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History

This publication is an administrative revision. The portions affected by this administrative revision are listed in the summary of the change.

Summary

This regulation prescribes the policy and tasks for the Army’s Evaluation Reporting System, including officer, noncommissioned officer, and academic evaluation reports focused on the assessment of performance and potential. It includes policy, operating tasks, and rules in support of operating tasks.

Applicability

This regulation applies to the Regular Army, the Army National Guard/Army National Guard of the United States, and the U.S. Army Reserve, unless otherwise stated. It also applies to Department of the Army Civilians, and to U.S. Armed Forces and U.S. Coast Guard officers, officers of Allied Armed Forces, and employees of the U.S. Government who serve as rating officials in the performance of their personnel management responsibilities as established by this regulation and in accordance with applicable Joint, Department of Defense, and civilian personnel management policy. It does not apply to retirees.

This regulation applies during mobilization in conjunction with the Personnel Policy Guidance published for each operation and issued by Headquarters, Department of the Army.

Proponent and Exception Authority

The proponent of this regulation is the Deputy Chief of Staff, G–1. The proponent has the authority to approve exceptions or waivers to this regulation that are consistent with controlling law and regulations. The proponent has delegated this approval authority to the Commanding General, Human Resources Command, who may further delegate this authority to a division chief, Human Resources Command, in the rank of colonel or the civilian equivalent. Human Resources Command is a direct reporting unit to the proponent agency.

Activities may request a waiver to this regulation by providing justification which includes a full analysis of the expected benefits and must include a formal review by the activity’s senior legal officer. All waiver requests will be endorsed by the commander or senior leader of the requesting activity and forwarded through their higher headquarters to the policy proponent. Refer to AR 25–30 for specific guidance.

Army Internal Control Process

This regulation contains internal control provisions in accordance with AR 11–2 and identifies key internal controls that must be evaluated (see appendix I).

Supplementation

Supplementation of this regulation and establishment of command and local forms are prohibited without prior approval from the Deputy Chief of Staff, G–1 (DAPE–ZA), 300 Army Pentagon, Washington, DC 20310–0300.

Suggested Improvements

Users are invited to send comments and suggested improvements on DA Form 2028 (Recommended Changes to Publications and Blank Forms) directly to the Commander, U.S. Army Human Resources Command (AHRC–PDV–E), 1600 Spearhead Division Avenue, Department 470, Fort Knox, KY 40122–5407.

Distribution

This regulation is available in electronic media only and is intended for the Regular Army, the Army National Guard/Army National Guard of the United States, and the U.S. Army Reserve.

Chapter 1

Introduction (page 1)

Section I — Overview

Purpose • 1–1, page 1
References and forms • 1–2, page 1
Explanation of abbreviations and terms • 1–3, page 1
Responsibilities • 1–4, page 1
Records management (recordkeeping) requirements • 1–5, page 3
Levels of work • 1–6, page 3

Section II — Principles and Standards

Principles of support • 1–7, page 3
Standards of service • 1–8, page 3

Section III — Special Circumstances

Assessments of performance and potential on evaluations • 1–9, page 5
Changes to an evaluation report • 1–10, page 6
Commander’s or Commandant’s Inquiry • 1–11, page 6
Access to evaluation reports • 1–12, page 6
Mobilization • 1–13, page 6
Privacy Act statement • 1–14, page 7

Chapter 2

The Rating Chain (page 7)

Section I — Managing the Rating Chain

Overview • 2–1, page 7
Fundamentals • 2–2, page 7
Rating chain information • 2–3, page 7

Section II — Rating Chain Development and Maintenance

General rules for establishing rating chains • 2–4, page 8
Rules for designating a rater • 2–5, page 9
Rules for designating an intermediate rater (DA Form 67–10 series only) • 2–6, page 10
Rules for designating a senior rater • 2–7, page 11
Rules for designating a supplementary reviewer (DA Form 67–10 series and DA Form 2166–9 series) • 2–8, page 14
Rules for designating a reviewing official for academic evaluation reports • 2–9, page 18

