RECORD OF PROCEEDINGS
AIR FORCE BOARD FOR CORRECTION OF MILITARY RECORDS
IN THE MATTER OF: DOCKET NUMBER: 98-00565
COUNSEL: NONE
HEARING DESIRED: YES
APPLICANT REQUESTS THAT:
1. The Officer Performance Report (OPR) rendered for the period 31
August 1996 through 28 February 1997 be removed from his records.
2. The Letter of Reprimand, dated 1 May 1997, be removed from his
records.
3. All derogatory remarks be removed from his records.
4. He be promoted to the grade of lieutenant colonel effective 16 April
1996, the date of his state promotion order.
APPLICANT CONTENDS THAT:
He was unjustly reprimanded based on malicious rumor and hearsay; the Air
National Guard (ANG) failed to follow procedures in HOI 36-001; and delays
in the investigation prejudiced his defense. As a result, he received the
contested report which is an inaccurate assessment of his performance
during the contested period.
The applicant states that the Equal Opportunity and Treatment (EOT)
representative and management failed to react within a reasonable allotted
time which caused escalation to a formal investigation. The investigation
took over eleven months to complete and the ANG leadership took an
additional 10 months to make a decision. These delays denied him a fair
and expeditious investigation. He was never interviewed by the EOT
representative in accordance with HOI 36-001, Section 7b(1) and the ANG
leadership prematurely overreacted by escalating to a formal investigation
prior to completing the HOI 36-001 process. As a result, he was denied the
opportunity to resolve the issue at the lowest level. During the formal
investigation there was evidence that many coworkers who could have and
would have provided a good report on his behalf, were not interviewed.
There was also evidence the investigators were biased in their interviewing
process and that a favorable report from an interviewee was deliberately
excluded from the report. The applicant believes he and the only other
Hispanic officer working in the Financial Management Directorate were
singled out as targets and discriminated against because of their ethnic
background. The true motive for the complaint was that the complainant
feared she was not going to be promoted because she had not completed her 7-
level training, so she lashed out toward leadership with a barrage of
unfounded and false accusations.
The applicant states that at the same time he was being charged with these
allegations, he received the Meritorious Service Medal (MSM) for
outstanding performance and his records reflect 17 outstanding evaluation
reports
In support of the appeal, applicant provides several statements in his
behalf.
The Vice Commander, Air National Guard Readiness Center (ANGRC) states that
HOI 36-001 procedures were not followed and resolution of the case could
have been achieved if the process was completed.
The applicant’s supervisor (Col W---) states that throughout the
investigation there were many flaws that would seemingly cause a reasonable
person to question the fairness of the outcome. All interviews were taped
and transcribed by the investigating board, rather than a professional
transcriber. Because of this, his testimony was difficult to decipher and
was not clear in his meaning and intent. By the time he finished reading
his statement, he found it necessary to add a handwritten statement re-
emphasizing his true intent and meaning. In addition, the makeup of the
investigating board appeared to lend itself to a bias position from the
start, being made up of a white female, Lt Col, a black female, NCO, and a
black civilian representative. Furthermore, a colonel advised him that he
was led and persuaded in answering questions by the investigating officer,
and that if all questions by the investigating officer were conducted in
the same bias fashion, the applicant could not receive fair treatment.
Actions substantiated on the summary report were misrepresented by the
facts, and as such, he has acquired new statements from appropriate
individuals clarifying what was really said and occurred, in the event he
would need them in the future.
The Chief of DOX (Col M---) has provided statements indicating that he
never observed the applicant have any negative attitude towards anyone. In
addition, he states that when he was called for a phone interview and asked
questions about the applicant, it was more than obvious the investigator’s
decision had already been made. When what he related was not what the
investigator wanted to hear, he was told the interview was no longer going
to be used. He believes that if the interview was typical of the processed
used to investigate the applicant, he can only state how unprofessional and
suspect the outcome must be.
The applicant’s complete submission is attached at Exhibit A.
STATEMENT OF FACTS:
The applicant is currently serving on active duty in the ANG in the grade
of major.
