RECORD OF PROCEEDINGS
AIR FORCE BOARD FOR CORRECTION OF MILITARY RECORDS
IN THE MATTER OF: DOCKET NUMBER: BC-2002-00938
INDEX CODE: 131.09
COUNSEL: GUY J. FERRANTE
HEARING DESIRED: YES
_________________________________________________________________
APPLICANT REQUESTS THAT:
He be directly promoted to the grade of lieutenant colonel with a date
when such promotion would have been effective if he had been
reinstated from a Temporary Disability Retired List (TDRL).
_________________________________________________________________
APPLICANT CONTENDS THAT:
All of his nonselections for promotion to the grade of lieutenant
colonel were erroneous.
He had to compete for promotion, through no fault of his own, with an
unjustly abbreviated record.
The Central Selection Boards (CSBs) and Special Selection Boards
(SSBs) that were conducted to consider him for promotion were
conducted illegally.
In support of his appeal, the applicant provided a counsel's brief,
promotion board statistics, an excerpt of a court hearing transcript,
a talking paper on selected benchmark records, a Freedom of
Information (FOIA) response, a declaration from a retired officer, and
an excerpt of a Memorandum of Points and Authorities in Support of
Defendant's Response to Plaintiff's Cross-Motion for Summary Judgment
and Reply to Plaintiff's Response to Defendant's Renewed Motion to
Dismiss or, in the Alternative, for Summary Judgment.
Applicant's complete submission, with attachments, is at Exhibit A.
_________________________________________________________________
STATEMENT OF FACTS:
Applicant was appointed a second lieutenant, Reserve of the Air Force,
on 29 Nov 79 and was voluntarily ordered to extended active duty on
that date. Applicant was relieved from active duty on 31 Aug 99 and
retired, effective 1 Sep 99, in the grade of major. He was credited
with 20 years, 2 months, and 10 days of active duty service.
Applicant's Officer Performance Report (OPR) profile since 1989
follows:
PERIOD ENDING EVALUATION
1 Mar 89 Meets Standards
1 Mar 90 Meets Standards
1 Mar 91 Meets Standards
30 Jan 92 Meets Standards
25 Aug 97 Report Not Available for
Administrative Reasons
# 3 Apr 98 Meets Standards
## 19 Jan 99 Meets Standards
# Top Report at the time he was considered and nonselected for
promotion to the grade of lieutenant colonel by the Calendar Year
1998B (CY98B) (1 Jun 98) Lt Col Board.
## Top Report at the time he was considered and nonselected for
promotion to the grade of lieutenant colonel by the CY99A (19 Apr 99)
Lt Col Board.
_________________________________________________________________
AIR FORCE EVALUATION:
AFPC/DPPB addressed the portions of the application pertaining to
selection board processes. They indicated that despite the verbiage
used in the 7 Jan 84 talking paper provided by the applicant in
support of his appeal, their current procedures for selecting
benchmark records have been unchanged over the years and are in full
compliance with applicable guidelines.
AFPC/DPPB stated that concerning the scoring scale, they disagree that
one low score would distort the overall perception of a record’s
quality. That scoring scale is from 6 to 10 in half point increments.
Board members are briefed to try to apply a 7.5 score to an “average”
record and to try to use the entire scoring range throughout the
evaluation process. Recognizing that the scoring of records is a
subjective process, it should come as no surprise that individuals may
have a slightly different definition of what constitutes an “average
record.” Additionally, history has revealed that a given board member
may be a more liberal scorer than other board members and have a
higher distribution of scores; i.e., from 7 to 10. On the other hand,
a given board member may be a more conservative scorer and have a
distribution of scores from 6 to 9. In either case of these examples
a 7.5 score would not likely be the “average” record. As long as each
board member applies their individual standard consistently throughout
the scoring process, each consideree will get a fair and equitable
evaluation. Only when two or more board members score the same record
with a variance of two or more points, i.e., 7 and 9 or 7 and 9.5,
does significant disagreement occur and through discussion the
variance is resolved; i.e., less than two points variance.
AFPC/DPPB noted the contention that the applicant would not be
promoted by the SSB if he ties a nonselect benchmark record with the
highest of all the scores because his score did not exceed all of the
non-select benchmark records' scores. They did not agree. AFPC/DPPB
stated that because the benchmark records are very similar in quality,
it is not unusual to have some inversion in the benchmark order of
merit created by the SSB. Whenever the inversion is of a nature that
a nonselect benchmark record received the highest score by the SSB and
the consideree’s record received the same or even second highest
score, the nonselect benchmark record and the consideree’s record are
returned to the board members for rescoring. If the consideree’s
record scores higher than the nonselect benchmark, the consideree will
be a select. SSB members are not informed which records are benchmark
records.
