DEPARTMENT OF HOMELAND SECURITY
BOARD FOR CORRECTION OF MILITARY RECORDS
Application for the Correction of
the Coast Guard Record of:
BCMR Docket No. 2005-129
Xxxxxxxxxxxxxxxxxx
xxxxxxxxxxxxxxx
FINAL DECISION
AUTHOR: Andrews, J.
This proceeding was conducted according to the provisions of section 1552 of
title 10 and section 425 of title 14 of the United States Code. The Chair docketed it on
June 24, 2005, upon receipt of the completed application.
members who were designated to serve as the Board in this case.
This final decision, dated April 5, 2006, is signed by the three duly appointed
APPLICANT’S REQUEST AND ALLEGATIONS
The applicant asked the Board to remove from his military record his relief for
cause as the Officer in Charge (OIC) of a Coast Guard station in 2003, as well as his per-
formance evaluation dated September 30, 2003, and Administrative Remarks (“page
7s”) related to his relief for cause.
The applicant alleged that when he was relieved for cause in 2003, he was
unknowingly suffering from depression caused by his involvement in both the imme-
diate and long-term disaster relief following the attacks on the World Trade Center on
September 11, 2001. Prior to this period, he alleged, he had “advanced quickly, been
recognized for [his] actions, leadership and conduct and had not one single derogatory
entry in [his] service record.” The applicant stated that he did not dispute his “un-
toward behavior and actions” as OIC or that they warranted a loss of confidence and
that he has taken full responsibility for them. He stated that during the period in ques-
tion, he was “argumentative, detached, and apathetic,” he gained weight at an alarming
rate, his health declined, and he felt “fatigued to the point of not being able to work.”
The applicant stated that since being relieved for cause, he has received counsel-
ing from a psychologist and from the Coast Guard’s Employee Assistance Program
(EAP) staff and now realizes that he was suffering from severe depression. The appli-
cant stated that while working in New York Harbor, he did not receive any debriefing
or counseling, and that “it is honestly debatable as to whether I actually needed it at
that time.” However, after he was assigned as OIC of a station on the West Coast and
was “able to ‘relax,’” he started “to reprocess the events of the tragedy, largely forced
by having to relive the events through the nearly daily questions and interest of those
around me, those who had not been there.”
The applicant stated that since receiving counseling, he has “been not only able
to recognize my condition, but to come to grips with it and ha[s] emerged fully engaged
and back on track.” The applicant argued that “by failing to recognize and address my
condition, I have needlessly suffered a great injustice.” He stated that the relief for
cause “is severely debilitating to my career and stifles my chances for advancement, as
well as the chance to once again assume the leadership and responsibility of a Com-
mand position.” He stated that “due to reasons beyond my control, the behavior in
question was truly not who I am and I simply want the chance to prove it.”
In support of his allegations, the applicant submitted a statement from a Coast
Guard EAP counselor. The counselor stated that he “cannot attest to [the applicant’s]
mental functioning at the time he was removed from his position as OIC …, but after
speaking with him it appears that [he] was displaying some signs of depression which
apparently went unnoticed by his command.” The EAP counselor stated that the appli-
cant described becoming more isolated from other people, feeling less attached to his
work, getting less work done, gaining forty pounds, and sleeping more. He stated that
the applicant had also had brief suicidal ideation. The EAP counselor stated that these
symptoms indicate that the applicant met the criteria for a diagnosis of Major Depres-
sive Episode while he was OIC. He further stated that “[i]t cannot be stated or implied
that if [the applicant] had received an earlier intervention with psychological treatment
when his symptoms of depression first appeared things would have turned out differ-
ent. It can be stated, however, that when treatment has been offered people have been
able to make positive use of treatment to get back on track with their life sooner.”
SUMMARY OF THE RECORD
The applicant enlisted in the Coast Guard in 1991 as a seaman with prior service
in the Army, Army Reserve, and National Guard. He became a xxxxxxxxxx and
advanced to pay grade E-7/chief petty officer.
