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Department of the Army

Pamphlet 623–

Personnel Evaluation

Evaluation

Reporting

System

Headquarters Department of the Army Washington, DC 13 August 2007

UNCLASSIFIED

SUMMARY of CHANGE

DA PAM 623–

Evaluation Reporting System

This rapid action revision, dated 13 August 2007--

o Updates all references to the OER Senior Rater Profile to reflect consolidation of profiles from three (separated by grade and component of rated officer) to one (separated by grade of rated officer). Consolidation impacts the answer to the senior rater question in Part VII.a and senior rater assessment made in Part VII.b After consolidation, OER information will reflect in a single Senior Rater Profile Report for each senior rater and in all applications reflecting administrative information (paras 2-10 and 2-11, and table 2-8).

o Adds the Evaluation Timeliness Report as a second section, with two sub- sections, of the Senior Rater Profile, regardless of the senior rater’s status as an OER senior rater. The Evaluation Timeliness Report compiles information on timeliness of OER and NCOER submissions and ties it to individual senior raters. This report is authorized for placement in individual Official Military Personnel Files (para 2-11).

o Changes the time requirements for submission to HQDA for all military evaluations (OER, NCOER, and AER) to receive at HQDA within 90 days after the THRU date on the report (paras 5-2 and 5-7).

o Changes the mailing address for submission to HQDA for all OER to the address previously used for only Active Army OER (app B).

o Fixes several administrative errors (throughout).

This new pamphlet, dated 15 May 2006--

o Introduces the Army’s electronic means of forms processing - Forms Content Management Program (FCMP) (para 5-3).

o Accommodates the Army’s transformation of Personnel Services Delivery Redesign by placing most actions with BN S1 or Unit HR provider throughout the publication.

o Combines procedures for the Officer Evaluation, Noncommissioned Officer, and Academic Evaluation Reporting Systems, and all their related forms and processes throughout the publication.

Contents—Continued

Chapter 1

Introduction

Section I Information

1–1. Purpose a. This pamphlet prescribes the procedures for completing evaluation reports that support the Evaluation Reporting System (ERS). These include: Officer Evaluation Reports (OERs) Noncommissioned Officer Evaluation Reports (NCOERs), Academic Evaluation Reports (AERs), and Civilian Institution Academic Evaluation Reports (AERs). This pamphlet provides procedures for completing required forms and submitting evaluations to HQDA. Unique policies pertaining to each report are contained in AR 623–3. b. Requests for clarification or exceptions to procedures should be sent to Army Human Resources Command (AHRC–MSE), 200 Stovall Street, Alexandria, VA 22332–0442. c. Current information on updated applications, policies and training are available on-line at: http:///www.hrc.- army.mil/

1–2. References Required and related publications and prescribed and referenced forms are listed in appendix A.

1–3. Explanation of abbreviations and terms Abbreviations and special terms used in this pamphlet are explained in the glossary.

1–4. Functions a. Commanding General, Army Human Resources Command (CG, AHRC)— (1) Acts as executive agent for the secretary of the Army and is responsible for the effective operation of OERs, NCOERs, and AERs. (2) Exercises final review authority on all evaluation reports received at Headquarters Department of The Army (HQDA). This includes: (a) Determines that a report is correct as submitted and needs no further action. (b) Corrects or returns to rating officials for their correction, reports that may be in error in accordance with provisions of AR 623–3, or would result in an injustice to an individual or a disservice to the Army. (c) Clarifies procedures, grants exceptions to rendering and or submitting reports as the need arises. b. MACOM Commander’s functions— (1) Commanders will ensure that— (a) This pamphlet, supporting regulations, automated equipment hardware, software, and internet access is available to support the OER, NCOER, and AER program. (b) Each rating official is fully qualified to meet counseling and evaluating responsibilities. (c) Reports are prepared and submitted to HQDA by the individuals named in the published rating chain. (d) Rating officials give timely counseling to subordinates on professionalism and job performance, encouraging self-improvement when needed. (e) Each rating official knows how the subordinates they evaluate have performed. (f) Each rated officer and noncommissioned officer is provided a copy, review, authenticate, and provide comments as addendum to HQDA as directed in regulation. (g) Each senior rater assures conducts subordinate counseling in accordance with standards established in this pamphlet and supported regulation, AR 623–3. (h) Each senior rater submits subordinate ratings to HQDA in accordance with standards of completion and timeliness procedures prescribed in this pamphlet and policy prescribed in AR 623–3. Every evaluation is complete, administratively accurate and represents the true opinions of the rating chain at the time an OER, NCOER, or AER is submitted to HQDA. (2) Commanders will also request from Commander, AHRC, clarification of procedures, exceptions to procedures, or new procedures, and bring to attention situations that: (a) Are not clearly and adequately covered in this pamphlet or supporting regulations. (b) Would result in an injustice to an individual or a disservice to the Army if a new procedure or policy is not made or an exception not granted. c. Senior rater’s of evaluated Soldiers, and/or the senior rater’s designated representative will— (1) Ensure required counseling programs and support forms are maintained in their units. (2) Certify the administrative accuracy and preparation of each DA Form 67–9 (Officer Evaluation Report), DA Form 2166–8 (Noncommissioned officer evaluation report), and DA Form 1059 (Service School: Academic Evaluation