On 21 February 1996, TSgt M--- filed a complaint alleging the applicant and
management of the Financial Management and Comptroller Directorate violated
Air Force policy regarding racial and gender discrimination and Air Force
policy on training, supervision, performance feedback, and total quality
management. In addition, TSgt May alleged that in 1994 or early 1995, the
applicant discriminated by gender when he stated to Ms. M--- and Ms. L---,
“Women have no business in the workplace(, Woman’s place is in the home(”
and “You need to find a major or lieutenant colonel to take care of you.”
On 11 March 1996, Ms. W--- filed a complaint alleging fraud, waste, and
abuse by management and racial and gender discrimination against Major S---
and management in general.
The applicant was promoted to the grade of lieutenant colonel in the Puerto
Rican Air National Guard, effective 16 April 1996, or upon approval of
Federal Recognition.
On 29 April 1996, the 89th AW/SAE (Social Action) initiated an informal
investigation concerning allegations of sexual harassment and gender
discrimination.
From 29 April through 23 December 1996, the 89th AW/IG conducted a formal
IG investigation regarding the 21 February and 11 March 1996 complaints.
The investigation found the allegations that applicant discriminated by
gender and sexually harassed through his comments, and management failed to
take appropriate action to prevent it, were substantiated. In addition,
the investigation found that management failed to comply with Air Force
Directives pertaining to performance feedback and performance reports by
failing to provide TSgt M---th performance feedback and by switching
supervisors so frequently she did not know who would be rating her or what
would be used as a basis for the rating. The allegations that applicant
showed preferential treatment based on ethnic background and willfully
violated Air Force Quality Policy by stating that it was just a “F---
thing,” were not substantiated. The allegations of racial discrimination
and fraud, waste, and abuse were unsubstantiated. The Investigating
Officer noted that several other general complaints provided during the
inquiry, pertaining to other offices in the Air National Guard Readiness
Center (ANGRC), give the appearance of at least a perceived problem with
discrimination and harassment throughout the organization.
On 1 May 1997, the applicant received a Letter of Reprimand from the ANGSC
Commander for violating Article 134 of the Uniformed Code of Military
Justice (UCMJ). Specifically, for discriminating by gender at the ANGRC.
The commander noted that a commander’s directed investigation disclosed
that between on or about late 1994 and on or about early 1995, he stated to
a female civilian employee, “women have no place in the workplace, woman’s
place is in the home,” or words to that effect. The commander also noted
that the investigation disclosed that on more than one occasion between on
or about January 1995 and on or about February 1996, he sexually harassed
the same female civilian employee by repeatedly stating to her, “that she
need to find a major or lieutenant colonel to take care of her,” or words
to that effect.
On 19 May 1997, the applicant received a referral OPR for the period 31
August 1996 through 28 February 1997 based on comments contained in the
report regarding the sexual harassment investigation.
The applicant was considered and not selected for promotion to the Reserve
grade of lieutenant colonel by the 1999C Central Lieutenant Colonel
Selection Board. The applicant received an overall promotion
recommendation of “Do Not Promote” on the Promotion Recommendation Form
(PRF) prepared for the 1999C board. In Block IV, Promotion Recommendation,
of the PRF, the senior rater stated that, “Major Ayala’s performance was
marred by inappropriate comments to a coworker which were investigated and
determined to be sexual harassment.”
HOI 36-001, Equal Opportunity and Treatment (EOT), Section 7b(1), states
that during the complaint clarification process, the EOT representative
will interview the complainant, the individual(s) alleged to have violated
the organizations EOT policy, witnesses, and/or anyone else possessing
information relevant to the complaint and complete the Fact Finding
Document.
A resume of applicant’s performance since 1992, follows:
PERIOD ENDING OVERALL EVALUATION
30 Aug 92 Meets Standards (MS)
30 Aug 93 MS
30 Aug 94 MS
30 Aug 95 MS
30 Aug 96 MS
* 28 Feb 97 (Referral Report) MS on all factors
except Professional
qualities
31 Jul 98 MS
* Contested report
AIR FORCE EVALUATION:
The Director, Personnel and Training, ANG/DP, reviewed this application and
states that after a thorough review of this case by their legal office
addressing the “investigation procedures and regulatory processes,” they
find the applicant’s rights were not prejudices. The Headquarters ANG
followed its own regulatory requirements in accordance with HOI 36-001.
