r
AIR FORCE BOARD FOR CORRECTION OF MILITARY RECORDS
RECORD OF PROCEEDINGS
IN THE MATTER OF:
DOCKET NUMBER: 93-01359
COUNSEL:
HEARING DESIRED: YES
APPLICANT REQUESTS THAT:
..
The Officer Effectiveness Report (OER) closing 15 June 1988 be
amended to reflect AF/XO indorsement or, that the report be
amended in such a manner to clearly show the document was
rendered under an illegal controlled indorsement system.
All Promotion Recommendation Forms (PRFs) written on him while
the OER closing 15 June 1988 was on file be deleted.
His nonselections for promotion to the grade of lieutenant
colonel by the CY89 and all later boards be declared null and
void.
His record be corrected to reflect selection for promotion to the
grade of lieutenant colonel in the promotion zone ( I P Z ) by the
CY89 lieutenant colonel board, and that he be awarded appropriate
back pay, other entitlements and additional relief as
appropriate.
APPLICANT CONTENDS THAT:
The contested report was prepared in violation of the governing
regulation when the' indorsement level was determined by promotion
eligibility rather than demonstrated job performance.
The
indorsement level was based on an illegal quota system imposed
within AF/XO.
This effectively \\tainted" this OER, the most
critical OER in his file as it was the \\last" OER received, and
it was near the top of his file when his record was considered
for award of a "Definitely Promote" recommendation as well as for
promotion at the C Y 8 9 (and later) lieutenant colonel boards.
The result of the illegal indorsement control system, which
tainted the contested OER, became a compounding error.
The
Promotion Recommendation process relies on the "Record of
Performance'' which is basically the officer' s "OER/OPR" file .
Therefore, as his record of performance was tainted, his senior
rater did not have an accurate performance file upon which to
base his recommendation, and the Management Level Evaluation
Board (MLEB) was similarly denied a record of performance from
93-01359
which to "quality review" his PRF and/or award any carry-over
"DPs . ''
His accomplishments in Joint Stars, including several combat
missions during Desert Storm, as well as his +ZOO0 hours flying
time were not seen by the boards.
His record was also not
complete a s not all of his professional military education (PME)
was included - PME completed in good faith both to demonstrate to
promotion boards his intent to improve himself and to enhance his
professional capabilities. Before the board, he had completed
Air War College (AWC) by seminar, a fact not reflected within his
record.
5
The promotion board and evaluation system board proceyes which
considered his record for promotion were contrary to statute, DOD
Directive, and Air Force regulation. Air Force promotion and
evaluation procedures not only denied him substantial rights
guaranteed by statute, DOD Directive, and regulation, but as a
result of these violations, he was never nonselected for
promotion by a legally convened board.
The MLEB (due to the procedures involved) effectively denied him
several safeguards guaranteed by statute, and the whole MLEB
process effectively usurps selection authority given specifically
to "Selection Boards" convened under the guidelines of 10 USC
Chapter 36.
An SSB would not be able to resolve hi& selection status for two
reasons: (1) as a result of the illegally convened, illegally
conducted board ( s ) , the benchmark records would not be
representative of the quality of the records at the "cut o f f "
point for the board(s) , and (2) the scoring system employed by
the Air Force is arbitrary and capricious as the "benchmark
records" do not reflect the "bottom scoring selectees and top
scoring nonselectees." Therefore, request the Board grant a full
measure of relief and correct his record to reflect selection f o r
promotion at the CY89 lieutenant colonel board.
In support of his request, applicant provided his 19-page
statement, and a statement from the senior rater reflected on the
PRF prepared for the CY89 lieutenant colonel board. (Exhibit A)
STATEMENT OF FACTS:
On 4 September 1973, applicant was appointed as second
lieutenant, Reserve of the Air Force, and voluntarily ordered to
extended active duty. He served on continuous active duty, was
integrated into the Regular component on 14 June 1977, and
progressively promoted to the grade of major.
A resume of applicant's OERs/OPRs follows:
2
.
.
93-01359
PERIOD CLOSING
OVERALL EVALUATION
13 Mar 74
15 Mar 75
5 Jan 76
4 Jun 76
28 Feb 77
31 Aug 77
10 Oct 78
8 Apr 79
22 Jun 79
23 Apr 80
23 Apr 81
23 Apr 82
23 Apr 83
20 Nov 83
2 Jul 84
2 Jul 85
2 Jul 86
15 Jun 87
15 Jun 88
25 Jan 89
6 Oct 89
1 Sep 90
23 Aug 91
23 Aug 92
*
#
* *
# #
***
# # #
* Contested report.
Assistant DCS/Plans and Operations.
..
Education/Training Report
Outstanding
1-1-2
1-1-1
2-2-2
Abbreviated Report
1-1-1
1-1-1
Education/Training Report
1-1-1
1-1-1
1-1-1
1-1-1
1-1-1
Education/Training Report
1-1-1
1-1-1
1-1-1
1-1-1
Meets Standards
Meets Standards
Meets Standards
Meets Standards
Meets Standards
The final indorser on the report was the
# - Top report on file when considered and nonselected for
promotion by the CY89 Central Lieutenant Colonel Board, which
convened on 15 May 1989.
* * - Top report on file when considered and nonselected for
promotion by the CY90 Lieutenant Colonel Board, which convened on
16 January 1990. Applicant was selected for initial continuation
by the CY90 Major Selective Continuation Board.
# # - Top report on file when considered and nonselected for
promotion by the CY91A Lieutenant Colonel
which convened
on 15 April 1991.
* * * - Top report on file when considered and nonselected for
promotion by the CY91B Lieutenant Colonel Board, which convened
on 2 December 1991.
Board,
# # # - Top report on file when considered and nonselected for
promotion by the CY92B Lieutenant Colonel Board, which convened
on 16 November 1992.