Report) and DA Form 1059–1 (Civilian Institution Academic Evaluation Report) prepared under the senior rater’s supervision and the supervision of the reviewer. (3) Forward to HQDA all completed forms in a timely and accurate manner NLT 90 days past the THRU date of each report in accordance with procedures outlined in Chapter 5 of this pamphlet.

1–5. Manpower resources The evaluation function is the responsibility of the Brigade S–1, Battalion S–1, or unit personnel administration office, as well as the rating officials and rated Soldiers and HQDA. Manpower officials will use the workload factors (obtained in Manpower Staffing Standards Systems) to determine the manpower authorizations.

1–6. Levels of work a. The focus of this pamphlet is on the rating chain’s adherence to Evaluation Reporting System (ERS) requirements at any level. b. Senior raters, or the senior rater’s representative, regardless of component (Active, United States Army Reserve, or Army National Guard of the United States) are required to assure compliance with standards of preparing and forwarding evaluations prescribed by the pamphlet, AR 623–3, will be available at http://www.apd.army.mil, and The Army, G–1 Personnel Planning Guidance published for each operation will be available at http://www.odscper.- army.mil/personnel plans/policies.

Section II Principles and Standards

1–7. Principles of support The military personnel system— a. Evaluates the performance and potential of officers WO1 thru MG in peacetime and wartime. b. Evaluates the performance and potential of noncommissioned officers (NCO) (that is, sergeant E–5 thru Com- mand Sergeant Major (CSM) E–9) in peacetime and wartime. c. Evaluates the performance and evaluate compliance of Soldiers with Army, DOD, Civilian Academic, or Institu- tional education programs. d. Supports the Army’s personnel professional development life-cycle function.

1–8. Standards of service a. Evaluation Reporting System (ERS). (1) The ERS identifies officers and noncommissioned officers who are best qualified for promotion and assignments to positions of higher responsibility. ERS also identifies Soldiers who should be kept on active duty, those who should be retained in grade, and those who should be eliminated. (2) Under the ERS a Soldier is evaluated on performance and potential. In this system, three kinds of evaluations are given: (a) Duty evaluations. Either the DA Form 67–9 or DA Form 2166–8 is used for these evaluations. (b) School evaluations. Either the DA Form 1059 and DA Form 1059–1 is used for these evaluations. (c) DA evaluations. Selection boards and personnel management systems are used for these evaluations. Duty and school evaluations are single time-and-place evaluations and are used to make DA evaluations. DA evaluations cover the entire career of an officer and noncommissioned officer. (3) DA evaluations focus on an individual Soldier’s potential. They are judgments on their ability to perform at current and higher grades, and they are also made to judge whether an officer or NCO should be retained and given greater responsibility in their present grade. In making DA evaluations, three factors are considered (a) Army requirements for leaders: officers and noncommissioned officers frequently change. At times, the Army has a need for leaders with certain backgrounds, experience, and expertise. The size of the Army leader corps by law in terms of strength by grade. Army needs limit the number of selections and assignments that can be made. Thus, a leader’s potential is partially determined by how they compare with their peers. (b) Duty performance. Performance of duty is an extremely important factor in determining a leader’s potential. Duty performance is judged by how well a Soldier performs their assigned tasks and how well they meet Army professional values uniquely established for each respective corps. (c) Leader qualifications. This is the third factor in determining a Soldier’s potential. It must be considered in order to meet Army needs for outstanding leaders of troop or technical units, supporting staff managers, and technical specialists. One consideration in determining qualifications is the different skills and backgrounds required by different specialties. Another consideration is a Soldier’s individual progress through specialist fields to positions of greater responsibility. In addition, their length of service, civil schooling, military schooling, or other unique skills required by the Army are considered. b. Evaluation Reporting System (ERS)—