ANG/DP states that in the absence of any evidence of unfair treatment
toward the applicant and a lack of substantial evidence of any incorrect
procedures in this case, they cannot support relief. In is their position
that an officer who has been reprimanded for sexual harassment and gender
discrimination should not be promoted to the grade of lieutenant colonel.
The General Law Team, Office of the Chief Counsel, NGB/JA, reviewed this
application and provided a legal review to ANG/DP on 17 April 1998. NGB/JA
stated that it was impossible to determination whether applicant’s
allegations were supported by the record since the Report of Investigation
(ROI) was incomplete. However, if the applicant was not interviewed by the
EEO during the informal investigation, that would indicate a gross failure
to follow the regulations. NGB/JA requested the full ROI of the formal
investigation and the informal investigation report. However, the IG
denied their request since the investigation had already undergone a legal
sufficiency review. In regard to the informal investigation, they state
that under HOI 36-001, the ANG had the option of either pursuing an
investigation informally within the agency, or requesting the help of an
outside agency. In this case, after starting the informal investigation,
but prior to the EOT interviewing the applicant, the ANG referred the case
to the 89th AW/Social Actions Office. The institution of the formal
investigation stopped the conduct of the informal investigation. The
decision to conduct a formal, rather than informal investigation, was based
on the number and seriousness of the allegations, rather than any delay by
the EOT in conducting the informal investigation. They state the applicant
did not have a right to have an informal investigation first address the
issues. Furthermore, the EOT representative’s failure to interview the
applicant during the informal investigation did not prejudice the
applicant’s rights because he was interviewed during the formal
investigation. The NGB/JA opines the record supports a finding that ANG
correctly followed the requirements of HOI 36-001.
A complete copy of the Air Force evaluation, with attachments, is attached
at Exhibit C.
APPLICANT'S REVIEW OF AIR FORCE EVALUATION:
The applicant reviewed the Air Force evaluation and states that the
credible evidence he has presented, contradicts the advisory opinion. He
cannot reconcile how the ANG reviewed his case and found a lack of
substantial evidence of any incorrect procedures. Since only partial
information was provided to him by ANG/MPPUA to defend his case, due
process was not served. Enough evidence exists with third party referral
letters and testimonies, to question the credibility of the final report.
The ANG fact-finding process in HOI 36-001 was not clearly adhered to and
fair treatment is questionable. Furthermore, the formal investigation
misrepresents the true nature of the investigation. Hence, management
decided punishment based on skewed information and due process was not
served. In this respect, the applicant states the following:
a. Initially, he was only provided the one page, vague opinion
from ANG/MPPUA. It was not until he requested AFBCMR assistance in getting
more information to rebut, that ANG/MPPUA reluctantly provided copies of
the NGB/JA opinions. However, it appears the NGB is withholding
information relevant to his case. It was his understanding that when he
began the records correction process, the NGB legal office would conduct a
thorough review of the full report of investigation. He was advised by
ANG/MPPUA that they were having validating problems with NGB-JA in
responding to their requests. He is disturbed by the manner in which he
had to get this information. He thinks the process is unfair and leads him
to think that ANG/MPPUA and NGB-JA were not forthright in dealing with his
investigation information. If he had not requested these additional
letters from ANG/MPPUA, they would not have offered them. He believes this
casts doubt as to whether or not he is being treated fairly.
b. The legal opinion by NGB/JA, dated 13 March 1998, indicated
they were not provided an unredacted copy of the investigation to analyze
the merits of his complaint, and that at least one senior officer in the
ANG had espoused the view that the investigation was flawed. He believes
it was incumbent upon NGB-JA and ANG/MPPUA to acquire a copy of the entire
investigation for thorough review.
