army Human Resources Command Attn: AHRC-PDV-ER (for Hard Copy Evals) 1600 Spearhead Division Avenue, Dept #470 Fort Knox, KY 40122-5407
Note: HRC will return/reject reports with errors. For hard copy reports, HRC calculates the senior rater profile upon receipt. If an online evaluation (inside EES) profile is dependent on a hard copy profile indication, do not submit until the hard copy is accepted and examined. If not, the EES report will automatically misfire if submitted.
Q1-7. What form is used to assess SSG-1SG/MSG?
A1-7. DA Form 2166-9-2 (Organizational-level).
Q1-8. Where are ARNG NCOERs on the DA Form 2166-8 going to be processed after 1 January 2016?
A1-8. The State EPM.
Q1-9. Is there currently a plan/procedure in place for NG units to know when evaluations have been approved and uploaded to iPERMS? Or will this be a unit SOP?
A1-9. All reports processed in the Evaluation Entry System (EES) will be tracked in the Evaluation Reporting System (ERS). Users may go to ERS to track the status of submitted reports.
Q1-10. For the ARNG, from where are we going to get the last NCOER thru dates to process their NCOERs?
Q1-11. Will I still be competitive if I receive a "HIGHLY QUALIFIED" NCOER?
A1-11. Yes. Because the "HIGHLY QUALIFIED" box will be the norm, NCOs will remain competitive for promotion with "HIGHLY QUALIFIED" NCOERs given they complete their required professional military education.
Q1-12. Other than a "Complete the Record" evaluation, is there any other way to identify an evaluation to be processed for promotion boards?
A1-12. All personnel eligible for promotion are coded in the Single Evaluation Processing System (SEPS) with a Board Identification Code used for their specific promotion board. The Board ID Code is associated with the SSNs of the promotion-eligible personnel. This ensures that any evaluation (i.e. Complete the Record, Annual, Change of Rater, etc.) submitted for processing is identified and has priority (front-loaded) at HRC. Personnel are generally coded up after the release of the MILPER Message for their designated promotion board. This process applies for selection boards as well (i.e. OSB, SSC, CSL, etc.).
Q1-13. What happens to an evaluation at HRC when there is a disconnect between the rater and senior rater? For example, rater selects "FAR EXCEEDED STANDARD" and senior rater chooses "QUALIFIED."
A1-13. The new NCOER is designed to eliminate inconsistent ratings between raters and senior raters. This is why the rater will only assess performance and the senior rater will only assess potential.
Q1-14. Will there be a list released of most frequent errors?
A1-14. Yes. HRC will provide the most common NCOER Returned Trends just as they did with the OER. Back to Top
2. ADDENDUMS / COMMANDER'S INQUIRY / DEROGATORY INFORMATION
Q2-1. Can a rating official submit an addendum for an NCOER while the evaluation is being processed at HQDA?
A2-1. No. An addendum may be submitted for an NCOER previously processed that has posted to the rated NCO’s AMHRR.
Q2-2. Is there a time limitation on when an addendum can be submitted? (i.e., can it be submitted two years after an NCOER is processed?)
A2-2. There is no time limitation for the submission of an addendum.
Q2-3. What is the NLT date a commander’s or commandant’s inquiry can be requested once signed by the rated NCO?
A2-3. A request for a commander’s or commandant’s inquiry will occur no later than 60 days after the signature date of the rated NCO (or senior rater if the rated NCO’s signature is omitted).
Q2-4. When does the commander’s inquiry have to be completed? Does the investigation have to be completed/substantiated within the rating period?
A2-4. The results of the inquiry will be forwarded to HQDA not later than 120 days after the signature date of the senior rater (OER and NCOER) or authenticating official (AER-S). The commander’s inquiry does not have to be completed during the rating period. Requests for inquiry will occur no later than 60 days after the signature date of the rated Soldier (or Senior Rater, if the rated Soldier’s signature is omitted)
Q2-5. If an investigation was completed two years after the evaluation was processed at HRC, is there a time frame when derogatory information can be submitted?
A2-5. No. There is no timeline to submit an addendum. If all original members of the rating chain, for that specific NCOER, are not available, the current rater, senior rater, or someone outside the rating chain can direct a relief based on that proven derogatory information.
Q2-6. What happens if the derogatory information happens during or after the rating period and the report has been submitted?
A2-6. If the event took place during the rating period and the evaluation has not been posted on the rated NCO’s record, then that evaluation can be returned and information can be added, but if it is after that rating period, it can be included on the next evaluation.
Q2-7. If new derogatory SHARP information is found on a rated NCO, does an addendum have to be submitted or is it still optional?
A2-7. Raters must annotate any substantiated SHARP findings in an evaluation or submit an addendum if the evaluation would have resulted in a lower rating. AR 600-20 holds leaders accountable for ensuring this happens. The rating officials may also direct a Relief for Cause based on the findings from the previous rating period. Back to Top
Q3-1. If the senior rater does not counsel the rated Soldier but then selects the Soldier as "NOT QUALIFIED," can the rated Soldier submit an appeal?
A3-1. The absence of counseling will not be used as the sole basis for an appeal. However, the lack of counseling may be used to help support other claims made in an appeal.
Q3-2. Currently, it is semi-annual for rater counseling of M-Day Soldiers. Will this convert to initial and quarterly as well?
A3-2. The current and draft policy states the following for M-Day Soldiers – "Rating officials give timely counseling to subordinates on professionalism and job performance and encourage self-improvement, when needed."
Q3-3. What are the counseling requirements (timeline) for the rater and senior rater of USAR TPU, DIMA, and drilling IRR Soldiers? The requirements are different because those Soldiers only meet periodically.