Section III — Roles and Responsibilities of Rating Chain Members

The rated Soldier • 2–10, page 18
The rated Soldier and rating officials selected for promotion • 2–11, page 19
Rater • 2–12, page 20
The intermediate rater (DA Form 67–10 series) • 2–13, page 21
Senior rater (DA Form 67–10 series and DA Form 2166–9 series) or reviewing official (DA Form 1059 series) • 2–14, page 21

Section IV — Evaluation Report Reviews

Review of evaluation reports • 2–15, page 23
Review requirements for DA Form 67–10 series, DA Form 2166–9 series, and DA Form 1059 series • 2–16, page 24
Mandatory review of officer and noncommissioned officer relief, and academic failure evaluation reports • 2–17, page 25
Review of DA Form 2166–9 series • 2–18, page 28

Section V — Special Evaluation Reporting Requirements

Loss of a rating official or rated Soldier due to death, declared missing, relief for cause, or incapacitation • 2–19, page 29
Supervisor as both rater and senior rater • 2–20, page 32
Dual supervision (DA Form 67–10 series only) • 2–21, page 32
Professors of military science • 2–22, page 33
Special requirements • 2–23, page 33

Chapter 3

Army Evaluation Principles (page 33)

Section I — Evaluation Overview

Introduction • 3–1, page 33
Evaluation report requirements • 3–2, page 33
Evaluation report forms • 3–3, page 34

Section II — DA Form 67–10–1A and DA Form 2166–9–1A

The support form communication process • 3–4, page 34
Army performance objectives and special interest items • 3–5, page 35

Section III — DA Form 67–10 Series and DA Form 2166–9 Series Roles and Responsibilities

Rated Soldier • 3–6, page 36
Rater • 3–7, page 38
Intermediate rater (DA Form 67–10 series only) • 3–8, page 42
Senior rater • 3–9, page 42
Supplementary reviewer (DA Form 67–10 series and DA Form 2166–9 series) • 3–10, page 46

Section IV — Rater Profile Report, Rater Tendency Report, Senior Rater Profile Report, and Senior Rater Evaluation Timeliness Report

Rater Profile (officer evaluation reports), Rater Tendency (noncommissioned officer evaluation reports), and Senior Rater Profile reports • 3–11, page 47
Rater and senior rater profile restarts • 3–12, page 49

Section V — DA Form 1059 Series Roles and Responsibilities

Commandant, academic rater, academic advisor, and reviewing official responsibilities • 3–13, page 51
School proponents • 3–14, page 54
DA Form 1059 and DA Form 1059–2 • 3–15, page 54
DA Form 1059–1 • 3–16, page 56

Section VI — Restrictions

Evaluation parameters • 3–17, page 57
Comments • 3–18, page 57
Prohibited narrative techniques • 3–19, page 58
Unproven derogatory information • 3–20, page 58
Prohibited comments • 3–21, page 59
Comments about marital status and spouse • 3–22, page 60
Classified evaluation reports • 3–23, page 60
Prisoners of war • 3–24, page 60
Participation in the Army Substance Abuse Program or a mental health program • 3–25, page 60
Evaluation of adverse actions • 3–26, page 61
Referred DA Form 67–10 series • 3–27, page 61
Referred DA Form 1059 series • 3–28, page 62
Referral process for DA Form 67–10 series and DA Form 1059 series • 3–29, page 62
Performance as a member of a court-martial or selection board • 3–30, page 63
Performance as counsel • 3–31, page 63
Performance as an equal opportunity official • 3–32, page 63
Recalled retired Soldiers • 3–33, page 64

Section VII — Evaluation Report Preparation and Submission

Preparation and submission requirements • 3–34, page 64
Special situations • 3–35, page 70
Authorized enclosures • 3–36, page 70
Modifications to previously submitted evaluation reports • 3–37, page 74
Newly received favorable information • 3–38, page 74
Newly received derogatory information for DA Form 67–10 series, DA Form 2166–9 series and DA Form 1059 series • 3–39, page 75

Section VIII — Mandatory Evaluation Reports

Basic rules • 3–40, page 75
“Change of Rater” report • 3–41, page 76
“Annual” report • 3–42, page 76
“Extended Annual” report • 3–43, page 77
“Change of Duty” report • 3–44, page 78
Depart Temporary Duty, Special Duty, or Temporary Change of Station report • 3–45, page 78
Temporary Duty, Special Duty, or Temporary Change of Station report • 3–46, page 79
Failed Promotion Selection report (DA Form 67–10 series only) • 3–47, page 79
Release from Active Duty Service report (U.S. Army Reserve and Army National Guard only) • 3–48, page 79