AFPC/DPPB also noted the allegation that the fully qualified
determination is neither logically or mathematically sound. They
again did not agree. AFPC/DPPB indicated that after the board
resolves the “gray zone,” all board members become aware of the lowest
select and the highest nonselect and, as required by law, must
determine if the lowest select is fully qualified for promotion. The
board understands all records scoring higher than the lowest select
are also fully qualified.
A complete copy of the AFPC/DPPB evaluation, with attachment, is at
Exhibit C.
AFPC/DPPPO recommended denial. They noted that the applicant was
involuntarily separated from the Air Force in Feb 92 in the grade of
captain after two nonselections for promotion to the grade of major.
However, it was later determined that his nonselections were erroneous
because his record was flawed at the time. Hence, his record was
considered by an SSB on 18 Nov 96 for the CY89A Central Major
Selection Board. He was selected for promotion to the grade of major,
with a date of rank of 1 Aug 91, and was reinstated to active duty in
Aug 97. AFPC/DPPPO further noted that the applicant was considered
and nonselected for promotion to the grade of lieutenant colonel by
SSBs for the CY94A, CY96C, and CY97C Central Lieutenant Colonel
Selection Boards. He was also considered and nonselected for
promotion to the grade of lieutenant colonel by the CY98B and CY99A
Central Lieutenant Colonel Selection Boards.
AFPC/DPPPO indicated that they concur with the findings in the
AFPC/DPPB's advisory. According to AFPC/DPPPO, the Air Force has many
officers who, for a variety of reasons, do not follow a typical career
path. Many of these officers progress and do very well when meeting
promotion boards. Promoting the applicant outright would be an
injustice to other officers who have had a break in service and are
not afforded direct promotion. They believe the applicant received
fair consideration for promotion to lieutenant colonel by the three
SSBs and the two CSBs. Promoting the applicant outright would be an
injustice to other officers who have had a break in service and are
not afforded direct promotion. His situation is no more unique than
those officers recalled to active duty with breaks in service,
interservice transfers, and transfers from the Air Force Reserve or
Guard. They, too, have incomplete records and lack the breadth and
depth that their peers have. Granting him a direct promotion to
lieutenant colonel would ignore the basic principle of the promotion
system--promotions are based on demonstrated potential based on the
record of performance.
A complete copy of the AFPC/DPPPO evaluation is at Exhibit D.
AFPC/JA recommended denial. They noted the argument that the
applicant was forced to compete unfairly at the three SSBs conducted
in 1998 because he was unable to compile or establish a record in his
new grade of major before meeting these boards, and agreed with the
assessment that meeting a lieutenant colonel board without any record
of service in the form of evaluation reports in the grade of major
certainly made the applicant less competitive and more likely to be
nonselected. Indeed, it is not unusual for this Board to set aside in
advance up to two nonselections by central boards to the next
promotion grade following a member’s retroactive promotion—for the
very purpose of assuring that the member will have at least two
performance reports in the new grade in order to compete fairly for
promotion to the next grade. At first blush, it might seem logical
here to conclude that the SSB considerations that this applicant
received were unfair, and thereupon conclude that the Board should
award new considerations utilizing his actual records of performance
as a major. However, it is their belief that it was the applicant who
decided to request these SSBs right away and, having been apprised of
the likelihood of what would happen, decided to go ahead immediately
with these boards rather than wait to construct a record as a major.
Although the Air Force Personnel Center historical files no longer
contain documentary evidence that the applicant was apprised of the
risk of requesting these boards but nevertheless elected to do so, the
normal practice at that time was that such notice and the member’s
request be recorded and made a part of the file. In AFPC/JA's
opinion, in the absence of evidence to the contrary, the Air Force is
entitled to rely on the presumption of regularity that the personnel
officials in question proceeded in this case in accordance with that
standard procedure.
AFPC/JA indicated that even if one were to assume that the applicant
having met the SSBs without an adequate record was unfair and through
no fault of his own, it would not follow that he should be afforded
the same relief as an officer reinstated from the TDRL; i.e.,
advancement to the next higher grade. That remedy is specifically
provided for by Congress solely under those specific circumstances;
Congress has made no such requirement for a promotion situation like
that in the instant case. In fact, Congress has made clear its
intention that for errors like that alleged here, the appropriate
remedy would be the convening of new SSBs which would now include the
officer’s performance reports in the grade of major. As they have
stated on previous occasions, both Congress and DoD have made clear
their intent that errors ultimately affecting promotion should be
resolved through the use of special selection boards, and Air Force
policy mirrors that position. In that regard, where many good
officers are competing for a limited number of promotions, only the
best officers can be promoted. Without access to all the competing
records and an appreciation of what those records mean—an appreciation
gained from years of military experience— they continue to believe the
practice of sending cases to SSBs is the fairest and best practice.