(Examiner's Note: Copies of the contested OER and the PRFs for
the CY89, CY90A, CY91A and CY91B lieutenant colonel boards are at
Exhibit B.)
3
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93-01359
On 31 March 1993, applicant was relieved from active duty and
retired effective 1 April 1993 under the provisions of AFR 35-7
(mandatory retirement on established date - maximum years of
service). He was credited with 20 years and 12 days of active
service for retirement.
8
AIR FORCE EVALUATION:
The Appeals and Analysis Branch, AFMPC/DPMAJA, reviewed this
application and recommended it be time-barred. If considered,
DPMAJA recommended denial for lack of merit. Their comments, in
part, follow.
Noting applicant's contention that he was denied a lieutenant
general indorsement to the contested OER by an illegal quota
system, DPMAJA stated the initiative incorporated into IMC 85-1
to AFR 36-10, effective 1 April 1985, was that indorsement level
deviations not be made solely to authorize indorsement by higher
level evaluators.
Not eliminated, however, were voluntary
escalations consistent with the best interests of the Air Force.
Even though the OER was forwarded to the office of the AF/XO, the
decision to sign or not sign, was the AF/XO's.
The individual who signed the statement provided with applicant's
appeal, stated he had made the decision, finally, to have the OER
indorsed by the AF/AXO. He doesn't state, however, that the
finality of that decision was his alone. In contrast, DPMAJA
finds it is only the applicant's personal opinion that it was not
the "agency head" who had made that choice.
Regulatory guidance was that the AF/XO could have indorsed the
OER himself, had it indorsed by his assistant, or returned it
without action.
That he ultimately decided not to sign the
report is not an error or injustice.
Additionally, the applicant cites that statement as clear
evidence the regulation was violated in the indorsement level
decision in his case since it was determined by promotion
eligibility rather than demonstrated j o b performance.
The
regulation specifically prohibits any numerical quotas or forced
distribution of ratings. Even so, the applicant attempts to
equate the optional final indorsement level with the term,
"rating," and thus lead the AFBCMR to the conclusion that a
senior officer's decision not to indorse a particular OER somehow
constitutes a regulatory violation.
If true, the inescapable
conclusion would be that the most senior officer in a ratee's
evaluation chain was somehow obligated to sign all reports
rendered on officers under h i s or her command.
Lastly,
regardless of what the applicant has said about the indorsement
level, it is not a rating. Ratings are those marks on the front
and back side of an OER as an evaluation of an officer's
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93-0 1359
performance and performance-based promotion potential. All of
the prohibitions concerning "quotas" or "forced distribution of
ratings" do not apply to optional indorsement levels. Thus,
applicant's arguments that the lack of an AF/XO indorsement
somehow constitutes a regulatory violation are fundamentally
flawed .
assertions relating to why he was
Regarding applicant's
nonselected are only his opinions. Violations, regulatory or
technical, are not in evidence. The documentation provided does
not constitute sufficient evidence to excuse those nonselections
or provide a basis for direct promotion to 1ieQtenant colonel.
In regard to applicant's allegations his records were incomplete
or in error regarding his PME and flying hours, senior service
school information has not been included in the OSB of majors
being considered for promotion to lieutenant colonel since 1987
and beyond. While he completed AWC prior to the board, evidence
of that fact would have been masked from his and every other
major's OSB. On that basis, he was not treated unfairly. His
2000 plus flying hours are listed on the OSB, but improperly. He
has not shown what actions, if any, were taken to effect a
correction.
The checks and balances of the PRF process help to ensure that
all eligibles receive equal opportunities for a DP rating. There
is no evidence to show that applicant didn't. He would have been
provided a copy of his PRFs approximately 30 days before each
board. Had he determined there was a problem with the PRFs, or
the recommendation provided, it has not been shown what action,
if any, was taken to effect a correction prior to each of the
respective boards. Those contemplating a change to an inaccurate
PRF are required to use the criteria outlined in AFR 36-10 and
the procedures outlined in AFR 31-11.
These procedures were
developed because it would be next to impossible to duplicate the
quality control process or competitive award process and scrutiny
to which the PRF had been subjected to originally. Thus, the Air
Force only requires certification from those involved in
preparing the original PRF to effect the correction. As such,
applicant's conclusion that correction of a PRF under AFR 31-11
is impossible, is clearly based only on his faulty premises-not
on facts.
Lacking evidence to the contrary, DPMAJA believes the senior
rater was totally familiar with the applicant's performance and
performance-based potential and that he had an in-depth
perspective of his accomplishments. Based on that knowledge, he
assigned the Promote recommendation.
In light of that same
knowledge, he was the best qualified advocate to support the
applicant at the MLEB for any possible aggregation or carryover
DP allocations.
DPMAJA found no evidence that, assuming an
indorsement by the AF/XO to the 15 June 1988 OER, the senior
rater would have provided a higher rating in the form of a DP.
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93-01359
DPMAJA noted applicant's discussion of how the general MLEB
process is a violation of 10 USC, Section 611. Applicant's
senior rater was a member of the MLEB which he faults and the one
most familiar with his performance and performance-based
As a MLEB member, his senior rater would have
potential.
represented him at that board. His officer selection record and
the completed PRF would have been reviewed along with similar
documents for all other officers assigned to that same senior
rater for aggregation or carryover DP allocations. Failing to
get a DP, he now questions the legality of this MLEB process but
without
technical violations.
Consequently, all his arguments in this regard are deemed to be
without merit. Nonetheless, the MLEB is not covered under 10 USC
611 and is not required to meet the selection board criteria
outlined therein.
regulatory or
proof
of
Regardless, the MLEB doesn' t "preselect" officers for promotion-
it simply reviews and evaluates the officer' s record of
performance (ROP) to provide performance-based differentiation to
assist central selection boards in identifying who is best
qualified for promotion, while ensuring officers receive
equitable consideration in the promotion recommendation process.