On September 11, 2001, the applicant was serving as the xxxxxxxxxxxxxxxx a
Coast Guard station near Manhattan. In addition, he was the xxxxxxxxxxxx at the
station. He had previously received very high marks on his performance evaluations,
including marks of 7 (out of a possible 7) in such performance categories as stamina,
communicating, loyalty, setting an example, and adaptability. On his performance
evaluation dated September 30, 2001, the applicant received two marks of 5, seventeen
marks of 6, and five marks of 7 (for directing others, adaptability, professional knowl-
edge, administrative ability, and stamina). His supervisor wrote that he “worked six-
teen to twenty hour days during the WTC attack, first performing the duties as the sen-
ior person in charge of the physical security of the station and then as one of the OOD
watchstanders who organized the crew and small boat rotation in support of Operation
Guarding Liberty.” The applicant received an Achievement Medal for “superior per-
formance of duty from 11 September 2001 to 22 October 2001.”
On June 4, 2002, the applicant reported for duty as the Officer in Charge of a
station on the West Coast. On his performance evaluation dated September 30, 2002,
the applicant received one mark of 5, twenty-one marks of 6, and two marks of 7. He
was recommended for promotion, as he had been on every one of his previous eval-
uations.
On May 29, 2003, the Group Commander counseled the applicant and the chief
warrant officer who served as commanding officer (CO) of the parent command of the
applicant’s station concerning problems of communication and cooperation between
the station and the parent command, which had increased since the applicant became
the station OIC. The Group Commander’s notes indicate that the Deputy Commander
had already counseled them about the same concerns on January 31, 2003. The
applicant’s improper purchase of two computers and continuing communications
problems had convinced the Group Commander that another counseling session was
necessary. The Group Commander noted that although it was not easy to distinguish
who was causing the problems and communications problems were usually a “two-
way street,” he suspected that the applicant was not listening to his CO, was not
keeping the CO informed of his actions, and was bypassing the CO on many issues.
The Group Commander wrote that he “use[d] the full force of my position to get their
attention … to ensure they both understood what I expected and that the
communications issue must be resolved, or I would consider relief of one or both of
them.”
Letter Incident Report
On July 23, 2003, the Group Commander ordered LCDR D to investigate the
leadership, competency, and conduct of the applicant and the relationship between the
station and the parent command. On August 6, 2003, LCDR D reported to the Group
Commander that he had completed his investigation and that eight of ten allegations
that were made against the applicant during the course of his investigation had been
substantiated but that he did not believe they warranted the applicant’s removal. He
recommended that the applicant receive leadership training and more support from the
parent command.
LCDR D stated that interviews with the applicant’s subordinates indicated that
his “normal workday consists of coming in some time around 0800 and leaving at 1100,
sometimes returning after 1600 to go into his office and get on the Internet. Additional-
ly, [the applicant] never wears an appropriate uniform; he wears sweats and a T-shirt or
coveralls as his uniform of the day.” In addition, the applicant and a subordinate had
worn outfits resembling police SWAT team uniforms when providing security during a
4th of July event at the port. LCDR D noted that “because of other issues surrounding
the material condition and cleanliness of the unit, [the applicant’s] presence and direc-
tion are obviously needed.” He stated that the “overall material condition of the unit is
marginal at best” and that the applicant had not communicated the station’s needs to
the parent command.
LCDR D stated that the applicant’s CO reported that on one occasion the appli-
cant had refused to come to the parent command for a meeting with his CO, which
reflected a “lack of respect and borderline insubordination.” LCDR D stated that the
applicant’s lack of respect toward his CO was “a major contributing factor to the poor
relationship between [the parent station and the applicant’s station].”
LCDR D reported that the applicant appeared to be “running a business out of
his Coast Guard office selling guns.” He had been seen handling guns for sale during
normal work hours and an investigation of the applicant’s office computer use showed
that he had visited numerous gun information and gun manufacturer websites. LCDR
D recommended that the applicant be ordered to review and sign the Coast Guard’s
“limited use” policy and to stop conducting his private business from the station’s
office.
LCDR D reported that the applicant had “lost credibility with the crew” as he
had made many promises but rarely followed through. One crewmember reported
catching the applicant in several lies. Others reported that the applicant had told dif-
ferent stories of how he had obtained a poster of “ground zero” in Manhattan, which he
kept on his office wall.
