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Normally, writing a referral EPR is the last thing a supervisor wants to do. A referral EPR is serious business and is very often the first step in ushering an Airman out of the Air Force. In my experience, referral EPRs are usually downward directed. An Airman is involved in an incident that attracts the attention of the Commander or the First Sergeant who order, through the chain of command, that this person be given a referral EPR. It's an uncomfortable and unfamiliar spot for a supervisor to be in. You care about your troop and don't want to see him get in serious trouble yet, as a supervisor, you must enforce standards. It's a tough spot to be in. Ultimately, we have little choice.

EPR References

AFI 36-2406, Officer and Enlisted Evaluation Systems

AFM 33-326, Preparing Official Communications

Referral EPR Memorandum Example

Rebuttal Example

A referral EPR is an EPR with at least one of the rated categories graded as Does Not Meet and/or the Overall Performance Assessment in Block 5 is rated as Poor (1) or Needs Improvement (2). An EPR can have an overall 4 rating and still be a referral EPR if one or more of the rated categories is marked as Does Not Meet. It's called a referral because Air Force policy makers decided that a ratee who gets a Does Not Meet rating may not be suited for active duty and should have his or her performance reviewed by senior management. Note that when a person receives a referral report, they are ineligible for promotion testing, PCS, or awards. The official definition of a referral report, per AFI 36-2406, Officer and Enlisted Evaluation Systems is :

3.9.1. Refer a performance report when:

3.9.1.1. An evaluator marks "Does Not Meet Standards" in any performance factor in section V (OPR), or places a mark in the far left block of any performance factor in section III or marks a rating of “1” in section IV (EPR).

3.9.1.2. Comments in the report, or the attachments, are derogatory in nature, imply/refer to behavior incompatible with or not meeting minimum acceptable standards of personal or professional conduct, character, judgment or integrity, and/or refer to disciplinary actions. This includes, but is not limited to, comments regarding omissions or misrepresentation of facts in official statements or documents, financial irresponsibility, mismanagement of personal or government affairs, unsatisfactory progress in the WMP or FIT program, confirmed incidents of discrimination or mistreatment, illegal use or possession of drugs, AWOL, Article 15 action, and conviction by court martial.

In addition, MPFM 07-44, para 16, adds the overall rating of 2, Needs Improvement, as being an automatic referral EPR :

16. Definitions of overall EPR performance rating to be used on both AF Form 910 and 911:

a. Poor (1): Performs at an unacceptable level. Disciplinary action is not required, however, the report will be a referral.

b. Needs Improvement (2): Meets some, but not all, performance standards. Disciplinary action is not required, however, the report will be a referral.

For standard EPRs, comments are limited to the space provided on the form but for referrals, attachments may be used. Non-specific or vague comments about the individual’s behavior or performance are not allowed. For example, statements such as "Due to a recent off-duty incident, this member's potential is limited" do not explain the behavior or how their potential is limited. The behavior that is considered to be inappropriate must be described. If comments contain references to Article 15 actions or any other punitive actions, the conduct or behavior that led to the action must be specified. For example, a report should not simply state that "SrA Smith received an Article 15 during this period." Instead, the conduct that caused the punishment should be specified with the resulting action included, such as:

• SrA Jones failed to meet standards in push-ups and crunches
• Did not meet body composition requirements, exceeded goals on other fitness components
• During this reporting period, SrA Smith sexually harassed a female coworker for which he received an Article 15
• TSgt Wanda was removed from her position as NCOIC and given a Letter of Reprimand after repeatedly making sexually suggestive and harassing comments to a subordinate
• SSgt Smith received an Article 15 for DUI on base

The focus of the comment should be on the conduct or behavior. It is up to the writer where to place these comments. They are commonly entered in the Standards, Conduct, Character & Military Bearing block. It is not neccessary to fill the block with other comments as is done with normal EPRs. The object is to document bad behavior and if that can be accomplished in a single line, that's enough. But the other categories must be filled as usual. They should be filled with factual information. If the ratee has otherwise strong bullets, include them where appropriate. If the overall rating is a 3 or lower, management may require that the tone of the whole EPR reflect this. In this case, a ratee's accomplishments may still be included but adjust their impact.

If you have questions as to whether comments are appropriate, consult the base staff judge advocate and MPF career enhancement personnel. That's their job and they'll be glad to help.

If, after the referral EPR is submitted, the Rater's Rater evaluator upgrades the ratings (changes to Meets Standards or higher) and/or invalidates the referral comments so that the conditions defined in paragraphs 3.9.1.1. or 3.9.1.2. no longer apply, the nonconcur block is marked and comments are made supporting the disagreement in the rating. The report is then no longer considered to be a referral EPR; however, retain original referral correspondence with the report.

Who Refers a Report? An evaluator whose ratings or comments cause an EPR to be a referral report or any evaluator who determines that the report should have been referred, may refer the report to the ratee. In the latter case, the subsequent evaluator refers the report on behalf of the previous evaluator.

Unlike normal EPRs which may not be seen by the ratee until they become a part of the formal record, referral EPRs must be shown to the ratee and the ratee must be given an opportunity to rebut the EPR before it becomes a matter of public record.

Procedures

RATER. If the referring evaluator, normally the rater, has written an EPR with ratings that make it a referral EPR, he must prepare a memorandum to accompany it. The memorandum is used to inform the ratee that the attached EPR is a referral EPR and to document acknowledgement and routing. One copy of the memorandum must be provided for each copy of the EPR. After the close-out date of the report, hand-deliver the memo and a copy of the report to the ratee and obtain the ratee’s signature and date to acknowledge receipt. The signature only verifies receipt of the memorandum on the date indicated; it does not signify agreement with the report or indicate whether or not the ratee will provide rebuttal remarks. The referral memorandum will instruct the ratee to provide any rebuttal comments to the person who wrote the EPR. Provide a copy of the signed memo to the ratee. The content of the referral memorandum is dictated by AFI 36-2406 and is shown below.