c. The legal opinion by NGB/JA, dated 17 April 1998, indicated
that it was impossible for them to determine whether his allegations were
supported by the record since the formal Report of Inquiry (ROI) was
incomplete. The letter also indicated that although the informal ROI was
not provided, his allegations appeared to show a lack of concern for his
rights and those of the complainant. The letter also indicated that if he
was not interviewed by the EEO, that would indicate a gross failure to
follow the regulations and noted that failing to interview the individual
who allegedly violated the regulations, deprives that person of the
opportunity to explain his actions, provide countervailing evidence, or
suggest additional witnesses. NGB/JA was also troubled that the informal
process took so long that the complainant decided to request a formal
investigation. NGB/JA stated that complaints should be resolved at the
lowest level, before they impact morale and work product. Although the
informal investigation should have been included in the file so that his
allegations could be investigated, NGB/JA responded to his case without
acquiring a complete report. However, they did indicate that the letters
he provided appeared to substantiate some of his allegations.
d. After reviewing only the executive summary of the report,
NGB/JA give a whole completely different response in their opinion, dated
25 August 1998. He believes it was impossible for them to evaluate his
case based only the executive summary. He notes that the author of the
favorable letter, dated 17 April 1998 was not the same person that signed
the 25 August 1998 letter. One can read both letters and tell different
people authored them, yet someone else signed the second letter for her.
He believe their behavior is suspicious. Furthermore, as NGB/JA previously
indicated, his allegations could not be analyzed because only the summary
of the ROI was included in the file. The IG did not comply with the NGB/JA
request that the full ROI be supplied. The IG contended that it was
unnecessary since the investigation had already undergone a legal
sufficiency review. He thinks it is ludicrous for ANG/DPPUA to ask NGB/JA
if they followed their own regulation. He questions why the ANG will not
believe the Vice-Commander of ANGRC, who was there when it happened and
admits the process was not followed. Furthermore, the 25 August 1998
NGB/JA opinion is misleading, inaccurate, and takes the regulation and
timeframe out of context. Once the informal investigation started on
21 February 1996, the EOT representative had over two months to interview
other people in his organization. However, since the EOT representative
was not resolving the complaint to her satisfaction, the complainant
decided to formalize the complaint on 18 April 1996. Additional complaints
that had nothing to do with his case irrupted in another division of their
directorate that caused management to overreact. They should have
maintained the two informal investigations separate but the other
investigation (Accounting Division) had many complainants. The NGB/JA
leads you to think that all allegations were related to his case, when in
fact 95% were related with the other investigation. He believes this is a
classic example of how information is manipulated to distort the truth.
e. He does not dispute that management has the option to either
pursue an investigation informally with the agency, or request outside
help. However, the governing regulation, HOI 36-001, states that, “Should
official designee opt to proceed informally, the EOT representative will be
instructed to complete the complaint clarification process.” In his case,
the designee was the ANGRC Vice Commander who authorized them to proceed
informally. The EOT representative started the complaint clarification
process one-month prior to changing to a formal investigation. However,
contrary to HOI 36-001, which states the individual alleged to have
violated the organization’s EOT policy will be interviewed, he was never
interviewed during the informal investigation. The ANG/MPPUA and NGB-JA
opine that since the informal investigation became overruled by their
opting for a formal investigation, the informal investigation is no longer
valid. Based on their argument, the formal investigation should stand
completely alone and not have all the informal investigation information as
part of the formal investigation. He questions why the formal
investigation was not conducted completely separate. He does not believe
that NGB-JA can say the informal investigation is invalid when the full
report contains many documents from the informal investigation, which they
failed to read. He believes that mixing both formal and informal
investigation compromises the formal investigation. If NGB/JA uses this
argument, then the EOT representative should have been removed from the
formal investigation because of conflict of interest. However, the EOT
representative in the informal investigation continued to play a major role
in the formal investigation and influenced the investigators.
f. Interviewing him in the formal investigation does not negate
the fact that the informal process was not done correctly. Common sense
and fair play would have allowed him to be interviewed. He believes NGB-JA
was negligent by evading ANG/MPPUA questions, and poorly defended their
arguments by statements not supported by facts.
g. He and his staff managed over $5 billion dollars for the ANG
under very stressful conditions. Because of downsizing, they were
understaffed and overworked with multiple training and managerial
challenges. He was so determined to prioritizing their limited resources
and getting the job done that perhaps his level of expectations from others
was too high. He took his job responsibilities very seriously. He admits
that they had some management problems, but there were a few people
disgruntled with management that he could not win over no matter what he
tried. He agrees they had differences, but it was all work related and he
was not disrespectful in any way. The complainants true motives were
obscured by management and training issues.