LCDR D reported that on April 18, 2003, the applicant had purchased one laptop
and one desktop computer with funds for a Learning Center without the approval of
his CO, and neither computer had ever been used for educational purposes at the
Learning Center. The applicant kept the laptop at his house, and the desktop was not
hooked up to the Internet but was used by a first class petty officer to play games. After
LDCR D asked the applicant to return the laptop to determine how it had been used, it
was returned with all information erased even though it had obviously been well used.
LCDR D reported that during a visit by the District Command (a rear admiral)
and the Group Commander in July 2003, the applicant had criticized the parent com-
mand for not timely processing five alcohol incidents when only one of the five was
actually delayed and the applicant himself had not pursued a timely resolution of the
case. In addition, LCDR R reported that the applicant’s story about the circumstances
of the repainting and remodeling of his office differed from that of the members who
did the work and that the applicant “appears to be shading the truth in order not to
appear to have made someone at the unit work late into the night to complete a project
simply for the Admiral’s visit.”
LCDR D stated that several factors contributed to the poor working relationship
between the parent command and the applicant’s station. He reported that station per-
sonnel sometimes received different information from the parent command and the
applicant and were “caught in the middle,” not knowing which superior’s order to fol-
low. In addition, the applicant’s subordinates reported that he had “openly ridiculed
and challenged the [parent] command.” LCDR D noted that some of the applicant’s
subordinates supported him and reported that they were better trained and ready for
operations than they had been before the applicant’s arrival. The station had received
excellent performance marks during a recent visit by a Training Team. LCDR D con-
cluded that the applicant “had great expectations when he first arrived … . [H]owever,
when he ran into difficulties accomplishing those goals he became frustrated and disen-
gaged from his parent command.”
Request for Temporary Relief for Cause
On August 11, 2003, the Group Commander forwarded the Letter Incident
Report to the District Commander with a request that the applicant be temporarily
relieved for cause pending a formal, permanent relief for cause. The Group Com-
mander stated that he had lost confidence in the applicant’s leadership. He noted that
the applicant had previously been counseled by the Deputy Group Commander on
January 31, 2003, about communications with his CO and following the chain of
command and then again by himself on May 29, 2003, on similar issues. On both
occasions, the applicant “failed to make the required corrections in his attitude and
leadership.” He noted that he had temporarily reassigned the applicant to the parent
command.
The Group Commander also wrote that when he first visited the station in June
2002, the applicant made him “feel that I had imposed on him and his personnel” by
being one hour late due to his visits to other units and traffic. Three of the applicant’s
priorities seemed odd to him: turning a tennis court into a paintball course, clearing
shrubs off a hill behind the station, and switching the main entrance to the back of the
building. He decided that the applicant “was different and had a different way of
looking at things and setting priorities.”
Shortly thereafter, the Group Commander wrote, communications problems
between the applicant and his CO began to surface. He trusted the CO, but the appli-
cant “always had an answer for everything.” By May 2003, he suspected that the appli-
cant “was driving a wedge between his unit and his parent unit” and trying to prove
that “his unit should be a stand alone unit.” He stated that the applicant originally
claimed to have received his CO’s approval to purchase two computers for the Learning
Center but then admitted he did not. The CO had only authorized him to research the
matter and any research would have revealed that the District would be buying com-
puters for the Learning Center.
During the District Commander’s visit, the Group Commander stated, the appli-
cant’s station was not ready and he “walked around amazed at the disorganized
appearance of the unit.” In addition, the applicant “essentially placed [his CO] on
report for not acting promptly on a prior alcohol incident,” which he had only raised
with his CO once before, and then “made it sound like there were a total of 5 unre-
solved incidents pending at his unit when these [other] incidents had [recently] taken
place at the parent command.” The applicant further complained to the District Com-
mander that the unit did not have enough money to operate—a complaint which the
Group Commander had not heard before.