them to accomplish during the rating period. It should also be used to guide the rated leader’s performance during the early part of the rating period. (3) During the rating period: (a) Throughout the rating period, both the rater and rated (officer or noncommissioned officer) should continually assess whether the duty description and performance objectives are adequate. If not, they will be revised and the OER or NCOER Support Form should be updated by the rated individual. (b) During the counseling sessions about the rated individual’s duties and objectives, the rater should coach the rated officer or noncommissioned officer on their personal and professional development. (4) The end of the rating period: (a) At the end of the rating period the rater prepares and verifies with the rated individual:

1. Officer’s administrative, height/weight, APFT data and duty description on DA Form 67–9 shell. 2. Noncommissioned officers, administrative, height/weight, APFT data and duty description a DA Form 2166– shell. (b) The rated individual provides the rater the following: 1. Officers a completed DA Form 67–9–1. CPT/LT/CW2/WO1 a completed DA Form 67–9–1a will be provided along with DA Form 67–9–1 (OER Support Form). 2. Noncommissioned officers a completed DA Form 2166–8–1 will be provided. (c) The rater completes, in turn, their portion of the officer, or noncommissioned officer support forms as applicable. (d) On their portion the rater and intermediate rater (if any) complete, in turn, their evaluation of the performance and potential of the rated officer on their portion of the evaluation on DA Form 67–9, DA Form 2166–8, DA Form 1059, or DA Form 1059–1. (e) The rater signs, and forwards the evaluation, along with applicable support forms to the senior rater. (f) The senior rater provides an independent evaluation of the rated Soldier on their portion of the evaluation form. The senior rater uses the information provided on the DA Form 67–9–1 or DA From 2166–8–1, as well as any information they receive through direct or indirect contact with the rated individual (officer or noncommissioned officer as applicable). (g) The senior rater completes the evaluation of the rated individual, reviews, and signs the DA Form 67–9, DA Form 2166–8, DA Form 1059, or DA Form 1059–1, as applicable. (h) When a supplementary review is required, the senior rater forwards the completed evaluation and support forms to the official authorized to conduct the supplementary review. All NCOERs have a reviewer that must complete their portion of the DA Form 2166–8. If there is a supplementary reviewer required for the DA Form 67–9 (see AR 623–3, chap 2, para 2–8), the applicable Support Form will accompany the completed evaluation and forwarded to the reviewing official. When the supplementary reviewer completes their review, they will sign and return the completed evaluation and support forms to the senor rater. (i) When possible, the senior rater counsels the rated Soldier on the evaluation and review and obtains the rated Soldier’s signature on the evaluation form. The rater and senior rater will sign the evaluation report prior to the rated Soldier. (j) When the evaluation is completed it will be forwarded to HQDA directly by the senior rater or the senor rater’s designated representative using procedures established by the unit or organization. (k) OER only. If the evaluation is referred, the Senior Rater will formally notify and obtain the rated officer’s comments, if any. The rated individual’s comments or a memorandum for record demonstrating the rating chain’s actions to notify and obtain the rated individual’s comments will be forwarded to HQDA along with the evaluation report.