h. There were nine key personnel in FMB that were not interviewed,
of which six were women. If he was being investigated for harassment, the
investigators should have then interviewed everyone in the organization to
corroborate if anyone had witnessed this behavior first-hand. He believes
the investigators selectively interviewed personnel that were identified by
the complainant.
i. One of the investigators had a nonprofessional relationship
with the complainant which compromised their objectivity. He is not the
only person who observed irregularities with the investigation. MSgt
Milgrim requested that one of the investigators be removed from the
investigation. If this investigator was not removed, the possibility
existed that the complainant was being favored in the investigation.
J. He is being judged by an event that happened in 1994 and is
based on hearsay. As indicated in his supervisor’s statement, TSgt May was
asked if she felt like she was treated any differently than anyone else in
FMB and she said no. TSgt May said she has overheard comments made to Ms.
Maggio that she did not like. His supervisor asked TSgt May if she meant
she was filing sexual harassment complaints against the applicant that did
not concern her or had not been made to her directly and she said yes. His
supervisor has indicated that it is his personal opinion that this is
simply a matter of a personally conflict between the two and TSgt May is
using race and sex to achieve her own personal motives.
In further support of the appeal, applicant submits a statement from his
immediate supervisor, an additional statement from the Chief of DOX (Col
Mickelson), a copy of his most recent OPR, and excerpts from testimony.
The applicant’s immediate supervisor states that applicant has strictly
adhered to the absolute highest standards of military professionalism with
regard to both his official duties and all of the people around him.
The Chief of DOX states that interviewers questions were not questions as
to what he knew and had heard in regards to the applicant, but were
construed to comply with stated facts.
The applicant’s complete response is attached at Exhibit F.
THE BOARD CONCLUDES THAT:
1. The applicant has exhausted all remedies provided by existing law or
regulations.
2. The application was timely filed.
3. Sufficient relevant evidence has been presented to demonstrate the
existence of a probable error or an injustice to warrant voiding the LOR
and contested OPR, and setting aside the applicant’s nonselection for
promotion. After an extensive review of the evidence of record and noting
the applicant’s contentions, we are very concerned with the manner in which
the informal and formal investigations were conducted. In this respect, we
note the following:
a. In their letter, of 17 April 1998, NGB/JA states that if the
applicant were not interviewed by the informal investigation, it would
indicate a gross failure to follow the regulations, and that failing to
interview the individual who allegedly violated the regulations, deprives
that person of the opportunity to explain his actions, provide
countervailing evidence, or suggest additional witnesses. We agree.
However, since he was interviewed during the formal investigation, we do
not believe the failure to interview him during the informal investigation
taints the results of the formal investigation.
b. While we believe the formal investigation could have been
handled more professionally (i.e., interviews were not transcribed by a
professional, allegations of bias on the part of investigators, and
allegations that witnesses were led and persuaded by the investigator in
answering questions), the evidence obtained during the investigation
appears sufficient to sustain the decision that applicant was guilty of
making the alleged statements.
c. The applicant’s supervisor has indicated that applicant’s
statement to Ms. Maggio was not meant in disrespect, and was based on an
ideal perspective that it would be nice if she found someone to take care
of her. The applicant’s supervisor has also indicated that he thought the
situation was resolved after he counseled the applicant in 1994 when the
statements were initially made. Although the applicant’s supervisor
honestly believes the allegations against him were personality driven and
the individuals involved in making them, were expressing personal
dissatisfactions, rather than legitimate sexual harassment problems, the
fact remains that he again made the statements in 1996 after being
counseled regarding this issue.
d. After an exhaustive review of the evidence of record and noting
the circumstances surrounding these statements, we believe the overall
punishment the applicant received was extremely harsh. We note that
applicant received an LOR, a referral OPR, a “Do Not Promote” PRF, his
early recommendation for promotion to the grade of lieutenant colonel to be
effective in 1996 was not approved, and he was considered and not selected
for promotion by the FY99 board. In view of these actions, he will have
virtually no chance to be promoted when he is considered by the next
promotion board, and if not selected by this board, he will be required to
be separated from the Air Force with over 16 years of service.
e. In recognition of his otherwise superior record and in view of
the discrepancies and less than ideal manner in which the investigations
were completed, we believe the overall effects of the punishment are unduly
harsh and that a LOC would have been more appropriate. We note that had
the applicant received a LOC, it would no longer have been a matter of
record after his Permanent Change of Station (PCS) in August of 1997.