The Group Commander stated that because he detected that “something was
going on with the crew that seemed abnormal,” he asked LCDR D and the Command
Master Chief to investigate. Their reports alarmed him sufficiently to cause him to lose
confidence in the applicant’s leadership. The applicant was usually at work for only
three hours a day and would surf the Internet for up to two hours on his personal
business. The Group Commander discussed the report of the investigation with the
applicant, who seemed to believe he had done nothing wrong and blamed everything
on a lack of support from the parent command. However, the Group Commander
knew that the parent command was “making an extraordinary effort to correct some
deficiencies that [the applicant] allowed to develop and should have taken care of on
his own.” After this meeting he determined that many members in the chain of com-
mand “doubted [the applicant’s] sincerity and felt that he had been arrogant and was
not willing to admit he had made mistakes.” In addition, “everyone agreed that they
did not think he actually could change,” as he “would require an extensive amount of
direct supervision.” The Group Commander concluded that although the applicant
was a very good trainer, “[h]e was also their friend … he was not their leader and he
was not aligned with the desires of his parent command or the Group.”
On August 14, 2003, LCDR D submitted a supplement to his report. He stated
that all personnel at the station reported that the applicant “never wore the prescribed
uniform of the day … and that he would generally wear either coveralls with no name
tag or rank insignia or he would wear sweats/shorts and a T-shirt on days that the unit
had scheduled sports … generally Tuesdays and Thursdays of each week.” Two mem-
bers stated that they could not remember ever seeing the applicant in uniform. LCDR D
further stated that nine petty officers at the station had corroborated the applicant’s
habit of working from 8:00 a.m. to 11:00 a.m. and sometimes returning after 4:00 p.m.
He noted that the applicant stated that he had been leaving work early for three months
to care for his wife or take her to medical appointments.
Temporary Relief for Cause
On August 14, 2003, the District Commander notified the applicant that he was
temporarily relieved for cause, that he had been assigned legal counsel, and that he had
a right to submit a statement on his own behalf. On August 18, 2003, the applicant
acknowledged the notification.
On August 20, 2003, Ensign S submitted another Letter Incident Report on his
investigation into an encounter between the applicant and a station crewmember, BM2
X. Ensign S stated that on the night in question, the applicant had been filing the grip
on a Colt 45 pistol in his garage when he showed it to MK2 M, who lived nearby. The
magazine was not in the gun. When BM2 X drove into the parking lot, the applicant
told MK2 M that he wanted to show the pistol to BM2 X, as they had discussed guns in
the past. The applicant walked over to BM2 X, showed him the pistol, and told him that
he had been working on it and that it was not loaded. He handed the gun to BM2 X
briefly and asked him if he liked the new grip. The applicant accused BM2 X of making
negative comments about him to LCDR D during the prior investigation. Ensign S
wrote that the “conversation ended shortly thereafter with [the applicant] stating that
he was going to go shoot something.” BM2 X reported to the new, acting OIC that he
had not felt threatened during the encounter with the applicant but that the applicant’s
statement made him feel “very uneasy.” Ensign S recommended that the applicant be
counseled with a page 7.
Applicant’s Statement Concerning His Temporary Relief for Cause
On August 22, 2003, the applicant submitted a statement to the District Com-
mander concerning his temporary relief for cause. He stated that there were communi-
cations problems between the station and the parent command but that “these problems
cannot be laid at the feet of just [my CO] and myself but rather stem from much larger
problems that existed between the two units from way back.” He stated that when he
first arrived at the station, the CO and XPO had told him that they “were counting on
me to ‘save the crew’—I was told that my only concern was to fix their battered morale
and get them ready to perform the Coast Guard’s missions.” He claimed that commu-
nications had been improving.
The applicant stated that early on during his tour as OIC, he was frequently
working away from the station but that his normal workday was 8:00 a.m. to 4:00 p.m.
However, after his wife fell ill and became bed ridden in January 2003, he started to
leave the station once or twice a day to check on her. Then one day she fell down the
stairs, and his visits home “did increase in frequency and duration.” He stated that at a
meeting with his chain of command on August 8, 2003, he learned that they had consid-
ered replacing him “during this trying time for me and my wife” and that he wished
that they had done so “as I was doing 20-hour days for three months, between my wife,
the home, and the USCG.” After his wife recovered, he returned to his normal routine
and took two weeks of leave before the District Commander’s visit to get rejuvenated.