A3-3. For TPU, DIMA, and drilling IRR Soldiers the initial counseling session will be conducted at the first available drill (within 30 days whenever possible). Follow-up counseling for IRR Soldiers will be conducted when performing an active duty tour for more than 180 days or when attached for IDT for more than 180 days.
Q3-4. If the rater doesn't conduct counseling sessions, will the system allow rating officials to continue without entering dates in EES? Can a box be put in the system for the senior rater to select if there were no counseling sessions conducted and will it generate the statement automatically?
A3-4. EES will allow rating officials to complete an evaluation without the counseling dates. We can look into possibly adding that feature to generate a statement. In the meantime, when counseling dates are omitted, the Senior Rater will enter a statement in Part V, block b explaining why counseling was not conducted.
Q3-5. Is it mandatory for senior raters to counsel?
A3-5. Senior raters should counsel the rated NCO initially (within 30 days) and at the midpoint of the rating period. Back to Top
Q4-1. If you are a delegate, can you see the evaluations under "Recent Evaluation Activity" (EES homepage)?
A4-1. Yes. You can see the last 10 evaluations in which you were given access by the rating official (i.e. initiator, delegate, rater, senior rater, etc.) You can select the "View All" hyperlink to view all evaluations that you have access to on the Active Evaluations page.
Q4-2. Can all 10 delegates edit and submit evaluations?
A4-2. If permissions are granted to each one, then yes. However, only two can be administrators who add/delete delegates on the rater/senior rater’s behalf, as well as view the rating official’s profile.
Q4-3. Why would a rater or senior rater want or need 10 delegates?
A4-3. There are many factors to include but not limited to – the size of the organization, the number of personnel the rating official is responsible for rating, PCS or Change of Duty for the rating official. When a rating official moves to a new duty station with pending evaluations, he/she must keep the delegates of his/her losing unit until the pending evaluations are processed. In addition, he/she may appoint new delegates at their new duty assignment as well.
Q4-4. How can S1s view evaluations if they are not appointed as delegates?
A4-4. Your unit S1/ADMIN Personnel can create your shells without being appointed as delegates- all they need to do is create the shells with the appropriate rating chain information – they will be able to "see" the forms all the way through the process if they do.
Q4-5. The rater’s rater and senior rater can view the rater’s tendency report in EES. Can the delegates of the rater and senior rater view the rater’s tendency?
A4-5. Yes. The rater’s rater and senior rater can view the rater’s tendency report through the support form in EES. The rating officials’ delegates may see the rater tendency report and senior rater profile in EES, if granted the permissions. The rater tendency label is separate and is for that specific rated NCO’s evaluation. The rater tendency label will be placed on the evaluation once processed at HQDA. The label will be visible to the rated NCO and HQDA Selection Boards once the report has been placed in the rated NCO’s AMHRR.
Q4-6. Are the delegates going to be able to view the rater tendency and senior rater profiles?
A4-6. Yes. As with the OER, rating officials must determine who they want to give this access to in EES. Back to Top
Q5-1. If the rated NCO’s or rating official’s DOD ID Number is not available, can the SSN be used?
Q5-2. How will the DOD ID Number tie into iPERMS because it (iPERMS) is currently set up by SSN?
A5-2. The DOD ID Number is linked to the SSN of the Soldier. Even though the DOD ID Number is displayed, the SSN will always remain in the "background" (within the system).
Q5-3. What if the rater or senior rater does not have a DOD ID Number or SSN, what happens? (i.e., Australian officers, etc.)
A5-3. A request is submitted to HRC for issue of an International Officer Rater Identification Number, which is used for Army evaluation reports. An alphanumeric identification will be assigned for the officer to use on the .pdf-fillable form. Back to Top
6. EES FUNCTIONALITY
Q6-1. What is EES and what will it do?
A6-1. EES is short for Evaluation Entry System. EES is a web-based tool used to complete and submit evaluations to HRC. EES consolidates APD FORMS lookup, Doctrine references, AKO MyForms submission, the form wizard, IWRS, profile calculators, etc. The benefits of EES include: an enhanced wizard to guide the rating chain and Human Resource professionals in preparing an evaluation, a multi-pane dashboard allows users to view data input and form simultaneously, a built-in tool to view and manage rater and senior rater profiles, provides quick reference to AR 623-3 and DA PAM 623-3, eliminates accessing multiple systems, and consolidates evaluation tools into one system.
Q6-2. There is news that Internet Explorer is going away. Will this system work with the new Windows internet (project Spartan), Google Chrome, and Fire Fox? How will spell check work with Google Chrome and Fire Fox?
A6-2. We are currently testing EES in Internet Explorer only. However, many users are using Google Chrome or Fire Fox to login and do their OERs. The developers will explore how the system works with project Spartan.
Q6-3. Will EES still track the status of the evaluation once it is initiated?
A6-3. Yes. The rating chain and the designated trusted agents (delegates) will be able to see where the report is located. The status for each evaluation is located when the "continue/view active evaluations" button is pressed. If the form is initiated by a third party like the S1 or G1 section, they can see the status as well. Their role is "INITIATOR."
Q6-4. When will the Evaluation Entry System (EES) time you out?
A6-4. EES will time out after 10 minutes of inactivity. Users will receive a 2-minute warning near the end of the 10 minutes before the system times-out.
Q6-5. Is there a spell check within EES? If not, will one be created?
A6-5. Spell check is part of the browser, not the system. When the Army moves to a higher browser version, it will be included.
Q6-6. How is the rater tendency label and senior rater profile label applied to the NCOER if the evaluation is hand-signed and mailed in?