For the past (and hopefully in the future) the AFBCMR will consider
direct promotion only in the most extraordinary circumstances where
SSB consideration has been deemed to be totally unworkable. In
AFPC/JA's view, the applicant’s case does not fall into that category.
Thus, as a consequence, they would recommend that the most the Board
should do if it were to determine that the applicant was unfairly
prejudiced by his having met the SSBs in question without having first
obtained a record of performance as a major, is award new SSB
consideration and not a direct promotion. They reiterate, however,
their belief that the applicant was not the victim of an unfair
practice on the part of the Air Force, and that whatever “unfairness”
he suffered as a result of meeting the SSBs when he did was solely due
to his own actions.
AFPC/JA noted the allegation that the SSBs that considered the
applicant for promotion were conducted illegally. In particular, he
alleges that the methodology used by the Air Force in conducting SSBs
(that a member’s score must exceed that of all the nonselect
benchmarks and equal or exceed the score of at least one of the select
benchmarks) precluded fair consideration and violated the governing
statute. In support of this proposition, statistics were cited
showing that the number of officers with definitely promote
recommendations that are selected for promotion by SSBs is
significantly lower than those with definitely promote recommendations
considered by CSBs.
According to AFPC/JA, the precise same arguments offered by the
applicant’s counsel in this case were offered in a recent lawsuit
where the plaintiff was represented by the same attorney, and the
arguments were firmly rejected by the United States Claims Court. In
Haselrig v. United States, No. 99-908C, 2002 U.S. Claims Lexis 183
(July 31, 2002), the United States Court of Federal Claims determined
that the procedures utilized by the Air Force in conducting SSBs
constitute a permissible interpretation of the statute and a proper
means to carry out the statutory requirements. In particular, the
Court determined that the methodology used by the Air Force in
selecting benchmark records and the scoring requirements as objected
to by this applicant’s counsel, were all proper under both the
statute, 10 U.S.C. 628, and the applicable Air Force regulation, AFI
36-250 1, paragraph 6.
With respect to the argument that the statistical data suggests
unfairness on the part of the SSBs, the Court determined that “while
statistical data can raise the question of whether or not SSB
procedures may be flawed, the data itself is not dispositive of the
issue. Plaintiff must identify and establish a specific flaw in the
procedures the SSBs used to reach its decision in order for the court
to find the SSB procedures are inconsistent with 10 U.S.C. Section 628
and AFI 36-2501, paragraph 6.1.” Haselrig v. United States, 2002 U.S.
Claims Lexis 183, at page 17. The Court refused to make such a
determination, having decided that the issue was nonjusticiable.
Moreover, the Court determined that the statistical data presented by
the plaintiff was not conclusive evidence that the Air Force’s SSB
procedure failed to make a “reasonable determination” of whether the
plaintiff would have been promoted by the original board or failed to
“replicate” the procedures of the original selection board “to the
maximum extent possible.” In concluding that the Air Force’s SSB
procedures were lawful, the Court noted that it was not its role to
instruct an executive agency on how it might better implement
congressional direction, only to determine whether or not the Air
Force’s procedure as actually implemented was a permissible
interpretation of both statutory and regulatory mandates. It
determined that it was. Suffice it to say, the Haselrig holding is
dispositive of the SSB issue in this case, as this applicant’s counsel
has made the exact same arguments here that were made in that case.
The Court clearly has rejected them, and the Board should do so as
well.
Finally, AFPC/JA noted the argument that challenged the Air Force CSB
procedures as being illegal, contending that the statutory mandates in
10 U.S.C. 616 and 617 cannot be met by the panel system used for Air
Force promotion boards. In support of this argument, a declaration of
a retired colonel who once sat on a promotion board in 1991 was
provided. This retired member states that he was essentially unaware
of what was going on and did not know what he was signing when he
signed the board report. With respect to this declaration, AFPC/JA
pointed out that they seriously question the recollection of an
officer with respect to the details of a promotion board conducted
some 11 years ago. Moreover, it hardly seems relevant what this
particular officer remembers about a promotion board that did not
consider the applicant in the instant case. Applicant’s boards were
conducted in 1998 and 1999, and the observations of a member of a
board that was held seven years previous—even if accurate—bear
absolutely no relevance to the applicant’s boards.