Regarding the allegations about his uniform, the applicant stated that the cover-
alls he wore had been approved and purchased by the parent command “as a replace-
ment for the Working Blue uniform … due to the deteriorating condition and non-avail-
ability of uniform items during the transition to the ODU.” Furthermore, he stated that
an ALDIST bulletin issued in 1999 had authorized printed T-shirts to be worn “for rec-
ognition during special training or law enforcement events.”
Regarding his refusal to attend a meeting at the parent command, the applicant
stated that a BM3 at his unit had jumped the chain of command and called the CO
directly to complain about a missing piece of mail. The CO had called the station and
sarcastically “ripped into” a chief petty officer about their station’s alleged inability to
process the mail even though the chief petty officer was able to find the BM3’s letter in
less than a minute. The applicant was upset about the CO’s attitude and about the fact
that the CO had allowed the BM3 to jump the chain of command. After a few telephone
calls between the chief petty officer, the CO, and the parent command’s XPO, the XPO
called the applicant and said that the CO wanted to see him “right now.” Therefore, the
applicant replied, “Not if all he is going to do is call me an asshole because of where I
am stationed.” Later that day, after “things cool[ed] down a little,” the applicant called
the CO and arranged to meet for breakfast the next day.
Regarding his alleged gun-dealing business, the applicant stated that although
he did not have a dealer’s license, his firearms license entitled him to make individual
sales. Therefore, he “would make and receive transfers of firearms for members of the
crew, for firearms that they were buying or selling on Internet auctions.” However, he
stopped doing it when members from other units began asking him to do the same for
them. He stated that two members had seen him and a chief petty officer opening a
package that contained a rifle that the chief petty officer had sold on the Internet, but
that the applicant had done so only to put the proper paperwork inside. Furthermore,
he noted that of the 150 websites the investigator had listed, only “a little over 50 are
firearm specific sites” and that only 4 of his 35 “favorites” were firearm websites. More-
over, he alleged that he did not pursue this interest “all that often” and that he “spen[t]
far more time downloading manuals and educational material for the crew then I do on
firearms-related websites.”
Regarding the computer purchases, the applicant stated that his CO knew about
the purchases and that the Administrative Officer had authorized them. His crew felt
that they could sit on old furniture to use new computers but “no one was too keen on
sitting at new desks with nothing to do.” He stated that he had set up the members’
accounts on the computers, but a few weeks later was told not to use them because they
had not been purchased properly. He stated that he kept the laptop in his office and
that some of the petty officers used it occasionally. He stated that the laptop was likely
“scrubbed” because one week before LCDR D’s investigation, the XPO “told me that the
Group was planning on taking both of the computers from us and to clean and back
them up.”
Regarding his comments to the District Commander, the applicant stated that at
the time of the visit, processing of two alcohol incidents had been pending since Febru-
ary and that he had made multiple phone calls about them to his parent command and
to the Command Master Chief. One of the February incidents was the member’s second
alcohol incident and so involved a long delayed discharge package. He stated that he
mentioned one of the June incidents because it was the second alcohol incident of one of
the members who had had his first alcohol incident in February, which had never been
processed. The applicant stated that some members had developed a cavalier attitude,
and that he had grown very frustrated with the parent command’s lack of response.
Regarding the painting of his office prior to the District Commander’s visit, the
applicant claimed that he had “a whole room full of people that heard me tell the MAA,
before he even got started, that he did not have time to finish my office and that there
was more important work to do. He just seemed hell-bent on finishing.”
Regarding the poor relationship and communications between the station and
the parent command, the applicant stated that the station had made many requests for
assistance and support to no avail and that he had been told he was a “pain in the butt”
when he had asked for help. He stated that he had “tried very hard to keep things
behind closed doors,” when he felt that the parent command was acting unreasonably
but that he had “no cadre to make an ‘inner circle’” and so sometimes “confided in a
mix of duty personnel and the most senior PO onboard. Ultimately, I realize, that none
of this is an excuse and I have made some inexcusable mistakes out of frustration.”
However, the applicant stated, he had developed his crew to “a level equal to or better
than any other … Station in the District, … [and] made this Station much better than I
found it.”