A6-6. Hard copy evaluations are scanned into the Evaluation Entry System (EES) via KOFAX. KOFAX is a software application that automates the hard copy and enters the data from the hard copy evaluation into the Single Evaluation Processing System (SEPS). The hand-signatures from the hard copy evaluation will be affixed to an electronic version of the evaluation, in EES, in .pdf format. Once the evaluation is processed by HQDA, the labels are electronically applied.
Note: SEPS is the system that HRC uses to process evaluations, not EES.
Q6-7. Do counseling dates transfer from the Evaluation Support Form?
A6-7. Yes. The data in Parts I, II, and III will transfer to the appropriate grade plate form.
Q6-8. Will the system pull/auto-populate the rater and senior rater data?
A6-8. If the evaluation is generated from the support form, all rating official data will transfer.
Q6-9. Is there a capability within EES to check the status of the evaluation?
A6-9. On the landing page in EES, select the Continue/View Active NCOERs radio button, the hyper link will go to a page which will display the list of recently processed and pending evaluations (active evaluations). The status of the evaluation will be displayed.
Q6-10. Is the date the report is submitted in EES the same date of receipt to HRC?
A6-10. The date a report is "received" by HQDA is the date of receipt. Generally, the date received is the same date and time the report was submitted, granted there are no glitches which hold up the report.
Q6-11. When the enlisted advisor puts in comments on an evaluation in EES, does it send an email to the rater/senior rater?
A6-11. No. The comments box will be visible the next time that report is reviewed by the rating officials or delegates. The only email notification that is generated by EES is the email notification to the rating chain and rated Soldier when an evaluation is returned for correction.
Q6-12. Can raters and senior raters send messages back to the senior rater’s enlisted advisor through EES?
Q6-13. Is the PCS evaluation going to be an option again? The old NCOER did not allow it. It was called a Change of Rater.
A6-13. Not at this time.
Q6-14. Is the calendar in EES set to account for leap years?
A6-14. Yes. The system will account for leap years.
Q6-15. When will EES stop auto-populating AKO email addresses?
A6-15. EES began pulling email addresses from DMDC on 29 NOV 2017.
Q6-16. Currently sister services are unable to access EES without AKO access. Will this be resolved in January 2016? What about when AKO email goes away?
A6-16. Rating officials of sister services no longer require an Army sponsor. Because authentication is now done thru DMDC, all they need is a valid CAC.
Q6-17. Can EES be updated to show a preview of the entire NCOER?
A6-17. A preview of the entire NCOER can be found on the signature page or via the Print Draft button on each wizard page.
Q6-18. Will the system allow text to be copied and pasted from a word document?
A6-18. Yes. The user will need to ensure no text was truncated due to limited space.
Q6-19. Currently with OERs, the system will change the order of the text or change the spelling of words. Is this being fixed for the New NCOER?
A6-19. This happens mostly when you copy and paste from a word document. We have added code to allow copy and paste from Microsoft Products but it may not eliminate all instances of random characters. Suggest you copy from a word document into a notepad and copy and paste from the notepad in pure text format into the EES form.
Q6-20. Will ERS pull information by parent UIC or individual UIC only?
A6-20. ERS will pull data based on the UIC entered on the evaluation report. Back to Top
7. EVALUATION CONTENT
Q7-1. How many successive and broadening assignments must the senior rater provide?
A7-1. The senior rater must provide 2 Successive assignments and 1 Broadening assignment.
Q7-2. Which Army attribute discusses the adherence to Army Values?
Q7-3. "Performs above the required Army standards and organizational goals of leader competencies and attributes" describes which rater overall performance assessment?
A7-3. "EXCEEDED STANDARD."
Q7-4. "Demonstrates strong potential for promotion with peers" describes which senior rater overall potential assessment?
A7-4. "HIGHLY QUALIFIED."
Q7-5. What are the four performance measure box checks for rater overall performance?
A7-5. "FAR EXCEEDED STANDARD" / "EXCEEDED STANDARD" – identifies the upper third of NCOs for each rank with further stratification of the upper third by use of the "FAR EXCEEDED STANDARD" box check; "MET STANDARD" – identifies NCOs who successfully achieved and maintained required Army and organizational standards; "DID NOT MEET STANDARD" – identifies NCOs who did not meet required Army and organizational standards.
Q7-6. What are the four potential box checks for senior rater overall potential?
A7-6. "MOST QUALIFIED" – identifies NCOs with strong potential for promotion in the secondary zone; ahead of peers. "HIGHLY QUALIFIED" – identifies NCOs with strong potential for promotion with peers. "QUALIFIED" – identifies NCOs who demonstrate potential to be successful at the next level; promote if able. "NOT QUALIFIED" – identifies NCOs who do not demonstrate potential for promotion; recommend separation.
Q7-7. How is the board going to know that the nonrated code "Z" means nonrated time due to the elimination of one of the rating officials? Is a comment made on the evaluation, if so, who makes comment?
A7-7. The members of the promotion board will not know the circumstances behind the "Z" code. Also, a comment cannot be made on the evaluation; however, the rated NCO can write a letter to the President of the Board explaining the nonrated time. See reference below.
AR 623-3, para 3-20d – No remarks about nonrated periods of time, or performance or incidents that occurred before or after the rating period, will be made on an evaluation report except—
(1) "Relief for Cause" evaluation reports based on information pertaining to a previous reporting period.
For example, a rating official may relieve a Soldier found to be involved in some illegal activity during a previous reporting period. Reference to the prior rating period may be warranted to explain the reasons for relief (see paras 3–54 and 3–55).