It also evaluates eligibles for aggregate and carryover DP
allocations and identifies and discusses with appropriate senior
raters those PRFs with recommendations which appear unsupported
by members' ROP.
In reference to applicant's claims that the process of the
central selection boards is not based on statutory requirements,
DPMAJA believes it's important to reflect on comments by
competent legal authority. "There is no provision of law which
specifically requires each promotion board to personally review
and score the record of each officer that is being considered by
the board ..." was noted by AF/JAG in its opinion addressing the
participation of selection board membership in the selection
process (copy attached).
The language in the above cited AF/JAG opinion denotes that
panels are a type of administrative subdivision of selection
boards. At the time the Defense Officer Personnel Management Act
(DOPMA) was enacted, the Congress was aware of the existence of
promotion board panels and their use as administrative
subdivisions of promotion selection boards and had no problem
with them. It was not the expectation of Congress that each
board member would review each and every record considered by the
board.
The Air Force has long used the panel concept in conducting
selection boards based primarily on the stiff competition
generated as a consequence of the number of eligibles. Such
large numbers require an equal distribution of the quality
spectrum of records among panels. Records are distributed to
panels in an order based on the reverse order of the individual
social security numbers. This is intended to ensure a random
6
93-01359
distribution of quality at each panel. Even then, the concept
has safeguards to ensure an equal distribution of the quality
spectrum of records to each panel.
Each panel's task is to align the records assigned to it in an
order of merit and break ties when the quota runs out at a score
category that has more records in it than the quota allows to be
promoted (commonly referred to as the gray zone) . When a panel
resolves its gray zone ties, it becomes aware of the lowest
selects and the highest nonselects on its order of merit and must
determine if the lowest select is fully qualified for promotion
as is required by law.
.
The panel understands all records scoring higher on its order of
merit than the lowest select are also selects. In essence, each
member is required to certify that the corporate board has
considered each record. This same logic applies to the follow-on
requirement that each board member certify that, in his/her
opinion, the recommended officers are the best qualified for
promotion.
One of the major responsibilities of the board president is to
review the orders of merit to ensure consistency of scoring and
quality among the panels. There has never been a requirement for
individual members to "carefully consider the record of each
officer whose name was before them."
Such a requirement is
levied only on the corporate board by the specific language of
Section 617c.
Applicant stated that a "secret" system called the "projected
order of merit" (POM) system "plays a major role in the selection
process." This is simply not a \\secret'' system. Board members
were provided an explanation of its use as a management tool to
assist the board president in his responsibility for quality
review.
The POM is a computer-based statistical analysis that predicted,
on the basis of past boards, how any given individual might be
scored on the current board.
If, in the board president's
opinion, any record so identified appeared out of place, quality-
wise, in comparison to other similarly scored records, he cbuld
send it to another panel for a revote and independent evaluation.
As a result of this process, all the board president is doing is
exercising his responsibility to ensure the scoring of records is
accomplished equitably.
As to applicant's claims that board members never see a selection
list, either from their panel or the board as a whole, before the
"board" is complete, DPMAJA stated such a statement is true only
in part, but that fact in and of itself is not considered a
violation of 10 USC 617 as alleged. The specific language of
section 617 speaks to the corporate board, not to individuals.
There is no requirement for each and every individual member to
7
93-0 1 3 59
carefully consider the record of each and every eligible. This
requirement is on the corporate board.
The applicant claims he should now receive a direct promotion to
lieutenant colonel on the premise he has been denied "fair and
equitable considerations" and an SSB is unable to resolve his
plight.
The reasoning he provides for his nonselections
constitutes mere conjecture on his part since the exact reasons
for a selection or nonselection are usually not readily apparent.
By law, selections must be based on a "best qualified" basis
after applying the complete promotion criteria. This results in
extremely keen competition among the eligibles but, because of
Congressional constraints, not all can be selected.
The complete evaluation is at Exhibit C.
APPLICANT'S REVIEW OF A I R FORCE EVALUATION:
Applicant reiterated the contentions contained in his initial
appeal.
He disagreed with the advisory opinion and offered
comments addressing specific issues in the advisory opinion.
Applicant provided statements from the rater and additional rater
on the report in question as evidence that the report was
prepared using rules which specifically violated AFR 36-10. He
stated, as such, this report is clearly flawed and correction
must be made.
Therefore, he requests the board correct the
report to reflect AF/XO indorsement.
Regarding the OER, applicant stated the evidence gleaned from his
additional rater, which states this report was rendered in
violation of regulation, proves this report should be corrected
completely or at minimum should be removed from his file. Review
of the "spin off" issue and evidence surrounding the PRF itself
(to include the process) also provides clear and convincing proof
of error or injustice. Although AFMPC would have the board apply
a legally impermissible standard of review of this evidence, the
evidence is indeed compelling and clearly provides substantial
proof of error and injustice.
Therefore, request the board
correct the injustice in his record and upgrade the PRF to a
"DP . I'
As to the Air Force selection board procedures, applicant stated
the evidence, particularly the evidence not disputed by AFMPC,
clearly shows the "plain language" of statute, directive and
regulation were violated by Air Force conduct of the selection
boards that considered his record. For these reasons, request
the Board remove and/or set aside the unjust nonselections he
received by the selection boards that considered his record.
Regarding the promotion denied him due to defective records and
defective board proceedings, he believes the evidence is again
8
93-01359
clear, that without the aberrations in record and proceedings, he
would have been promoted by these selection boards. He further
believes the evidence is clear an SSB cannot provide him full and
fitting relief both due to the error(s) in record, but also due
to the error(s) in procedures of the original board (compounded
by the arbitrary and capricious scoring procedures used by SSBs).
Therefore, he requests the AFBCMR correct his record- to reflect
selection for promotion to lieutenant colonel in the promotion
zone.
Applicant provided additional comments with respect to the
timeliness of his appeal.
1
Applicant's 24-page response, with attachments, is at Exhibit E.