On August 28, 2003, the Group Commander forwarded the applicant’s statement
to the District Commander with his “strongest recommendation for relief for cause
based on my loss of confidence in [the applicant]. … My issues with [him] have become
a long and continuous saga of multiple illustrations of his lack of competence as a
leader, his lack of willingness to work with his chain of command to solve issues, and
his apparent disregard for establishing a command presence at his unit, or adhering to
our core values. Every member of my staff who has been or will be involved with [the
applicant] in the operation of his unit is convinced he will continue to be a leadership
challenge as long as he remains in the OIC position.”
Commander stated the following:
In response to the applicant’s statement concerning his wife’s illness, the Group
If the chain of command had been advised of the severity of the undocumented condition
of [the applicant’s] wife, the command would have asked for assistance to ensure the
Chief received the support he and his wife required, and the unit continued to receive the
support and leadership it required. Although it is true [the CO] gave [the applicant]
permission to tend to his wife’s needs during her sickness, [the applicant] never made his
command or the Group aware of the extensive amount of time he was going to be away
from his unit. During the investigation, [the applicant] made contradictory statements
about the amount of time he was away from work. In his 30 July statement, he says he
went home 2 or 3 times a day to check on his wife, and that he did this for several weeks.
In his 22 August statement, he states he was away a lot in January-March, and after his
wife had a fall in April, he went home more often and for longer periods of time. In his
verbal statement to me, the Chief indicated the period of sickness lasted for about 3
months. Depending on which statement is accurate, there still is no accountability for the
months of May, June or July and these are the months the unit personnel most likely
would have focused on during the investigation, when asked about the Chief’s work
habits. No one knows for sure just how much time the Chief was away from work, but
the appearance is that he was only there for 3 hours at a time. … There never was a dis-
cussion … [of] bringing someone in to run the station during his wife’s sickness. No one
in his chain of command was aware of the amount of time the Chief was taking off.
Regarding the applicant’s dress, the Group Commander stated that the CO had
purchased the coveralls and laid out clear guidelines that they were to be worn over the
working blue uniforms in certain work situations “to help prolong their life.” He stated
that the applicant had “freely admitted to routinely violating these guidelines,” which
set a poor example. In addition, he stated that the applicant had told one member of the
Group Commander’s staff that “he felt wearing his tropical uniform created a separa-
tion between him and his crew; therefore he chose to wear the coveralls … [and] wore
sweats and a T-shirt at least twice a week, and never bothered to put on any type of uni-
form.” The Group Commander further stated that the 1999 ALDIST that the applicant
cited regarding his use of SWAT-style clothing provided that a program manager could
authorize special uniforms in situations where a Coast Guard uniform was not suffi-
cient for mission requirements. The Group Commander noted that the ALDIST did not
authorize printed T-shirts and included “five passages … urging pre-purchase verifica-
tion of the appropriateness of the intended organizational clothing,” as well as “an
admonishment that failure to follow proper procedures may result in the individual
being held personally liable.”
Regarding the applicant’s alleged gun-dealing business, the Group Commander
stated that the applicant had admitted to him spending up to two hours at a time
researching guns on the Internet while at work. Regarding the two computers, the
Group Commander stated that the CO told the applicant only that he could research the
matter and that any such research would have revealed that the purchase was illegal
and not in line with the Group’s and District’s plans. The Group Commander further
stated that the laptop had cat hair imbedded between the keys and in the cooling fan
inlet and that the applicant had explained that his wife had thrown a blanket covered
with cat hair on top of the computer when it was in his closet at home.
Regarding preparations for the District Commander’s visit, the Group Com-
mander stated that his concern was not so much about when and how the applicant’s
office got painted but about “the lack of cleanliness and order I observed throughout
the unit during the visit. It started with the Chief’s office being disorganized and ended
with the messy and disorganized garage storage area.”
The Group Commander stated that the applicant’s CO had “made very attempt
to support the unit and its personnel. In many cases, [the applicant] advised [the CO]
that he would take care of the issues at his unit and he did not require any assistance.
Throughout [the applicant’s] tenure as OIC, there have been conflicting stories between
what he says took place and what others say took place. [The applicant] consistently
provided different versions of what happened, what others said or what others meant.
… These conflicting stories do not stop at his unit or with his subordinates; they run
right up through his entire chain of command.”