(2) When the most recent APFT performance or profile data occurred prior to the beginning date of the report, but within 12 months of the "THRU" date. This exception allows the rated Soldier to comply with APFT and body composition standards (see DA Pam 623–3).
(3) When a Soldier assigned to a WTU is assigned under a valid rating chain and receives an evaluation report with a nonrated code "G" (see para 3–34).
Q7-8. If a Soldier is assigned to one unit but attached to another, which UIC do you use?
A7-8. The UIC of the rating chain (attached unit) should be used. The DA Pamphlet instructions will state "Enter the Rated NCO’s unit identification code (UIC). Note: This code can be automatically populated by using the Wizard application within the electronic form within the Evaluation Entry System portal, if unknown. If it is incorrect, it can be manually corrected."
Q7-9. If a senior rater uses prohibited narrative comments that include those that mention the box check (i.e. "MOST QUALIFIED," "If my profile allowed, I would rate this NCO higher"), will HRC return the evaluation (to include evaluations for a promotion board) for correction?
A7-9. Yes. The evaluation will be returned for correction. In the event that the report is for a promotion board, and the SR does not make the necessary corrections in a timely manner, the prohibited comments will be blacked out and replaced with the statement "HQDA Corrected copy, prohibited comments used" and the report will be processed as such.
Q7-10. Will the senior rater be notified by HRC if prohibited narrative comments that mention the box check are greyed out?
A7-10. No. The senior rater will not be notified. If an evaluation is in "returned" status for a long time and the senior rater does not take action, HRC will remove the prohibited content. HRC will add "HQDA Corrected Copy" to the senior rater’s remarks and process the evaluation to the rated NCO’s AMHRR.
Q7-11. Once the rater selects the lock box, can the rater go back and unlock it to change the box check if the evaluation has not been submitted to HRC?
A7-11. Yes. The rater may unlock the rating provided the evaluation has not been submitted to HQDA.
Q7-12. If an officer is the rater or senior rater, will they use their AOC or their branch?
A7-12. For officer rating officials, enter the two-character basic branch abbreviation.
Q7-13. Which block check will trigger a QMP review?
A7-13. If a Soldier receives a "NOT QUALIFIED" assessment, then he/she may be subject to a QMP review.
Q7-14. Does "NOT QUALIFIED" have anything to do with not being MOS-qualified (MOS-Q)?
A7-14. No. If you render a "NOT QUALIFIED" on a Soldier who is not MOS-Q, it may hinder the Soldier’s career.
Q7-15. Will the NCOER be returned if the senior rater doesn’t provide 2 successive and 1 broadening assignment?
A7-15. Yes. The senior rater will identify two successive duty assignments and one broadening assignment for which the rated NCO is best suited, focusing 3 to 5 years out. An exception to this rule exists for NCOERs on which the rater indicates "DID NOT MEET STANDARD" either by box check or content within the Rater’s Overall Performance section and the senior rater indicates a rating of "NOT QUALIFIED." On these NCOERs only, no successive duty and broadening assignment are required (DA Pam 623–3).
Q7-16. If they haven’t met standard, are they still required to put bullet comments?
A7-16. Yes. At least one bullet will be entered for each attribute and competency.
Q7-17. Are you only allowed to use two-line text for each bullet?
A7-17. Raters can render either one- or two-line bullets for each attribute and competency. (Note: Only applies to the Direct- and Organizational-level reports. Strategic-level reports are written in narrative format.)
Q7-18. If a SGT report lists "Did Not Meet Standard" for one area - does that make the report "referred" or necessitate a below center of mass block check?
A7-18. The "referred" evaluation report provision does not apply to NCOERs nor does the below center mass block check.
Q7-19. Slides says "what you don't say is as damaging as what you do say" - what are the items that MUST be included in remarks...given that statement, the field needs to be provided a solid list of items that MUST be included such as promotion potential, schools, leadership, future positions, enumeration/ranking.
A7-19. "What you don't say is as damaging as what you do say" refers to the ability of rating officials to accurately and concisely render an assessment capturing major contributions during the rated period with narratives/bullets that complement the box checks. To ensure the rated NCO receives an accurate and fair assessment, the rater’s comments will focus on specific, quantifiable performance. The comments should clearly explain what the rated NCO did and how well he/she performed. Being concise and to the point is preferred and assists selection boards in quickly identifying a rated NCO’s key achievements and accomplishments.
Q7-20. If a rating official is serving as both, rater and senior rater, which blocks on the DA Form 2166-9 series are required to be completed?
A7-20. In cases when the rating official is serving as both, rater and senior rater, in accordance with AR 623-3, he or she will complete the following:
DA Form 2166-9-1: Part IV, blocks a through c; Part IV, block i.
DA Form 2166-9-2: Part IV, blocks a through c; Part IV, block j.
DA Form 2166-9-3: Part IV, blocks a through c; Part IV, block f.
Note: In Part IV, block i, j, or f respectively, comments will be used to cite the authority for the rating official to act as both rater and senior rater. Example of appropriate comments for Part IV, block i include "o serving as rater and senior rater in accordance with AR 623–3, paragraphs 2–19" (or para 2–20 as applicable) or "o serving as rater and senior rater in accordance with the CG, HRC exception to policy" when applicable.) The rater may add additional comments addressing the performance of the rated NCO within Part IV, blocks d through h (Direct- and Organizational-level) and Part IV, block d (Strategic-level), as these sections are optional for completion when serving as both, rater and senior rater. Promotion potential comments will be entered in Part V, block b. The senior rater will sign the DA Form 2166-9 series in both the rater's and senior rater's signature blocks.
Q7-21. If a "Relief for Cause" evaluation report is directed, what comments are mandatory on the DA Form 2166-9 series?