ADDITIONAL AIR FORCE EVALUATION:
The Evaluation Procedures Section, AFMPC/DPMAJEP, reviewed this
application and recommended denial, stating the applicant has not
provided substantiated proof of the allegation that he was
illegally denied the AF/XO indorsement. The lack of an AF/XO
indorsement is not a violation of regulatory provisions or action
that would cause the OER to be flawed. In accordance with AFR
36-10, para 2-23a(2), DPMAJEP found no illegal action in which
the AF/XO took to deny the applicant an AF/XO indorsement.
(Exhibit F)
The Senior Attorney-Advisor, AFMCP/JA, reviewed this application
and recommended it be time-barred under the traditional rules
found in 10 USC 1552 and AFR 31-3, and that it is also stale
under the doctrine of laches. Their comments, in part, follow.
Applicant first maintains that his OER was "closed out" below
AF/XO (three star) level by the wrong individual; L e . , by
regulation, only the AF/XO himself, as the agency head, could
determine whether to indorse the report or send the report back
without action (AFR 36-10, para 2-23a (2) ) . Applicant relies for
this conclusion on the statement in the letter from Major General
W--- [the senior rater] that "I made the decision, finally, to
have your OER closed out by the AXO." In JA's opinion, applicant
has both misinterpreted the cited paragraph and misstated the
facts relevant to the situation. The subparagraph cited above is
one of several examples illustrating the point of the main
paragraph that rating chains are flexible and can be modified to
fit the needs of the particular unit. The subparagraph cited
above represents but an example "where this flexibility may be
exercised" (emphasis added). It certainly does not constitute a
binding requirement.
In any case, JA agrees with DPMAJEP
(Exhibit F) that the evidence submitted by applicant does not
even prove a deviation from the structure contemplated by the
subparagraph.
The additional rater's letter included in
applicant's package states that when he talked with AF/XOO about
9
93-0 1 3 59
the applicant's OER, the latter concurred with his recommendation
for an AF/XO indorsement "and indicated he would discuss this
with General D---."
Consequently, it is J A ' s opinion that the
greater weight of evidence available indicates that the staff
agency head ( A F / X O ) , at a minimum, was consulted, and that he
concurred in the action taken by AF/XOO.
Applicant first maintains that his OER was "closed o u t" below
AF/XO (three star) level by the wrong individual; Le., by
regulation, only the AF/XO himself, as the agency head, could
determine whether to indorse the report or send the report back
without action (AFR 36-10, para, 2-23a (2) ) . --He relies f o r this
conclusion on the statement in the letter from (Ret) Ma] Gen W---
that "I made the decision, finally, to have your OER closed out
by the AXO." The governing regulation at the time, AFR 36-10
(dated 2 5 Oct 8 2 ) , at para 2-23a(2) , provided:
A report is sent to a wing commander or a
( 2 )
headquarters staff agency head for endorsement. The wing
commander or staff agency head may indorse the report,
have their vice commander or deputy indorse the report,
send the report back without action allowing the previous
evaluator to be the final indorser ....
In JA's opinion, applicant has both misinterpreted this paragraph
and misstated the facts relevant to the situation.
The
subparagraph quoted above is one of several examples illustrating
the point of the main paragraph that rating chains are flexible
and can be modified to fit the needs of the particular unit. The
subparagraph quoted above represents but an example "where this
flexibility may be exercised" (emphasis added). It certainly
does not constitute a binding requirement.
In any case, JA
agrees with DPMAJEP that the evidence submitted by applicant does
not even prove a deviation from the structure contemplated by the
subparagraph.
The additional rater's letter included in
applicant's package states that when he talked with AF/XOO about
the applicant's OER, the latter concurred with his recommendation
for an AF/XO endorsement "and indicated he would discuss this
Consequently, it is JA's opinion that the
with General D---.'I
greater weight of evidence available indicates that the staff
agency head here (AF/XO), at a minimum, was consulted, and that
he concurred in the action taken by AF/XOO.
Applicant next contends that "promotion eligibility" was
improperly used as a criterion to deny applicant an AF/XO
endorsement f o r his OER. He cites the former XOO's statement
that the "guidance we were working with prior to the new system
coming in was to throttle back and use the three and four star
signatures for fast burners and 'saves' only," as proof that
promotion eligibility formed the basis for the decision to change
the endorsement level for his own OER from that recommended by
his immediate supervisors.
He neglected to quote the next
sentence from the former XOO's letter that "we had not gotten
that 'pure' at the time your (applicant's) OER was prepared, but
10
.
93-0 1359
we were well on our way." In truth, applicant has provided no
convincing evidence that his OER was denied an endorsement in
favor of anyone less deserving. The other letters solicited by
applicant suggest that a cutback in the number of top level
endorsements began to occur, but more along the lines of the
soon-to-be-implemented OES; there are no indications that in-the-
zone candidates were being sacrificed to accommodate--either APZ
or BPZ numbers. Thus, such action would not violate AFR 36-10,
Atch 1, para 6d (formerly para 1-7b, but redesignated by IMC 84-
2), cited by the applicant.
And the reported XO policy to
constrain the issuance of the highest endorsement levels did not,
in JA's opinion, violate any other provisions-. of the regulation
either. The evidence offered by applicant does not prove the
establishment of any quotas or rating distributions within XO
that would have violated para 3-le of the regulation. Finally,
JA noted that although the applicant's rater and additional rater
may have desired an AF/XO endorsement for applicant-having
"targeted" or "forecasted" such a result-that recommendation, in
the end, was obviously not adopted by those responsible for the
decision. The disappointment that would naturally follow such a
result, however, does not equate to error or injustice.
Having found no error occurred with regard to applicant's 1988
OER, JA likewise discerned no error in the applicant s Promotion
Recommendation Forms (PRFS) that followed. Even if one were to
assume arguendo that applicant's challenged OER contained an
erroneous promotion endorsement, it would not follow that
applicant's failure to subsequently receive a "definitely
promote" (DP) PRF was based on that OER endorsement. Such an
argument constitutes speculation at best.