RATEE. The ratee may provide comments about the report to the evaluator named in the memorandum within 10 calendar days or as the evaluator named in the memorandum approves. Additionally, the ratee may ask the MPF career enhancement section to provide guidance in preparing rebuttal comments. The ratee may have another individual prepare comments on his or her behalf (such as an attorney). however, when this is done, the ratee must include a statement confirming the document is to be considered as the ratee’s response. This statement may appear somewhere on the rebuttal document or be attached as a separate statement. NOTE: If the ratee’s statement is provided as a separate attachment, it will be considered one of the 10 pages to which the rebuttal is restricted. Rebuttal comments are limited to 10 pages. These may not reflect on the character, conduct, integrity, or motives of an evaluator unless fully substantiated and documented. Any documents or attachments submitted become part of the report filed in the personnel record.

The ratee gives original rebuttal comments and any attachments to the evaluator named in the referral memo no later than 10 calendar days after receipt of the referral memo. The ratee may request more time from the evaluator named in the referral memo.

The ratee may choose not to comment on the referral EPR. Once the time limit has elapsed, the evaluator named in the memorandum completes the report and forwards it up the chain of command. Failure to provide comments does not prevent the ratee from appealing the report in accordance with AFI 36-2401 once the report becomes a matter of record.

RATER. Upon receipt of the ratee’s rebuttal, or when 10 days have elapsed, the evaluator completes the report. The Evaluator considers the ratee's comments, if provided, and prepares an endorsement to the report stating "I have carefully considered (ratee's name) comments to the referral memo of (date)." If comments were not received within 10 calendar days, endorse the report with the statement "Comments from the ratee were requested but were not received within the required period." and then forward the report to the next evaluator.

If the ratee chooses not to provide a rebuttal at the time of receipt, the evaluator endorses the report with the statement “Ratee elected not to provide comments to the referral memo of (date)”. The referring evaluator then forwards the original report and referral memorandum to the next higher evaluator for appropriate action.

Rater's RaterThe next higher evaluator then forwards the report to the Commander's staff. The commander completes the review and may comment on the report, using an AF Form 77. However, the additional rater or the reviewer, as applicable, is the individual named in the referral memorandum and will review the ratee’s comments. If the commander is normally the next evaluator on the report (i.e., the additional rater or reviewer), place comments in the appropriate section of the EPR and only use an AF Form 77 if additional space is needed.

MEMORANDUM FOR (NAME OF INDIVIDUAL)
                        (Ratee’s functional address)

FROM: Unit/OFFICE SYMBOL

SUBJECT: Referral Enlisted Performance Report

1.   I am referring the attached Enlisted Performance Report to you in accordance with AFI 36-2406, Military Performance Evaluations, paragraph 3.9. It contains comments and ratings that make the report a referral as defined in AFI 36-2406, paragraph 3.9. Specifically, my ratings of Does Not Meet Standards and comments in section III, items 2 and 6 pertaining to your failure to meet and enforce both weight and dress and appearance standards in yourself and your subordinates, causes this report to be referred.

2.   Acknowledge receipt of this correspondence by signing and dating in reproducible ink. Your signature on this memo merely acknowledges that a referral report has been rendered; it does not imply acceptance of or agreement with the ratings or comments on the report. Once signed, you are entitled to a copy of this memo. You may submit comments to rebut the report. Send your comments to (name and functional address/office symbol of next evaluator) not later than 10 calendar days from the date you receive this memo. If you need additional time, you may request an extension from the individual named above. You may submit attachments (limited to 10 pages), but they must directly relate to the reason the report was referred. Pertinent attachments not maintained elsewhere will remain attached to the report for file in your personnel record. Copies of previous reports, etc., submitted as attachments, will be removed from your rebuttal package prior to filing the referral report since these documents are already filed in your records. Your rebuttal comments and any attachments may not contain any reflection on the character, conduct, integrity, or motives of the evaluator unless you fully substantiate and document them. Contact the MPF career enhancement section if you require any assistance in preparing your reply to the referral report.

3.   It is important for you to be aware that receiving a referral report may affect your eligibility for other personnel related actions (i.e. assignments, promotion, etc.) I Recommend you consult your first sergeant, commander and/or MPF if you desire more information on this subject. If you believe this report is inaccurate, unjust, or unfairly prejudicial to your career, you may apply for a review of the report under AFI 36-2401, Correction of Officer and Enlisted Evaluation Reports, once the report becomes a matter of record as defined in AFI 36-2406, Attachment 1.

Signature of referring evaluator (the rater)
Chester S. Beenadict, SSgt, USAF
Flight Simulator Shift Supervisor

Attachment:
AF Form 910 (or 77 or 911, as appropriate) closing 31 Jan 09 (closing date of EPR)

CC: MSgt Rivers (Name of Next Evaluator/Rater's Rater)

1st Ind, Dennis L. Franko, SrA (Ratee's Name and Rank)

MEMORANDUM FOR: Lawrence J. Rivers, MSgt (Name and Functional address of next evaluator)
                              1977CDG/SCMM

Receipt acknowledged at _________________ (time), on ___________________ (date). I understand I have 10 calendar days to provide a response.

(RATEE's SIGNATURE)____________________________
Dennis L. Franko, SrA, USAF
123-45-6789 (SSN of ratee)

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