A7-21. The rating official directing the relief will clearly explain the reason for the relief. When the rater directs the relief, this information will be entered in the following location:
DA Form 2166–9–1: Part IV, block I
DA Form 2166–9–2: Part IV, block j
DA Form 2166–9–3: Part IV, block f
When the relieving official is the senior rater, the senior rater will clearly explain the reason for the relief in Part V, block b.
When 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 (not to exceed one page) to the NCOER (see AR 623–3 for a sample memorandum of "Relief for Cause" directed by a non-rating official).
Regardless of who directs the relief, the rater will enter the comment, "The rated NCO has been notified of the reason for the relief." Back to Top
Q8-1. With a senior rater profile limited to 24%, when will a senior rater be able to render a second "MOST QUALIFIED" selection if they already utilized their "Silver bullet?" A third "MOST QUALIFIED?" A fourth "MOST QUALIFIED?"
A8-1. Because the senior rater profile is limited to 24%, a senior rater can render a "MOST QUALIFIED" assessment for a particular grade (E-6 through E-9) as follows:
Any one of the first four reports
The second "MOST QUALIFIED" assessment no earlier than the ninth report (2 / 9 = 22.2%)
The third "MOST QUALIFIED" assessment no earlier than the thirteenth report (3 / 13 = 23.1%)
The fourth "MOST QUALIFIED" assessment no earlier than the seventeenth report (4 / 17 = 23.5%)
Q8-2. Does the senior rater profile have to be 23.999% and less or will 24.999% be allowed?
A8-2. The senior rater profile cannot be greater than 24%, so 24.001% would exceed the profile limitation and result in a misfire.
Q8-3. In regard to the "Silver bullet" exception, does that still apply with the new senior rater profile limited to 24%?
A8-3. Yes. A senior rater will still be able to render a "MOST QUALIFIED" selection for any one of the first four reports rendered for a particular grade (E-6 through E-9). In the event a senior rater does not render a "MOST QUALIFIED" selection for any of the first four reports, then the "Silver bullet" exception would not be needed for the fifth report or later.
Q8-4. Will the rater tendency and/or senior rater profile follow the rating official when he/she leaves the service and becomes a DOD employee as well?
A8-4. Yes. The rating official’s profile is linked to the individual’s SSN or DOD ID Number and will follow him/her throughout their career no matter the component, even if there's a break in service, or if the rating official becomes a DA Civilian and meets the minimum grade requirement to be a senior rater.
Q8-5. What is pooling?
A8-5. Pooling, or elevating the rating chain beyond the senior rater’s ability to have adequate knowledge of each Soldier’s performance and potential, in order to provide an elevated assessment protection for a specific group, runs counter to the intent of the Evaluation Reporting System (ERS). Rating schemes based on pooling erode Soldiers’ confidence in the fairness of the ERS and in their leaders. Senior raters must evaluate and identify their best Soldiers based on performance and potential, regardless of the particular position they occupy.
Q8-6. With the senior rater profile limited to 24%, won’t this encourage pooling to ensure the best talent is identified?
A8-6. Both, the Chief of Staff of the Army and Sergeant Major of the Army, are adamant that leaders at every level establish and approve rating chains in accordance with AR 623-3. By doing so, commanders and key leaders ensure a fair and equitable system across the Army. Pooling is in violation of AR 623-3 and it erodes Soldiers’ confidence in the system and in their leaders. Not only can it affect good order and discipline within the unit, there is the potential for increased inspector general (IG) complaints and/or legal inquiries which may affect mission readiness.
Q8-7. If a SSG(P) was serving in an authorized SFC position, which rank would a rendered NCOER count towards when calculating the senior rater’s profile?
Q8-8. What is the highest percentage a senior rater can maintain for "MOST QUALIFIED" ratings per grade?
Q8-9. What is the difference between the "MOST QUALIFIED" and "HIGHLY QUALIFIED" box checks?
A8-9. The "MOST QUALIFIED" box check is limited to 24%.
Q8-10. What is an immature profile and a small population?
A8-10. An immature profile is when the senior rater has rendered five (5) or less reports for a particular grade. A small population is when the senior rater’s population is three (3) or less for a particular grade.
Q8-11. If you don’t have a large population, can you say in the write up that you don’t have the profile to give the Soldier a "MOST QUALIFIED" box check?
A8-11. No. The report will be returned and/or amended if it contains prohibited comments.
Q8-12. Can a senior rater be switched due to a small population? For example, if a senior rater has a small population (one Soldier), can that rated NCO be rated by another senior rater who has more than three Soldiers?
A8-12. No. The rater will be the immediate supervisor of the rated NCO and the senior rater will be the immediate supervisor of the rater. Changing the rated NCO’s designated senior rater (per regulatory guidelines) to another senior rater with a larger population would be considered "pooling," which is prohibited. Elevating the rating chain beyond the senior rater's ability to have adequate knowledge of each Soldier’s performance and potential, in order to provide an elevated assessment protection for a specific group, runs counter to the intent of the evaluation reporting system and erodes Soldiers’ confidence in its leaders.
Q8-13. Describe the senior rater misfire?
A8-13. A documented misfire occurs when the senior rater selects "MOST QUALIFIED" but the senior rater profile exceeds 24%.
Q8-14. What are the senior rater profile labeling rules?
A8-14. Rule #1: If the senior rater checks the "HIGHLY QUALIFIED," "QUALIFIED," or "NOT QUALIFIED" box, then the report is always labeled as indicated on the form.
Rule #2: If the senior rater checks the "MOST QUALIFIED" box and the senior rater’s use of "MOST QUALIFIED" is equal to or less than 24%, then the report is labeled "MOST QUALIFIED."