Noting applicant's arguments concerning the PRF appeal process,
JA stated the senior rater is clearly an inextricable part of any
PRF appeal process because a PRF has no effect or existence
without the senior rater-the PRF's author. The regulation does
not require the senior rater to compare the applicant's revised
PRF with other records; rather, that individual is the person who
must verify the inaccuracy of the original form and the accuracy
of any proposed correction. Again, that must be an absolute
prerequisite to correction as the form cannot exist without the
senior rater. The MLEB President, on the other hand, is required
by regulation to "certify that compared to other records reviewed
during the evaluation process, your record would have been
competitive for the revised PRF assessment if the circumstances
which caused the original PRF assessment had not existed." It is
true that records of performance are not necessarily maintained
so as to be available to an MLEB president who might be asked to
JA disagrees with the applicant,
make such a comparison.
however, that this fact renders a meaningful comparison
impossible. In their view, the regulation provision does not
prescribe a literal requirement to compare actual record of
performance files. Rather, it is a requirement that the MLEB
president, utilizing the maturity and experience that goes with
this position, compare an applicant's record against the general
*
93-0 1359
standard by which records of performance in that particular
organization at that time would have qualified for an upwardly
revised recommendation. While they would never hold an MLEB
president to a requirement to remember every record considered by
a previous board, they do not believe it to be impossible or
unreasonable to expect that an MLEB president will be able to
recall and identify the general standard of excellence that
records falling into a particular category (e.g., "Definitely
This is the
promote") met or represented at that time.
comparison that is called for in the regulation, and they believe
it to be a reasonable requirement to support a change in the
promotion recommendation.
Applicant is also confused and incorrect as to his conclusions
that the AFR 31-11 requirement exceeds the standard of proof
required by 10 U.S.C. 1552 and is illegal.
First, he
misconstrues the meanings of the two standards of proof he cites
when he states that the requirement for senior rater or MLEB
president statements "clearly exceed (sic) the standard of proof
required by 10 U.S.C. 1552; i.e., a preponderance of evidence,
not substantial proof." In the first place, 10 U . S . C . 1552 does
not itself provide any standard for proving an error or
injustice. The case law, however, makes clear that a request for
correction must be supported by substantial evidence (not
preponderance of the evidence). See e . g . , B l a c k w e l l v. Marsh,
D.C. GA. 574 F.Supp. 210 (1982); S a n d e r s v. U n i t e d S t a t e s , 594
F.2d 804, 812
After citing the definition of
"substantial evidence" according to Black's Law Dictionary, JA
stated the standard to support an action pursuant to either AFR
31-3 or AFR 31-11 is not improper or unreasonably onerous. On
the contrary, it gives an applicant the benefit of any doubt.
(1978).
Applicant argues further, however, that the standard of proof
required to specifically change a PRF constitutes a "but for"
test "declared in S a n d e r s v. U . S . as inappropriate for service
correction boards.
At the outset, applicant offers no citation
to the case cited. JA presumes he is relying upon S a n d e r s v.
U . S . , 594 F.2d 804, 219 Ct.Cl. 2 8 5 (1979), a case cited above and
which has been cited to the BCMR on numerous occasions for
various propositions, and which indeed discusses the use of a
"but for" test by correction boards. Applicant's reliance on the
court's conclusion in this case, however, is totally misplaced.
In a superficial and erroneous treatment of the issue taken out
of context, he seeks to apply a court's conclusion made as to a
Correction Board's treatment of an acknowledged error(s) in the
promotion board process and apply it to determinations of
promotion r e c o m m e n d a t i o n s (in the first instance) and appeals of
those PRFs within an internal Air Force appeals process (in the
In S a n d e r s , the problem was one of remedy-whether
second).
a d m i t t e d l y e r r o n e o u s OERs contributed to nonselection and the
officer's ultimate separation. T h e Court rejected the BCMR'S
test that an applicant must show he would have been selected for
promotion "but for" the erroneous report(s), and that the
regulations require only a showing of "probable material error or
12
93-0 1359
injustice." In S a n d e r s , the court said the real error was that
the BCMR acted as a "super promotion board" rather than
correcting the error, effectively usurping the function of a
promotion board. In applicant's case, we are not dealing with a
standard to be applied in obtaining correction board relief, nor
are we talking about the effect of an acknowledged error on the
promotion process. On the contrary, the issue here- is whether
any error has occurred within an internal Air Force promotion
recommendation procedure (unlike S a n d e r s , applicant has not
proven the existence of any error requiring correction), wherein,
as noted above, by design, the final promotion recommendation
(DP, P, DNP) cannot exist without the concurrehce of the officers
who authored and approved it. In short, the Court's analysis in
S a n d e r s simply does not apply to this situation.
Finally, JA urges the AFBCMR to adopt the Air Force regulatory
requirements for assessing any correction to a PRF. First, to do
so would recognize that the award of a PRF is part of an
evaluation process that is a totally internal Air F o r c e
administrative procedure which is not governed by statute or DOD
Directive. As such, the Air Force, through its regulations, is
in the best position to define the policy and requirements
applicable to the system. Second, as alluded to above, due to
the necessarily subjective nature of the PRF, the BCMR has no
objective criteria upon which it could determine the
appropriateness of a recommendation.
Indeed, because
determination of an ultimate recommendation depends upon the
personal knowledge of the individuals in the PRF process and not
upon retained records, JA believes the BCMR is not in the
position to independently determine a promotion recommendation;
reliance on the senior rater and MLEB president per the
regulation is the best and only practical means to permit a PRF
correction.