Moreover, the Courts have clearly spoken to the legality of the Air
Force’s panel system for conducting promotion boards. In Small v.
United States, 158 F.3d 57 (Fed. Cir. 1998), the Court upheld the
validity of the Air Force promotion system and concluded that the Air
Force panel system complies with 10 U.S.C. 616 and 617. The Court
specifically noted: “a review of a selected number of individuals by
sub-panels who use common and identifiable criteria is efficacious and
equitable means to establish the final rankings that are in fact
approved by a majority of the members of the board.” Both the United
States Court of Federal Claims and the United States Court of Appeals
for the Federal Circuit which upheld the lower court’s ruling in
Small, contrary to the applicant’s counsel’s contentions, were both
fully aware of the Air Force’s board procedures (which were the same
for both the Small and this applicant’s boards) when they made their
decisions; those procedures were fully briefed and discussed during
oral argument in the Small litigation. The applicant’s attorney’s
opinion that “the evidence” proves that the procedures used in the
applicant’s boards did not comply with either the law or the courts
totally ignores the evidence of record and is utterly without merit.
For the reasons stated above, it was AFPC/JA's opinion that with
respect to the first issue raised by the applicant challenging his
erroneous nonselections on the basis of an unfairly abbreviated
record, the Board should determine that this request is untimely and
should be barred under the equitable doctrine of laches. If the Board
determines to consider this issue on the merits notwithstanding their
recommendation, then, for the reasons explained above, they believe
the Board should determine that the applicant has not proven an error
or injustice warranting relief. Moreover, it is their opinion that
the applicant has failed to prove any error or injustice with respect
to the procedures used by either Air Force CSBs or SSBs in considering
this or any other applicant.
A complete copy of the AFPC/JA evaluation is at Exhibit E.
_________________________________________________________________
APPLICANT'S REVIEW OF AIR FORCE EVALUATION:
A copy of the Air Force evaluation was forwarded to applicant on 20
Sep 02 for review and response (Exhibit F). On 21 Oct 02, counsel
requested that the applicant's appeal be temporarily withdrawn
(Exhibit G).
Counsel subsequently reviewed the advisory opinions and furnished a
detailed response indicating, in part, that the AFPC/JA's arguments
are red herrings because the timing of the applicant's SSBs had
absolutely no bearing on the prejudicial injustice that AFPC/JA admits
the applicant suffered. That prejudice derived from the length of
time that it took to rectify the error that undermined his 1992
separation, not from any meaningless option that the applicant was
allegedly afforded. The applicant's 1999 separation was erroneous
because his promotion passovers to the grade of lieutenant colonel
were unjustly based upon an empty record that, through no fault of his
own, made him "less competitive and more likely to be nonselected."
Counsel's complete response, with attachment (letter from applicant),
is at Exhibit I.
_________________________________________________________________
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 error or injustice warranting corrective action regarding
the applicant's request for direct promotion to the grade of
lieutenant colonel.
a. We agree with AFPC/JA that it is not unusual for this Board
to set aside in advance up to two nonselections by central boards to
the next promotion grade following a member’s retroactive promotion
for the very purpose of assuring that the member will have at least
two performance reports in the new grade in order to compete fairly
for promotion to the next grade. However, we find no evidence to
support the assertion by the Staff Judge Advocate that it was the
applicant who decided to request these SSBs right away and, having
been apprised of the likelihood of what would happen, decided to go
ahead immediately with these boards rather than wait to construct a
record as a major. Further, we find no evidence that the applicant
insisted on being considered for promotion to lieutenant colonel
before he had an opportunity to establish a record as a major. To the
contrary, we find that the Air Force advised him that he would be
considered for promotion for those boards he missed while he was not
on active duty knowing full well that his chances of selection would
be diminished because of a lack of performance as a major. More
importantly, however, as asserted by counsel, even if the applicant
had been afforded the option to delay his SSBs for lieutenant colonel,
exercising it would have been utterly meaningless. The 1998 SSBs
considered the applicant for retroactive promotions by the 1994, 1996
and 1997 boards that he did not meet because he was not on active duty
at those times. Therefore, none of the records that he would have
accumulated after his 1997 reinstatement would have been available to
any SSBs considering his record as it would have appeared before the
original selection boards. In view of the foregoing and since the
original panel of this Board did not provide a provision to remove his
nonselections for lieutenant colonel until he had sufficient time to
build an adequate record of performance in the grade of major, it is
self-evident the applicant cannot compete fairly for promotion.