Rule #3: "MISFIRE" – If the senior rater completes a .pdf-fillable NCOER and checks the "MOST QUALIFIED" box and the senior rater profile is greater than 24%, then the report is automatically downgraded and labeled "HIGHLY QUALIFIED" and the senior rater is charged with a "MOST QUALIFIED."
Q8-15. Senior rater submitted three evaluations ahead of the "MOST QUALIFIED" (to cover Rule #3), but the "MOST QUALIFIED" evaluation is going before a promotion board. How is this going to affect the senior rater profile if evaluations going before the board are priority?
A8-15. There is no negative effect to the senior rater’s profile since the profile calculation takes place the moment the senior rater submits the completed evaluation to HQDA. Evaluation sequence is based on the (digital date stamp) at the time of submission regardless of type or purpose of the evaluation.
Q8-16. When does the senior rater profile update in order to get the profile warning in EES? Is it when the rated NCO or senior rater signs the evaluation or when the evaluation is submitted to HQDA?
A8-16. The senior rater profile is calculated and updated at the time evaluations are "received" by HRC. The senior rater will get the profile warning in EES if the attempted box check would result in a misfire (senior rater profile exceeds 24%) when the profile is recalculated on submission of the report.
Q8-17. Is there still availability for profile managers to send a by-name reconciliation report to HRC to ensure the numbers on the senior rater profile match the evaluations they are tracking have been submitted?
A8-17. HRC will send the senior rater a copy of their profile upon written (email) request from the senior rater.
Q8-18. If the senior rater’s rater is a DA CIV and is not managing profile correctly (several misfires), will a HQDA memo be generated for them as well for "failure to manage profile" and if so, where will it be sent?
A8-18. When a senior rater fails to manage their profile properly, a notification letter indicating noncompliance may be submitted to the senior rater’s chain of command. This occurs regardless of status or organization.
Q8-19. What section of iPERMS will the misfire memo be filed in and will it be viewable to HR managers?
A8-19. Disciplinary memos are sent to that senior rater’s chain of command for documented misfires. Disciplinary memos for misfires are not filed in iPERMS; however, timeliness reports are filed in the performance section of the senior rater’s AMHRR.
Q8-20. How many misfires can occur before a memo is placed in the senior rater’s AMHRR?
A8-20. Disciplinary memos for misfires are not filed in AMHRR; however, timeliness reports are filed in the performance section of the senior rater’s AMHRR. Disciplinary memos are sent to that senior rater’s chain of command for documented misfires.
Q8-21. Can the senior rater profile report be updated to track the number of misfires?
A8-21. The complete senior rater profile (DASH 2), which can be found on ERS, will contain the documented misfires.
Q8-22. How many misfires can be received before the disciplinary memo is sent to the chain of command?
A8-22. One. If it’s due to the fault of the rating official and not the system.
Q8-23. For military technicians with dual status, are their profiles combined?
A8-23. Yes. All personnel, regardless of status or component, will maintain a profile for each grade they render reports for.
Q8-24. How long does the profile exist?
A8-24. The profile is maintained indefinitely.
Q8-25. If an evaluation is mailed to HRC and downgraded, is that based on date received?
A8-25. It is based on the rating official's profile at the time the mailed-in evaluation is received at HRC. Back to Top
9. RATER TENDENCY
Q9-1. What is the rater tendency report?
A9-1. The rater tendency report tracks the rater’s rating history for each rank the rater assesses (SSG through CSM/SGM). Note: The rater tendency label is specific to the grade of the rated NCO and the NCOER being rendered.
Q9-2. The rater tendency applies to which component and grade plate NCOERs?
Q9-3. Is the rater tendency constrained?
A9-3. No. The rater tendency is unconstrained (i.e., no limitation).
Q9-4. How/where exactly does a rater or senior rater go to see one of their subordinate rater's rater tendency in EES? (e.g., A company commander wants to see the rater tendency of his platoon leaders to use in counseling.)
A9-4. The rater’s tendency will be available for the rating officials in EES through the support form.
Q9-5. Is the rater tendency report already templated to show the grades of NCOs, or will a grade only show up in the report once you have rendered a report for that grade?
A9-5. Grades will only show once a rating official has rendered a report for that grade.
Q9-6. Does the rater tendency label get placed on the report at HRC, and who can view it?
A9-6. Yes. The rater tendency label is placed on the completed evaluation at HRC. The rated NCO can see it once the report has posted into iPERMS, and their rating officials can view this tendency label in EES. It will also be viewable to DA Centralized Selection Boards.
Q9-7. Will there be an example of what a good rater tendency should look like?
A9-7. As of right now, the rater tendency is unconstrained. Based on Army guidance to identify the best talent and the performance measures descriptions, the rater is responsible for managing a credible rater tendency that reflects honest and accurate assessments of those they rate.
Q9-8. If we are trying to eliminate inflation, why are we not making the rater tendency constrained when they are assessing performance?
A9-8. The Army promotes on potential. In the future, Army leadership may elect to implement a rater profile similar to the one incorporated for the OER in April 2014.
Q9-9. When does the rater tendency get locked in?
A9-9. Once the rater signs the report, the rater tendency is locked in.
Q9-10. If the rater tendency label is unconstrained and there is no mechanism in place to enforce dispersion of ratings, how will this possibly yield effective rater tendency? Is there a specific effect that will result from a rater having a tendency to rate all personnel high? If so what exactly is it?