Therefore, we recommend the LOR and referral OPR be removed from his
records, and his promotion nonselection by the Fiscal Year 1999C Reserve of
the Air Force Central Lieutenant Colonel Selection Board be set aside.
While more information regarding the circumstances surrounding the alleged
statements would have been helpful in deciding this case, we believe the
totality of the evidence presented supports and justifies the recommended
corrections to his records and will provide him an opportunity to salvage
his career in the Air Force.
f. The Board wishes to make it perfectly clear that we are not
persuaded the applicant did not make the alleged statements and our
decision should in no way be construed as a vindication of his actions or a
determination of his innocence. Whether or not the statements were based on
his beliefs, as indicated by the rater, the applicant has not shown they
were not inappropriate.
4. Insufficient relevant evidence has been presented to demonstrate the
existence of a probable error or an injustice to warrant the applicant’s
promotion to the grade of lieutenant colonel through the correction of
records process. As indicated above, we are not convinced the applicant
did not make the alleged statements and should have known they were, at a
minimum, inappropriate. In addition, because of these incidents, his
commander had the right to determine his qualifications for early promotion
to the next higher grade. The applicant appears to have had an otherwise
outstanding record. Nonetheless, since he has not shown that his
commander’s actions were arbitrary or capricious, we find no basis upon
which to recommend favorable consideration of his request for direct
promotion through the correction of records process.
5. 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 RECOMMENDS THAT:
The pertinent military records of the Department of the Air Force relating
to APPLICANT, be corrected to show that:
a. The Field Grade Officer Performance Report, AF Form 707A,
rendered for the period 31 August 1996 through 28 February 1997, be
declared void and removed from his records.
b. The Letter of Reprimand, dated 1 May 1997, declared void and
removed from his records.
c. He was not considered for promotion to the Reserve grade of
lieutenant colonel by the Fiscal Year 1999C Reserve of the Air Force
Lieutenant Colonel Selection Board.
The following members of the Board considered this application in Executive
Session on 2 March 1999, under the provisions of AFI 36-2603:
Mrs. Barbara A. Westgate, Panel Chair
Mr. Roger E. Willmeth, Member
Mr. Michael V. Barbino, Member
Mr. Phillip E. Horton, Examiner (without vote)
All members voted to correct the records, as recommended. The following
documentary evidence was considered:
Exhibit A. DD Form 149, dated 10 Mar 98, w/atchs.
Exhibit B. Applicant's Master Personnel Records.
Exhibit C. Letter, ANG/DP, dated 7 Oct 98.
Exhibit D. Letter, AFBCMR, dated 2 Nov 98.
Exhibit E. Letter, Applicant, dated 14 Dec 98.
Exhibit F. Letter, Applicant, dated 27 Jan 99, w/atchs.
BARBARA A. WESTGATE
Panel Chair
AFBCMR 98-00565
MEMORANDUM FOR THE CHIEF OF STAFF
Having received and considered the recommendation of the Air Force
Board for Correction of Military Records and under the authority of Section
1552, Title 10, United States Code (70A Stat 116), it is directed that:
The pertinent military records of the Department of the Air Force
relating to APPLICANT be corrected to show that:
a. The Field Grade Officer Performance Report, AF Form 707A,
rendered for the period 31 August 1996 through 28 February 1997, be, and
hereby is, declared void and removed from his records.
b. The Letter of Reprimand, dated 1 May 1997, be, and hereby
is, declared void and removed from his records.
c. He was not considered for promotion to the Reserve grade
of lieutenant colonel by the Fiscal Year 1999C Reserve of the Air Force
Lieutenant Colonel Selection Board.
JOE G. LINEBERGER
Director
Air Force Review Boards Agency
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