Request for Permanent Relief for Cause
On September 8, 2003, the District Commander asked the Commandant to per-
manently relieve the applicant from his duties as OIC for cause, noting that despite
repeated counseling, the applicant had failed to establish command presence, was
unwilling to align his priorities with those of his parent command, and was unable to
communicate effectively with his chain of command.
Also on September 8, 2003, the Group Commander entered a negative page 7 in
the applicant’s record stating the following:
[A]t approximately 2230 on the evening of 11 Aug 2003, you initiated an encounter with a
subordinate member of your unit in the housing area at Station … . In that encounter,
you approached the member while carrying a firearm that you had been working on, and
began to question the member concerning statements contained in a recently completed
investigation regarding the good order and discipline at Station … . Even though the
firearm was neither operable nor loaded, its presence combined with the lateness of hour
and the subject and tone of your conversation created an intimidating and coercive envi-
ronment.
Your conduct in this encounter was completely inappropriate, especially for a Chief Petty
Officer … and an Officer in Charge of a Coast Guard unit. Your actions demonstrated a
lack of appreciation for your rank and command position, a lack of judgment, and a lack
of respect for your subordinates.
Further incidents of this nature will not be tolerated. I urge you to take this matter to
heart and to make the changes necessary to align your personal conduct with that
expected of Coast Guard leaders.
On September 9, 2003, the applicant acknowledged notification of the District
Commander’s recommendation that he be permanently relieved for cause. He indi-
cated that he desired counsel and would submit a statement.
Applicant’s Statement Concerning Permanent Relief for Cause
On September 16, 2003, the applicant submitted a statement concerning the Dis-
trict Commander’s recommendation that he be relieved for cause. The applicant stated
that he realized “the inevitable outcome of this matter and do not dispute that I have
made some grievous mistakes, mostly by way of inaction on my part—I assure you that
I not only recognize, but accept my personal mistakes and shortcomings. … I am mak-
ing this statement of my own mind and volition, with the sole purpose of preserving
my integrity and reputation, in areas where I feel I have fell victim to innuendo, coinci-
dence or simple fallacies.” The applicant stated that both his CO and XPO were aware
of the severity of his wife’s condition and that he always advised them when he was
leaving the station for medical appointments. He noted that he had also reported his
wife’s condition to the command’s Work-Life Staff.
The applicant further stated that he himself had set the guidelines for wearing
coveralls at the station and the CO had not complained even though he had visited the
station and seen the crew wearing them. He further stated that the SWAT-style
uniform he and another member had donned for patrolling the dock during a July 4th
biker rally had been issued at other units and he “did not believe the decision to
authorized them for one hour, during this special security event, was out of line.” He
wrote that while he may have made a mistake, “the decision was made largely to
facilitate the recognition of the mandated shore side security personnel and in the
interest of public safety.”
Regarding the allegation that he was conducting a gun-dealing business from his
office, the applicant stated that he had made only three private transfers; received two
firearms for members who purchased them online; shipped two firearms; and received
one repair part. The applicant explained his Internet use by saying that he was not con-
ducting a business but studying firemark and toolmark examination for forensic pur-
poses as he wanted “to complete my online courses from American Institute of Applied
Science and ultimately become recognized by the Firearm and Toolmark Examiners
Guild.”
Regarding the computers, the applicant stated that the parent command knew of
the purchases since the Administrative Officer had authorized them. He further stated
that he had a personal computer at home and no need for the laptop. He stated that he
had taken it home only “to prepare the script and Power Point show for the Chiefs Call
To Initiation” and had not used it otherwise. He further stated that before he donated a
DVD player to the station, the crew had used the laptop to watch movies in the evening.
In addition, a BM1 had “set up purchasing suppliers and information on it and people
had used it for their distance learning studies among other things. I do not own a cat;
perhaps someone else that used it does? Use of the laptop was terminated shortly after
it was purchased, at the direction of my Command, purportedly from the Group, due to
the purchase being in question.”
Regarding the orderliness of the station during the District Commander’s visit,
the applicant admitted that it was “poor and showed a general lack of effort. I did let
the crew and my Command down on this.” He stated that he had intended to return to
work from leave two days before the visit but that, at the urging of his senior crew-
members who knew his wife’s situation, had stayed on leave until the morning of the
visit. They had assured him that “they would have everything in line for the visit.” He
was very upset when he arrived and saw that so little had been done, although “the
overall condition and appearance of the facility [had] improved drastically” since he
took over as OIC.