Section IX — Mandatory Evaluation Reports Other than 90-Day Minimum

Basic rule • 3–49, page 80
Service school academic evaluation reports (DA Form 1059 and DA Form 1059–2) • 3–50, page 80
DA Form 1059–1 • 3–51, page 82
Judge Advocate General’s Corps on-the-job training report • 3–52, page 83
Initial tour of extended active duty report • 3–53, page 83
U.S. Army Human Resources Command directed evaluation report • 3–54, page 84
“Relief for Cause” report (DA Form 67–10 series) • 3–55, page 84
“Relief for Cause” evaluation report (DA Form 2166–9 series) • 3–56, page 85

Section X — Optional Evaluation Report

“Complete the Record” report • 3–57, page 86
“Senior Rater Option” report • 3–58, page 86
60-Day Option report • 3–59, page 87
Rater Option report (DA Form 67–10 series only) • 3–60, page 87

Chapter 4

Evaluation Report Redress Program (page 87)

Section I — Managing the Redress Program

Overview • 4–1, page 87
Information • 4–2, page 87

Section II — Commander’s or Commandant’s Inquiry

Applicability • 4–3, page 88
Purpose • 4–4, page 88
Procedure • 4–5, page 88
Tasks • 4–6, page 91

Section III — Evaluation Appeals

Policies • 4–7, page 91
Timeliness • 4–8, page 95
Processing and resolution • 4–9, page 95
Priorities • 4–10, page 96
Burden of proof and type of evidence • 4–11, page 96
Appeals based on substantive inaccuracy • 4–12, page 97
Army Special Review Board and Army Board for Correction of Military Records • 4–13, page 98
Preparation • 4–14, page 98

Appendixes

Appendix A. References, page 100
Appendix B. Evaluation of Warrant Officers, page 105
Appendix C. Evaluation of U.S. Army Chaplains, page 106
Appendix D. Special Considerations for Rating Judge Advocate General’s Corps Officers, page 109
Appendix E. Evaluation of U.S. Army Medical Department Officers, page 111
Appendix F. U.S. Army Human Resources Command and Other Addresses, page 116
Appendix G. Managing U.S. Army Reserve Evaluation Reports, page 119
Appendix H. Managing Army National Guard Evaluations, page 123
Appendix I. Internal Control Evaluation, page 132

Table List

Table 2–1: Minimum grade requirements for senior raters on DA Form 67–10 series and DA Form 2166–9 series, page 14
Table 3–1: Temporary duty, special duty, and temporary change of station not related to principal duty, page 79
Table 4–1: Steps in conducting a Commander’s or Commandant’s Inquiry, page 91
Table F–1: Addresses for U.S. Army Human Resources Command, National Guard Bureau, and other Service’s personnel offices, page 116
Table H–1: Rules for establishing rating chains for general officers, page 123
Table H–2: Disposition of Army National Guard evaluation reports, page 128
Table H–3: Joint Forces Headquarters addresses by state, page 129

Figure List

Figure 2–1: Sample format for a supplementary review memorandum, page 16
Figure 2–2: Sample format for a Headquarters, Department of the Army supplementary review request memorandum, page 17
Figure 2–3: Supplementary review requirement by uniformed Army advisor, page 24
Figure 2–4: Sample format for a “Relief for Cause”/“Academic Failure” supplementary review memorandum, page 26
Figure 2–5: Supplementary review requirement by uniformed Army advisor for relief for cause, page 28
Figure 3–1: Examples of evaluation report timelines, page 67
Figure 3–2: Sample format for a “Relief for Cause” evaluation report directed by an official other than a rating official, page 72
Figure 3–3: Sample format for a 30-day minimum waiver for “Relief for Cause” noncommissioned evaluation report, page 73
Figure 4–1: Sample format for a Commander’s or Commandant’s Inquiry report, page 90
Figure 4–2: Sample format for a significant administrative correction to evaluation report memorandum, page 94