b. The Board has previously asserted in cases of a
similar nature that in order to justify a Secretarial promotion, there
must be evidence the officer has suffered an error or an injustice,
and there is persuasive evidence the officer's record cannot be fairly
considered by a duly constituted selection board. After our further
analysis of this case, we believe there is every reason to conclude
that the applicant's case is so exceptional an SSB cannot reach a fair
decision, and the extraordinary solution of a directed promotion is
warranted. Our conclusion in this matter is not based on any
illegalities in the CSB or SSB procedures. In fact, we believe that
SSBs have served the Air Force well and are fundamentally fair and
equitable. Notwithstanding this, it is our view that there are cases
where it is impossible for an SSB to restore equity. This is one of
those rare cases. As a result of the applicant's retroactive
promotion to the grade of major and ultimate reinstatement after over
five years, he was considered for promotion to the grade of lieutenant
colonel by SSBs for the CY94A, CY96C, and CY97C boards with no record
of performance in the grade of major. When he was considered by CSBs
for the CY98B and CY99A boards, he had one and two OPRs, respectively,
in his record with combined rating periods of less than a year. Since
it is reasonable to assume that most individuals competing for
promotion, on average, have at least three times that many OPRs, in
our opinion, this precluded a fair comparison of the applicant's
record with the other promotion eligibles.
c. While we can never be certain, we believe the evidence
indicates that a directed promotion to lieutenant colonel is fairer,
both to the applicant and the Air Force, than ratifying his
nonselections. Since, in our view, there is no way for the system as
presently constituted to restore equity, it is imperative for this
Board to impose the extraordinary solution of direct promotion--it is
the only possible way to rectify the injustice in this particular
case. Accordingly, we recommend the applicant's direct promotion to
the grade of lieutenant colonel. In arriving at our decision to
recommend the applicant's promotion, we are keenly aware the courts
have held that the Secretary and his Boards have an abiding moral
sanction to determine, insofar as possible, the true nature of the
alleged injustice and to take steps to grant thorough and fitting
relief.
_________________________________________________________________
THE BOARD RECOMMENDS THAT:
The pertinent military records of the Department of the Air Force
relating to APPLICANT, be corrected to show that:
a. He was selected for promotion to the grade of lieutenant
colonel by the Calendar Year 1994A Lieutenant Colonel Central
Selection Board, and that action be initiated to obtain Senate
confirmation.
b. Upon Senate confirmation, he be promoted to the grade of
lieutenant colonel effective and with date of rank as though he had
been selected by the Calendar Year 1994A Lieutenant Colonel Central
Selection Board.
c. He was relieved from active duty on 31 Aug 99 and retired,
effective 1 Sep 99, in the grade of lieutenant colonel, rather than in
the grade of major.
_________________________________________________________________
The following members of the Board considered AFBCMR Docket Number BC-
2002-00938 in Executive Session on 22 Jul 03, under the provisions of
AFI 36-2603:
Mr. Gregory H. Petkoff, Panel Chair
Ms. Carolyn B. Willis, Member
Mr. James A. Wolffe, Member
All members voted to correct the records, as recommended. The
following documentary evidence was considered:
Exhibit A. DD Form 149, dated 15 Feb 02, w/atchs.
Exhibit B. Applicant's Master Personnel Records.
Exhibit C. Letter, AFPC/DPPB, dated 10 Apr 02, w/atch.
Exhibit D. Letter, AFPC/DPPPO, dated 2 Aug 02.
Exhibit E. Letter, AFPC/JA, dated 16 Sep 02.
Exhibit F. Letter, SAF/MRBR, dated 20 Sep 02.
Exhibit G. Electronic Mail, dated 21 Oct 02.
Exhibit H. Letter, AFBCMR, dated 31 Oct 02.
Exhibit I. Letter, counsel, dated 21 Apr 03, w/atch.
GREGORY H. PETKOFF
Panel Chair
AFBCMR BC-2002-00938
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 , be corrected to show that:
a. He was selected for promotion to the grade of
lieutenant colonel by the Calendar Year 1994A Lieutenant Colonel
Central Selection Board, and that action be initiated to obtain Senate
confirmation.
b. Upon Senate confirmation, he be promoted to the grade
of lieutenant colonel effective and with date of rank as though he had
been selected by the Calendar Year 1994A Lieutenant Colonel Central
Selection Board.
c. He was relieved from active duty on 31 Aug 99 and
retired, effective 1 Sep 99, in the grade of lieutenant colonel,
rather than in the grade of major.
JOE G. LINEBERGER
Director
Air Force Review Boards Agency
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