Applicant next claims that the PRF process is contrary to statute
because the MLEB acts as a de facto promotion board. In drawing
that conclusion, applicant relies upon statistics that show that
close to 100% of the officers who have received definitely
promote (DP) promotion recommendations have been selected for
promotion. He maintains that these quotas effectively "fill"
two-thirds of the promotion quota through the award of DPs. The
very high rates of selection f o r promotion of officers with DP
recommendations was fully expected and consistent with the aims
of the officer evaluation program. Moreover, the OES program
fully comports with the law and governing regulations. Officers
receiving DPs are indeed those whom the system has identified as
having the greatest promotion potential.
When the officer
evaluation system was developed, the Air Force expected a high
correlation (approaching 100%) between r r D P ~ ' l and promotion
selection because of the emphasis placed on performance.
Consequently, those receiving DP recommendations should be the
most qualified officers for promotion at the central promotion
board.
13
1
93-01359
The officer evaluation system is just that-a system of evaluation
and not one of ultimate selection for promotion.
It is the
function of the OES to assist central selection boards to carry
out their statutory duties and not to preempt or replace that
process .
Applicant's argument that officers receiving DP
recommendations constitutes a pre-selection of these officers,
thereby effectively usurping the selection board statutory
authority, ignores reality and is, in JA's
view, totally
unsubstantiated. Senior raters, MLEBs, and "aggregate" boards
are all part of the Air Force's evaluation system designed once
again to a s s i s t in the promotion process. Certainly critical to
the applicant's argument is his inescapable conclusion that
selection boards are necessarily ignoring their statutory
obligation to fully consider the records of all candidates and
thereafter exercise their independent authority to select only
the best qualified. The AFBCMR should not, in the absence of
proof, entertain such a notion. It is an axiomatic principle of
administrative law that federal officials charged with official
duties are presumed to carry out those responsibilities according
to law; i.e., a presumption of regularity, in the absence of
See Sanders v . U . S . , supra, at 302
proof to the contrary.
(1979). That the Air Force has devised an additional tool (the
PRF) to assist in differentiating officers' performance and
potential in no way alters the selection boards' statutory
obligation with respect to reviewing records in the selection
process. Selection boards are instructed that they are to make
the selections for promotion; P R F s are aids in that process and
nothing more.
To suggest, as applicant does, that selection
boards only compare the "promote" records with one another after
having "rubber stamped" the selection of all definitely promote
candidates assumes a total abandonment of their responsibilities
by board members.
In the absence of proof of such serious
charges, JA presumes that selection boards have followed their
instructions and performed their duties in the prescribed manner.
Contrary to the applicant's implications, an MLEB does not
determine who will receive particular promotion recommendations.
Rather, the MLEB determines only DP allocations. An officer's
senior rater still must apply the allocations and ultimately
decide which officers receive which recommendations or are
submitted for "aggregation" (see AFR 36-10, Chap 4).
Applicant's argument that MLEBs are flawed because they fail to
incorporate the safeguards required for Section 611 (a) boards is
totally without merit. Indeed, promotion selection boards a r e
controlled by Title 10. On the other hand, MLEBs are part of the
Air Force's internal e v a l u a t i o n system, one of the key purposes
of which is "to provide selection boards with sound information
to assist them in selecting the best qualified officers'' ( A F R 36-
10, para 1-2). It is n o t p a r t of the promotion selection process
itself.
As a consequence, Title 10 requirements do not-and
s h o u l d not-apply to MLEBs or any other aspects of the OES. To
require otherwise would suggest that OES is not an evaluation
process, as it is, but merely a part of the promotion process.
14
Applicant avers that promotion selection boards in the Air Force
are contrary to Air Force regulation, DOD Directives and statute.
He begins with an argument that Air Force promotion boards
violate 10 U.S.C. 616 and 617. Specifically, he argues that
promotion board panels operate independently of one another,
thereby rendering as impossible the promotion recorn-endation by
"a majority of the members of the board" mandated by 10 USC 616
o r the resulting certification required by 10 U.S.C. 617. There
is no provision of law that specifically requires each member of
a promotion board to personally review and score the record of
each officer being considered by the board:
The House Armed
Services Committee Report (97-141) that accompanied the Defense
Officer Personnel Management Act (DOPMA) Technical Corrections
Act ( P . L . 97-22) specifically references panels as a type of
administrative subdivision of selection boards. Consequently, it
is clear that at the time DOPMA was enacted, Congress was
certainly aware of the existence of promotion board panels and
expressed no problem with them. Furthermore, the language of 10
U.S.C. 626(a) and (c) (the recommendation for promotion of
officers by selection boards) not just 617 (a) (the certification
by a majority of the members of the board), speaks to the
corporate board and not to individual members. In essence, a
majority of the board must recommend an officer for promotion and
each member is required to certify that the corporate board has
considered each record, and that the board members, in their
opinion, have recommended those officers who "are best qualified
for promotion." The members are not required to reach this point
through an individual examination of every record, although they
may do so. Rather, based on their overall participation in the
board's deliberations, and the fact that the process involves the
random assignment of personnel files to panels and procedures to
insure that the range of scores each panel reports are
essentially identical, the members are in a position to honestly
certify that the process in which they participated properly
identified, based on the record before them, those officers who
were best qualified for promotion.
In JA's opinion, that is
enough to assure compliance with a11 the statutory requirements.
Notwithstanding this analysis above, applicant continues to
maintain that the requirements of statute cannot be met by Air
Force selection board procedures. He insists that only some
other methodology could provide the requisite compliance.
Specifically, he refuses to acknowledge that panels-as used by
the Air Force-can legally coexist with the provisions of sections
616 and 617. As he has stated over and over again, both of those
sections require that members be recommended for promotion by a
majority of the members of t h e board. The Air Force process, as
The report of the
described above, meets t h i s requirement.
selection board, signed by all of the voting members of the
board, constitutes the required recommendation. While JA agrees
that the Air Force methodology differs from the other services
and that it might seem unorthodox, being different and unique
does not make it illegal. The bottom line is that it does meet
15
93-01359
the statutory mandates. And the applicant has failed to prove
otherwise.