1–9. Rating chain performance and potential evaluations a. Performance evaluations are assessments on how well the rated Soldier meets their duty requirements and adheres to the professional standards established by the Army and DOD. Rating chains evaluate performance by considering the results achieved, how well they are achieved, and how well the rated Soldier complied with professional standards. (1) “Results achieved” consists of the degree to which the rated Soldier fulfills the duties and objectives assigned to them or implied by the duty position. Due regard is given to: (a) The efforts made by the ratee during the evaluation period. (b) The results that can reasonably be expected given the mission, time and resources available. (2) “How results are achieved” consists of quantifiable measures and objective assessments of: (a) The means used by the rated Soldier to reach objectives (b) The rated Soldier’s use of available resources (for example, personnel, equipment, money, and time). (3) “How well the rated Soldier complied” with Army and DOD professional values is assessed by comparing their demonstrated attributes/skills/actions with the standards that apply to all Army leaders. b. Potential evaluations are performance based assessments of the rated Soldier’s ability compared to that of their US Army contemporaries, which the senior rater rates or will rate, to perform in current and future positions of greater

responsibility in higher grades. Assessment of potential applies to all Army professionals, regardless of their opportu- nity to be selected for higher positions or grades, and ignores such factors as impending release from active duty or retirement. This assessment is continually changing and is reserved by HQDA.

1–10. Changes to an evaluation report Except to comply with this pamphlet and established in policy (see AR 623–3), no person may require changes be made to an evaluation report. While the evaluation processes at HQDA it belongs to the senior rater. Until completed and accepted by HQDA evaluations will only be changed by HQDA if reasonable, substantiated information or investigations, and in accordance with established HQDA regulations and procedures. Senior raters will notify rated Soldier of any changes made to a report, and review changes with the rated Soldier as applicable.

1–11. Commander’s/Commandant’s inquiry When it is brought to the attention of a commander/commandant that a report rendered by one of their subordinates or by a member of one of their subordinate commanders may be illegal, unjust, or otherwise in violation of this pamphlet or regulation (see AR 623–3), they will look into the matter. The commander/commandant will confine their inquiry to matters relating to the clarity of the evaluation report, the facts contained in the report, the compliance of this evaluation with policy and procedures established by HQDA, and the conduct of the rated Soldier. The commander/ commandant does not have the authority to direct that an evaluation be changed; they may not use command influence to alter the honest evaluation of a rated Soldier by a rating official. However, they may provide results of commander’s inquiry to the rating chain. The policy and actions required by the commander to process an inquiry are described in AR 623–3, chapter 6.

1–12. Access to reports Access to reports at HQDA is limited to individuals responsible for maintaining the file or authorized to use it for human resource management purposes. Access to reports at the local level is limited to those persons having command, administrative, or rating official responsibility for the report.

Chapter 2

Officer Evaluation Report Preparation

2–1. Purpose and process - DA Form 67–9–1 (Officer Evaluation Report Support Form) a. Purpose. Promote a top down emphasis on leadership communication, integrating rated officer participation in objective setting, performance counseling, and evaluation. At the beginning of the rating period, enhance planning and relate performance to mission through joint rater and rated officer discussion of the duty description and major performance objectives. During the rating period, encourage performance counseling and the best use of individual talent by continuous communication to update and revise the performance objectives. At the end of the rating period, enable rated officer input to the OER. All rating officials will use DA Form 67–9–1. When an officer is serving under dual supervision, a DA Form 67–9–1 is required for each chain of supervision. DA Form 67–9–1 is not used to evaluate an officer and is not forwarded to HQDA with the completed OER. b. Process. (1) Beginning of rating period: (a) Shortly after the rated officer assumes duties, the rater provides him/her with copies of the rater’s and senior rater’s most recent support forms. The rated officer then drafts their DA Form 67–9–1: DUTY DESCRIPTION (Part IVa) and MAJOR PERFORMANCE OBJECTIVES (Part IVb). (b) Within the first 30 days the rater conducts the initial face-to-face counseling with the rated officer, and approves the DUTY DESCRIPTION/MAJOR PERFORMANCE OBJECTIVES. (Note: Raters of CPTs, LTs, CW2s, and WO1s will also finalize the initial developmental tasks on the DA Form 67–9–1a.) (c) When the initial face-to-face discussion is completed, the rated officer dates and initials in part III of the support form. The rater also initials (Part III) and forwards the support form to the senior rater. The senior rater reviews and initials in part III, and returns it to the rater. The rater retains a copy and returns the original to the rated officer. (Note: Raters of CPTs, LTs, CW2s, and WO1s will also forward the DSF to the senior rater for approval and/or initials.) (2) During the rating period, the rated officer uses the support form as a performance guide. Rater conducts periodic follow-up performance counseling with the rated officer to make needed adjustments to objectives. For LTs and/or WO1s, quarterly counseling is mandatory; for CPT and/or CW2, goal is once around midpoint (3–6 months); field grade follow-up counseling is on an as-needed basis. (NOTE: Raters of CPTs, LTs, CW2s, and WO1s are required to meet counseling requirements for the Developmental Support Form (AR 623–3, para 3–4). Upon completion of each periodic counseling session, the rated officer dates and/or initials in part III and the rater initials in part III. The senior rater then reviews and initials in Part III and returns it to the rater. The rater retains a copy and returns the original to the rated officer, but does not forward to the senior rater (see AR 623–3).