A9-10. The rater tendency emphasizes the rater’s role and responsibility to provide credible information (i.e., honest and accurate assessments) to HQDA. The rater tendency report will be authorized for placement (first page summary) in the rater’s Army Military Human Resource Record (AMHRR) and may be updated annually or as necessary. There is a feature within the Evaluation Entry System (EES) which allows the rater’s rater and senior rater to view the rater’s rater tendency report. This will allow the rater’s rating chain to provide oversight and guidance to ensure the rater is managing his/her rater tendency in accordance with Army guidance.
Q9-11. Can the senior rater see the rater’s tendency as they provide their senior rater input? If not, how are they expected to mentor raters on their rater tendency responsibilities?
A9-11. There is a feature within the Evaluation Entry System (EES) which allows the rater’s rater and senior rater to view the rater’s rater tendency report. This will allow the rater’s rating chain to provide oversight and guidance to ensure the rater is managing his/her rater tendency in accordance with Army guidance. Back to Top
10. RATING OFFICIALS / ELIGIBILITY
Q10-1. What is the primary role of a rater?
A10-1. The rater’s role is to assess the rated NCO’s day-to-day performance and conduct counseling.
Q10-2. What is the primary role of a senior rater?
A10-2. The senior rater’s role is to assess the rated NCO’s potential and provide guidance and mentorship.
Q10-3. What is the primary role of a supplementary reviewer?
A10-3. The supplementary reviewer’s role is to monitor evaluation practices and provide assistance and advice needed to rating officials (as required) on matters pertaining to Army evaluations. The supplementary reviewer will be identified on the published rating scheme at the beginning of the evaluation period by the commander establishing the rating chain.
Q10-4. Who establishes and approves rating chains?
A10-4. The commanders, commandants, and organization leaders will establish rating chains and publish rating schemes within their units or organizations in accordance with locally-developed procedures and regulations. Rating schemes for two-star level commands (or equivalent organizations) and below will be approved by the next higher commander, commandant, or organizational leader.
Q10-5. Are raters allowed to assess performance and potential?
A10-5. No. Raters may assess performance only.
Q10-6. What is the minimum calendar day requirement for senior raters of USAR TPU, DIMA, and drilling IRR Soldiers and ARNG Soldiers?
A10-6. 90 days.
Q10-7. What are the rater and senior rater requirements for personnel serving on an ADOS / COADOS tour?
A10-7. AR 623-3, para 3-39d (current regulation and 3-39c new regulation) – "During periods of mobilization (for example, mobilized, temporary change of station (TCS), active duty for operational support-Reserve Component (ADOS–RC), ADOS, or contingency operations-active duty for operational support (CO–ADOS)) USAR and ARNG Soldiers will follow Regular Army rules for evaluation reports. When an entire unit is mobilized, and rating officials remain intact, an evaluation report is not required at the time of mobilization, unless otherwise required under this chapter (for example, "Change of Rater" or "Change of Duty"). Individual Soldiers who are mobilized will receive an evaluation report (for example, "Annual," "Change of Rater," or "Change of Duty") in accordance with the provisions of this chapter if minimum rater qualifications are met. See appendixes G and H for USAR and ARNG specific evaluation reporting requirements." This information is in the current and draft regulation.
Q10-8. Can a British captain serve as a rater for NCOs of all ranks?
A10-8. Yes. Service members of allied armed forces may serve as raters for all NCOs. They may not serve as senior raters.
Q10-9. Can a senior rater’s rater serve as both rater and senior rater for an NCO, if both rating officials (rater and senior rater) get relieved?
A10-9. Yes. On a case-by-case basis and as an exception to policy, HQDA can approve the senior rater’s rater to serve as both rater and senior rater on the rated NCO’s NCOER. In order for this individual to evaluate the rated NCO as the senior rater, he or she must be a member of the U.S. Armed Forces or employee of DOD, be of the appropriate rank or grade to senior rate, and have adequate knowledge of the rated NCO’s performance and potential to qualify them to render an evaluation in place of the removed senior rater. Minimum senior rater time qualifications for this individual are not required.
Q10-10. Can a general officer rate and senior rate an NCO?
A10-10. On NCOERs, a rater may act as both the rater and senior rater when the rater is a general officer or a civilian employee with SES rank and precedence. A promotable COL working in a BG position may also serve as both the rater and senior Rater.
Q10-11. Will the system give error messages when someone is not eligible for rater, senior rater, and supplementary reviewer positions (if they don’t meet the minimum rank requirements)?
A10-11. Yes. An error message will appear when the user attempts to advance to the next screen within EES.
Q10-12. If a report is complete and signed by the rating officials and Soldier, then a rating official dies before the evaluation is submitted, can the report still be submitted for processing? What if the report is returned for corrections and one of the rating officials are unavailable for signatures?
A10-12. AR 623-3, para 2-19. When a rating official is officially relieved or determined to be incapacitated, he or she will not be permitted to evaluate his or her subordinates. This restriction will apply to evaluation reports with "THRU" dates prior to the relief or incapacitation of the rating official that have not yet completed processing to the rated Soldier’s AMHRR. Note: Incapacitation includes death. An evaluation is not official until it is placed in the rated Soldier’s AMHRR. If an evaluation is submitted after a rating official’s death, the report cannot be corrected. If a report is returned and a rating official is unavailable due to retirement, PCS, or ETS, the senior rater or rater and/or delegate (whoever is present) must contact that rating official to correct that evaluation. If the rating official still has CAC access, they would simply make the correction in EES. If the rating official does not have CAC access, the evaluation will be generated on a PDF-fillable with corrections, hand-signed. Back to Top
Q11-1. What is the rated NCO’s signature verifying?