Applicant's reliance as to the supposed condemnation of Air Force
promotion procedures by the Senate Armed Services Committee is
just plain wrong. He has chosen to ignore in his discussion the
Committee's specific findings that "[tlhe OSD review did not f i n d
... systemic problems with respect to selection for grades 0-6
and below . . .
Senate Armed Services Committee, 102d Cong. 1st
Sess. T h e Conduct of Proceedings €or the Selection of O f f i c e r s
for Promotion in The U.S. A i r F o r c e , S.Rep. NO. 102-54, p.15.
Applicant also contends that the failure of the Air Force to
implement for field grade promotion boards DOD Directives
regarding the role of the board president until 1992 "had a
deleterious affect (sic) on the promotion boards which considered
me for lieutenant colonel." This is clearly erroneous; the Air
Force was in compliance with the referenced DOD requirements.
Nor can the applicant show how the failure of the Air Force to
revise its regulation until 1992 might have specifically
prejudiced him. The applicant has offered no proof that the
presidents of any Air Force selection boards acted contrary to
law or regulation. In fact, none of the duties prescribed for
board presidents in the Air Force system involve any actions that
would improperly constrain the board as suggested by the
applicant.
\
As to his next argument regarding reliance by the selection board
on a computer "Tilt" model (the POM), applicant has offered
absolutely no evidence to support his theory, nor has he
established any evidence of any wrongdoing by anyone, and he
certainly has made no showing of how he might have personally
been prejudiced by the alleged conduct. AFMPC has previously
acknowledged that computerized products were sometimes used in
the past as a management tool to assist the board president in
performing his responsibility to insure consistency in scoring
among panels.
The decision to recommend or not recommend
individuals for promotion, however, has always been one of the
promotion board members; such decisions were never subordinated
to a computer model.
In JA's opinion, applicant's argument that the Air Force ,
promotion board was illegal because the Air Force convened a
single board consisting of panels rather than convening separate
boards as required by the DOD Directive 1320.9 (later replaced by
1320.12) is without merit. It is clear that the directive's
purpose in requiring separate boards for each competitive
category is to insure that these officers compete only against
others in the same competitive category-to assure fairness and
compliance with Title 10, Chapter 36 (particularly Section 621
requirements). In truth, nomenclature notwithstanding, the Air
Force's competitive category panels, which are convened
concurrently as permitted by the Directive, fully accomplish this
stated purpose; i.e., members of each competitive category
16
93-0 1359
compete within their respective panel only against other officers
of that same category. Thus, as a practical matter, the panels
operate as separate boards for purposes of the DOD Directive.
More importantly, they f u l f i l l a l l the requisite statutory and
regulatory requirements.
Noting applicant's claims that his nonselection - cannot be
remedied by special selection board (SSB) consideration, JA
stated the Air Force's SSB procedure fully comports with the 10
USC 628 (a) (2) requirement that an officer's "record be compared
with a sampling of the records of those officers of the same
competitive category who were recommended Eor promotion, and
those officers who were not recommended for promotion, by the
board that should have considered him." The burden is on the
applicant to prove otherwise, and he has failed to do so.
As to the request for direct promotion, both Congress and DOD
have made clear their intent that errors ultimately affecting
promotion should be resolved through the use of special selection
boards. (See 10 USC 628 (b) and DOD Directive 1320.11, para D.I.)
Air Force policy mirrors that (AFR 36-89, para 33a).
The complete evaluation is at Exhibit G.
APPLICANT'S REVIEW OF ADDITIONAL AIR FORCE EVALUATION:
Counsel took exception to comments contained in the AFMPC/JA
advisory and provided comments addressing what he believes were
unwarranted and inappropriate comments.
Counsel's 13-page response, with attachment, is at Exhibit I.
In his response, applicant provided comments addressing the
timeliness of his appeal and requested that the AFBCMR consider
his case based on merits and not reject the petition based upon
the faulty advise of AFMPC/JA.
As stated in his initial petition and rebuttal, he had over 2,000
flying hours which were never reflected on his brief or at the
MLEB (at MLEBs before 1992, TAC illegally provided MLEBs with
flying hours) which was not reflected in his record. The AFMPC
opinions contain no further comments on this issue.
In the summary section of his response, applicant asks the Board
to consider the evidence presented in his position. He believes
the evidence proves the contested OER was prepared in direct
violation of AFR 36-10. Specifically, the indorsement level of
the report was limited by an illegal indorsement quota. The
basis for determining the level of indorsement on this report was
illegal consideration of promotion eligibility, and the agency
head, AF/XO, was denied the opportunity to even review this
The evidence proves this
report as required by regulation.
17
93-0 1359
b
tainted report later flawed his record of performance used in the
promotion recommendation process and later at the central
promotion board. To correct this error completely, he requests
that the board upgrade the indorsement level of this report to
reflect AF/XO indorsement - the indorsement level recommended by
his rater and additional rater and only denied illegally by his
director, Major General W- - - I whose indorsement decision was
clearly based upon considerations prohibited by AFR 36-10.
The evidence also proves both the management boards and central
promotion boards which considered his file were in violation of
statute and directive. As a result of these errors, he was
systematically denied the due process requieed by statute and
directive. These violations of law and directive (coupled with
unjust procedures used within the SSB process itself) preclude
any relook board from providing him full and fitting relief.
Therefore, he asks the board to grant a full measure of relief
and correct his record to reflect selection for lieutenant
colonel as if selected in the promotion zone by the CY89
lieutenant colonel board, to include restoration of all rank,
benefits, entitlements, and other relief appropriate to provide
him full and fitting relief consistent with law.
Applicant's 19-page response, with attachments, is at Exhibit J.
THE BOARD CONCLUDES THAT:
The applicant has exhausted all remedies provided by existing
1.
law or regulations.