• Rating chain performance and potential evaluations • 1–9, page
• Changes to an evaluation report • 1–10, page
• Commander’s/Commandant’s inquiry • 1–11, page
• Access to reports • 1–12, page
• Chapter
• Officer Evaluation Report Preparation, page
• Purpose and process - DA Form 67–9–1 (Officer Evaluation Report Support Form) • 2–1, page
• Purpose and process - DA Form 67–9–1a (Developmental Support Form) • 2–2, page
• Purpose and process - DA Form 67–9 (Officer Evaluation Report) • 2–3, page
• Part I, administrative data • 2–4, page
• Part II, authentication • 2–5, page
• Part III, duty description • 2–6, page
• Part IV, performance evaluation - professionalism • 2–7, page
• Part V, performance and potential evaluation (rater) • 2–8, page
• Part VI, intermediate rater (if applicable) • 2–9, page
• Part VII, senior rater • 2–10, page
• Senior Rater Profile (67–9–2) and HQDA electronically generated label • 2–11, page
• Referral process • 2–12, page
• Relief for cause officer evaluation report instructions • 2–13, page
• Mandatory review of officer relief reports • 2–14, page
• Submitting an addendum to a previous report • 2–15, page
• Chapter
• Noncommissioned Officer Evaluation Report Preparation, page
• Purpose and process - DA Form 2166–8–1 (NCOER Counseling and Support Form) • 3–1, page
• Purpose and use - DA Form 2166–8 (NCO Evaluation Report) • 3–2, page
• Evaluation forms • 3–3, page
• Part I, administrative data • 3–4, page
• Part II, authentication • 3–5, page
• Part III, duty description • 3–6, page
• Part IV, Army values/noncommissioned responsibilities • 3–7, page
• Part V, overall performance and potential • 3–8, page
• Relief for cause noncommissioned officer evaluation report instructions • 3–9, page
• Notifications • 3–10, page
• Chapter
• Academic Evaluation Report Forms and Preparation, page
• DA Form 1059 Service School Academic Evaluation Report, page Section I
• Purpose and process • 4–1, page
• Administrative data (Items 1–10) • 4–2, page
• Performance summary (Item 11) • 4–3, page
• Demonstrated abilities (Item 12) • 4–4, page
• Academic potential (Item 13) • 4–5, page
• Rating official comments (Item 14) • 4–6, page
• Referred reports • 4–7, page
• DA Form 1059–1 Civilian Institution Academic Evaluation Report, page Section II
• Purpose and process • 4–8, page
• Reporting the civilian academic evaluation report • 4–9, page
• ii DA PAM 623–3 • 13 August
• Chapter Contents—Continued
• Evaluation Forms Preparation and Forwarding, page
• Preparing and Forwarding Officers Evaluation Reports and Noncommissioned Evaluation Reports, page Section I
• Officer evaluation report and noncommissioned evaluation report preparation and copying • 5–1, page
• Officer evaluation report and noncommissioned evaluation report forwarding requirements • 5–2, page
• Management Program • 5–3, page Officer evaluation report and noncommissioned evaluation report submission to HQDA by Forms Content
• e-mail • 5–4, page Officer evaluation report and noncommissioned evaluation report submission to HQDA by digital transmission or via
• submission to HQDA by mail • 5–5, page Officer evaluation report and noncommissioned evaluation report and noncommissioned officer evaluation report
• Preparing and Forwarding Academic Evaluation Reports, page Section II
• Academic evaluation report preparing and copying • 5–6, page
• Academic evaluation forwarding • 5–7, page
• Addendum Preparation and Forwarding (Officer Evaluation Report and Academic Evaluation Report), page Section III
• Preparing an addendum to a previous report • 5–8, page
• Steps for preparing an addendum • 5–9, page
• Chapter
• Constructing an Evaluation Report Appeal, page
• Deciding to appeal • 6–1, page