A11-1. The rated NCO’s signature will verify the accuracy of administrative data in Part I, the rating officials and counseling dates in Part II, the duty description in Part III, and the APFT and HT/WT entries in Part IV.
Q11-2. Can the rating officials sign out of sequence?
A11-2. No. Proper sequencing of evaluation report authentication provides credibility in the evaluation process.
Q11-3. If the rating officials sign out of sequence will the evaluation be returned?
A11-3. Yes. HRC will return evaluations submitted with signature dates out of sequence. This error is one of the most common returned trends for OERs.
Q11-4. What is the signature order for the NCOER? Is it rater, senior rater, supplementary reviewer, and then rated NCO or is it rated NCO then supplementary reviewer?
A11-4. The order for signatures is as follows – rater, senior rater, rated NCO, then supplementary reviewer (as applicable). Supplementary reviews are conducted after rating officials and the rated Soldier have signed the completed evaluation. Back to Top
12. SUPPLEMENTARY REVIEW
Q12-1. What is the primary role of a supplementary reviewer?
A11-1. The supplementary reviewer’s role is to monitor evaluation practices and provide assistance and advice needed to rating officials (as required) on matters pertaining to Army evaluations. The supplementary reviewer will be identified on the published rating scheme at the beginning of the evaluation period by the commander establishing the rating chain.
Q12-2. Is there an update to the supplementary review requirement?
A11-2. Yes. In most instances, the senior rater will conduct the final rating chain review of the NCOER. Some cases exist when a supplementary review may be required. These include:
When the senior rater is in the rank of 2LT-1LT, WO1-CW2, or SFC-1SG/MSG. The supplementary reviewer will be senior to the senior rater and a uniformed Army-designated rating official in the rank of CSM/SGM, CW3-CW5, or CPT and above.
The second instance in which a supplementary reviewer is required is when no uniformed Army-designated rating official in the rank of CSM/SGM, CW3-CW5, or CPT and above exists in the rating chain for the rated NCO.
The third instance is for "Relief for Cause" evaluations, when the senior rater or someone outside the rating chain directs the relief.
Q12-3. What if there is no one in the unit that qualifies to be a supplementary reviewer?
A11-3. The unit will request a HQDA-review.
Q12-4. When you have a CW3 as the rater and a 1LT as the senior rater, do you require a supplementary reviewer?
A11-4. No. Because there is a uniformed Army-designated rating official in the rank of CW3 in the rating chain, a supplementary reviewer is not required.
Q12-5. Is a supplementary reviewer required if the rater of a SSG is an Army MSG and the senior rater is an Air Force CPT?
A11-5. A supplementary reviewer is required because there are no uniformed Army-designated rating officials in the rank of CSM/SGM, CW3-CW5, or CPT and above in the rating chain for the rated NCO.
Q12-6. Supplementary Reviewer: Can a 1LT(P), serving in a CPT (O-3) position, serve as a Supplementary Reviewer?
A11-6. No. The supplementary reviewer will be senior to the senior rater and a uniformed Army-designated rating official in the rank of CSM/SGM, CW3-CW5, or CPT and above.
Q12-7. If the rater is an Army CPT and the senior rater is a Navy CPT (O-6) will a supplementary review be required? The reason I ask is because the guidance states if no Army CPT is in the rating chain (in this case there is) will HRC kick the form back?
A11-7. No. A supplementary reviewer is not required because there is an Army officer in the rank of CPT in the rating chain.
Q12-8. If an Army CPT is the rater and a DA CIV GS-9 is the senior rater, is a supplementary reviewer required?
A11-8. No; however, the senior rater in this scenario does not meet the minimum grade requirement to rate a CPT.
Q12-9. If a DA CIV is the rater and an SES is the senior rater, is a supplementary reviewer required?
A11-9. Yes. A supplementary reviewer is required when no uniformed Army-designated rating official in the rank of CSM/SGM, CW3-CW5, or CPT and above exists in the rating chain for the rated NCO.
Q12-10. If a U.S. general officer is the senior rater and the report is a Relief for Cause, can he/she serve as a supplementary reviewer if he/she was not the one who directed the relief?
A11-10. If the rater directed the relief, then a supplementary review is not required. If the senior rater or someone outside the rating chain directed the relief, a supplementary review is required by the first uniformed Army officer above the relieving official. Back to Top
13. SUPPORT FORM
Q13-1. How long will the support form remain in the EES? (Does it disappear at 90 days after the NCOER is processed and iPERM'd?)
A13-1. The support form will be remain in EES indefinitely. A request has been submitted to allow the rating chain to archive a support form, so that it is no longer listed on the active support form page. Remember that you can save these reports as a .pdf file if you need to do so.
Q13-2. Does the support form have to be signed in order just like the NCOER?
A13-2. No. The support form slightly changes the order of the signatures due to the senior rater counseling sessions. Sequential order for signatures on the NCOER remain the same.
Q13-3. How many lines of text are allowed for goals and expectations on the support form?
A13-3. 16 lines of text (including spaces) are allowed in Part IV.
Q13-3. On the support form, are the bullet comments in lower or capital text?
A13-4. The bullets will be in lower case on the support form. Start your bullet with a lower case o, two space then your bullet comment.
Q13-5. If there is a change to the rating chain (e.g., SR or reviewer departs) or the rated NCO is promoted to SSG, will the support form allow changes to then manifest themselves on the EES-generated evaluation or will the chain need to create a new NCOER?
A13-5. If a rated NCO is promoted during the rating period, and an NCOER has not been generated, the rank may be corrected on the support form and when the NCOER is generated from the support form, it will reflect the correct rank. If an NCOER is pending and does not reflect the correct rank, a new NCOER must be generated on the proper form. Back to Top