2. The application was timely filed.
3. Insufficient relevant evidence has been presented to
demonstrate the existence of probable error or injustice. After
reviewing the evidence of record, we are not persuaded that the
contested OER and PRF were rendered in error or are unjust.
Applicant's contentions are duly noted; however, in our opinion,
the detailed comments provided by the appropriate Air Force
offices more than adequately address these issues. We find the
applicant's assertions, in and by themselves, are not
sufficiently persuasive to override the rationale provided by the
Air Force. Therefore, we agree with the recommendation of the
Air Force and adopt the rationale expressed as the basis f o r our
conclusion that the applicant failed to sustain his burden of
establishing the existence of either an error or injustice. In
view of the above findings, we find no basis upon which to
recommend favorable consideration of his requests.
18
93-0 1359
4. The applicant's case is adequately documented and it has not
been shown that a personal appearance with or without counsel
will materially add to our understanding of the issue(s)
involved. Therefore, the request for a hearing is not favorably
considered.
-
THE BOARD DETERMINES THAT:
The applicant be notified that the evidence presented did not
demonstrate the existence of probable material error or
injustice; that the application was denied without a personal
appearance; and that the application will only be reconsidered
upon the submission of newly discovered relevant evidence not
considered with this application.
The following members of the Board considered this application in
Executive Session on 15 December 1997, under the provisions of
AFI 36-2603:
Mr. Charles E. Bennett, Panel Chair
Mr. John L. Robuck, Member
Mr. Gregory H. Petkoff , Member
The following documentary evidence was considered:
Exhibit A. DD Form 149, dated 16 Oct 92.
Exhibit B.
Exhibit C.
Exhibit D.
Exhibit E.
Applicant's Master Personnel Records.
Letter, AFMPC/DPMAJA, dated 30 Apr 93.
Letter, AFBCMR, dated 27 May 93.
Applicant's Response, dated 12 Sep 93, w/atchs.
%HARLES
E. BENNETT
Panel Chair
19
By letter of amendment, dated 1 July 1994, applicant requested that the Officer Effectiveness Reports (OERs) closing 2 August 1975, 29 February 1976, and 28 February 1977, be removed from his records and that he be given consideration for promotion to the grade of lieutenant colonel by Special Selection Board. We found no basis to recommend that applicant be reconsidered for promotion based on the issues cited in his requests pertaining to the OERs closing 2 August 1975 and 29 February...
The Air Force officer promotion boards which considered his records for promotion were held in violation of statute, DoD Directive and Air Force regulations. DPPPA indicated that if the Board should grant the applicant’s request to receive SSB consideration by the CY93A central selection board, with a corrected Apr 93 OPR and CY93A (P0593A) PRF, the “corrected by” annotations on those reports (and any other corrected documents in his OSR) will be removed. In this respect, we note the...
AF | BCMR | CY1999 | BC-1995-00115
The Air Force officer promotion boards which considered his records for promotion were held in violation of statute, DoD Directive and Air Force regulations. DPPPA indicated that if the Board should grant the applicant’s request to receive SSB consideration by the CY93A central selection board, with a corrected Apr 93 OPR and CY93A (P0593A) PRF, the “corrected by” annotations on those reports (and any other corrected documents in his OSR) will be removed. In this respect, we note the...
RECORD OF PROCEEDINGS AIR FORCE BOARD FOR CORRECTION OF MILITARY RECORDS IN THE MATTER OF: DOCKET NUMBER: 94-03771 INDEX CODE: 131.00 COUNSEL: NEIL B. KABATCHNICK HEARING DESIRED: YES _________________________________________________________________ APPLICANT REQUESTS THAT: The Promotion Recommendation (PRF), AF Form 709, prepared for consideration by the CY91B Lieutenant Colonel Board, which convened on 2 Dec 91, be replaced with a reaccomplished PRF containing an Overall Recommendation of...
AF | BCMR | CY1999 | BC-1994-03771
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The applicant received a "Promote" recommendation on his Promotion Recommendation Form (PRF) for the CY92C Central Major Board. In JA's opinion, applicant's argument that the Air Force promotion board was illegal because the Air Force convened a single board consisting of panels rather than convening separate boards as required by the DOD Directive is without merit. 628(a) (2) requirement that an officer's "record be compared with a sampling of the records of those officers of the same...
According to DPPPEB, there was no evidence presented to support the allegations of "illegal" information being considered in the PRF process. Also, there was no official evidence presented to support allegations of '\special" promote recommendations being used to identify officers who should be selected for promotion by the Central Selection Board. APPLICANT'S REVIEW OF AIR FORCE EVALUATION: In his response, the applicant indicated that the evidence proves that his PRF was based on an...
JA stated that there is no provision of law that specifically requires each member of a promotion board to personally review and score the record of each officer being considered by the It 8 AFBCMR 95-00486 4 board. 12 AFBCMR 95-00486 He stated that the Board can see the errors in the Air Force process are certainly 'directly related to the purpose and functioning of selection boards" - the failure to allow a majority of the members of the board to find each and all officer(s) recommended...
The revised Promotion Recommendation Form (PRF) for the CY96C Central Lieutenant Colonel Selection Board (P0596C), with a "Definitely Promote" recommendation, be accepted for file. DPPPEB stated that the applicant had a PRF for the CY94 Lieutenant Colonel Board upgraded to a 'DP" based upon the addition of new information to his record (OPR content change, duty title change and Air Force Commendation Medal updated). Based on the assessments provided by HQ AFPC/DPAISl and HQ AFPC/DPPPEB and...
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However, he was not selected to the grade of colonel. _________________________________________________________________ AIR FORCE EVALUATION: HQ AFPC/DPPPEB notes the applicant has not provided a new PRF with supportive documentation from the senior rater and management level evaluation board as required. Also, to suggest that the policy prevented him from being promoted is not warranted as other AFIT attendees, who received training reports, have been promoted to the grade of colonel.