• Preparing an appeal • 6–2, page
• A. References, page Appendixes
• B. Human Resource Command Addresses, page
• C. Counseling, page
• D. NCOER Discrepancy List-Active Army, page
• Table 2–1: Administrative data officer evaluation report Instructions, page Table List
• Table 2–2: Authentication officer evaluation report Instructions, page
• Table 2–3: Duty description officer evaluation report Instructions, page
• Table 2–4: Performance evaluation - professional officer evaluation report Instructions, page
• Table 2–5: Performance and potential evaluation (rater) - officer evaluation report Instructions, page
• Table 2–6: Intermediate rater - officer evaluation report Instructions, page
• Table 2–7: Senior rater - officer evaluation report Instructions, page
• Table 2–8: Codes and reasons for submitting reports, page
• Table 2–9: Codes and reasons for non-rated periods, page
• Table 2–10: Command codes within OERS, page
• Table 3–1: Administrative data noncommissioned officer evaluation report instructions, page
• Table 3–2: Authentication noncommissioned officer evaluation report instructions, page
• Table 3–3: Duty description noncommissioned officer evaluation instructions, page
• Table 3–4: Army values/attributes/skills/actions - noncommissioned officer evaluation report Instructions, page
• Table 3–5: Part V - Overall performance noncommissioned officer evaluation report instructions, page
• Table 3–6: Codes and reasons for submission, page
• Table 3–7: Reason codes for non-rated time, page
• Table 3–8: Command codes within NCOERS, page
• Table 4–1: Administrative data, page Contents—Continued
• Table 4–2: Civilian Academic Evaluation Report Processing, page
• Table 5–1: Sponsoring agency addresses, page
• Table 5–2: Addendum preparation, page
• Table B–1: AHRC addresses, page
• Table C–1: Counseling session preparation, page
• Table D–1: Noncommissioned officer evaluation report discrepancy list - Active Army, page
• Figure 2–1: Sample DA Form 67–9–1, page Figure List
• Figure 2–1: Sample DA Form 67–9–1- continued, page
• Figure 2–2: DA Form 67–9–1a (Developmental Support Form), page
• Figure 2–2: DA Form 67–9–1a (Developmental Support Form) - continued, page
• Figure 2–3: DA Form 67–9 (Officer Evaluation Report), page
• Figure 2–3: DA Form 67–9 (Officer Evaluation Report) - continued, page
• Figure 2–4: Profile front side, page
• Figure 2–5: Profile reverse side, page
• Figure 2–6: Timeliness cover page, page
• Figure 2–7: Timeliness details, page
• Figure 2–8: Sample format of Officer Evaluation Report (OER) referral, page
• Figure 3–1: Sample DA Form 2166–8–1 NCOER Support Form, page
• Figure 3–1: Sample DA Form 2166–8–1 NCOER Support Form - Continued, page
• Figure 3–2: Sample 2166–8 NCOER, page
• Figure 3–2: Sample 2166–8 NCOER - Continued, page
• Figure 3–3: Sample format of a reviewer’s non-concurrence enclosure, page
• Figure 4–1: Sample DA Form 1059 AER, page
• Figure 4–2: Sample DA Form 1059–1, page
• Figure 5–1: Addendum Format, page
• Figure 6–1: Format for minor corrections, page
• Figure 6–2: Format for substantive appeals, page
• Figure 6–3: Format for an administrative appeal, page
• Figure 6–4: Format for a combined administrative and substantive appeal, page
• Figure 6–5: Format for a requesting third party support, page
• Figure 6–6: Format for a third party memorandum of support, page
• iv DA PAM 623–3 • 13 August Glossary
• Figure 2–1. Sample DA Form 67–9–

Figure 2–1. Sample DA Form 67–9–1- continued

Figure 2–2. DA Form 67–9–1a (Developmental Support Form)

Figure 2–2. DA Form 67–9–1a (Developmental Support Form) - continued

Figure 2–3. DA Form 67–9 (Officer Evaluation Report)

Figure 2–3. DA Form 67–9 (Officer Evaluation Report) - continued