Regarding the night of August 11, 2003, the applicant stated that the item he was
carrying was not really a gun but a pistol grip that was not capable of chambering or
firing a round. He stated that he spoke to BM2 X about the investigation because he
had been told that he could solicit statements on his own behalf as long as he did not do
so on station grounds or while on duty, which meant that he could only speak to them
in the evenings in or near their housing. He advised BM2 X that another member had
been “grossly misquoted” by the investigator. When BM2 X pursued the topic, the
applicant “told him that this was neither the time nor the place to discuss it and that if
he was really concerned, [he] would talk to him about it later.” Afterwards, the
incident “became more and more inflamed … largely due to [BM2 X] lampooning the
situation and using it to draw attention … saying things about ‘not standing by
windows,’ barricading his house and zigzagging while crossing the parking lot.”
The applicant stated that he tried to keep the lines of communication open
between the station and the parent command. Following his meeting with the Deputy
Group Commander in January 2003, he sent out a weekly “sitrep” by email each Mon-
day, but stopped when the XPO told him that the CO was not happy with them. He
then invited the parent command department heads to visit twice a month, but they
soon stopped doing so. Thereafter, he and BMC L tried to visit the parent command
every Tuesday, but on their fourth visit they were told not to continue driving down.
On the applicant’s performance evaluation dated September 30, 2003, he received
three marks of 3, fifteen marks of 4, five marks of 5, and one mark of 6. He was not rec-
ommended for promotion.
Permanent Relief for Cause
On October 9, 2003, the Acting Commandant approved the District Command-
er’s request to permanently relieve the applicant from his position as OIC for cause
based on the District Commander’s “loss of confidence in his judgment and ability to
effectively perform his assigned duties.” He noted that the applicant would remain at
the parent command on a temporary basis until he received transfer orders, which
would arrive no later than October 31, 2003.
On December 3, 2003, the Group Commander formally advised the applicant
that his relief for cause was permanent in that his certification as OIC had been
removed.
cant received high marks and was recommended for advancement.
On his performance evaluations dated September 30, 2004 and 2005, the appli-
VIEWS OF THE COAST GUARD
On November 29, 2005, the Judge Advocate General (JAG) of the Coast Guard
submitted an advisory opinion in which he recommended that the Board deny relief.
The JAG pointed out that the applicant did not argue that his relief for cause was
unjustified but that he has suffered an injustice because neither he nor his command
recognized that he was suffering from depression at the time and that his depression
caused the behavior that led to his relief for cause. The JAG stated that for purposes of
the BCMRs, “injustice” is “treatment by military authorities that ‘shocks the sense of
justice.’” Sawyer v. United States, 18 Cl. Ct. 860, 868 (Cl. Ct. 1989) (citing Reale v. United
States, 208 Ct. Cl. 1010, 1011 (Ct. Cl. 1976), cert. denied, 429 U.S. 854 (1976)). The JAG
argued that the applicant’s relief for cause does not meet this standard as his superiors
had lost confidence in his judgment and ability to lead and the applicant was afforded
all due process.
The JAG adopted the findings of a memorandum on this case prepared by the
Coast Guard Personnel Command (CGPC). CGPC stated that under Article 4.F.2. of the
Personnel Manual, the District Commander had authority to relieve the applicant for
cause temporarily pending approval of a permanent relief for cause by the Comman-
dant. CGPC stated that under Article 4.F.3., loss of confidence on the part of one’s
superiors is a proper basis for a removal for cause. CGPC stated that the applicant
received all due process during his relief for cause in accordance with Article 4.F.4. in
that he was notified by the District Commander of both the temporary relief for cause
and the recommendation for permanent relief for cause and he was allowed to submit
statement on his own behalf on each occasion.
CGPC stated that “[r]egardless of any underlying medical diagnosis, the position
of Officer in Charge requires the trust and confidence of superiors. … While the Appli-
cant may have come to a realization that his actions were not proper and that he possi-
bly suffered from an undiagnosed mental health condition, he was afforded due
process and his Relief for Cause was consistent with his performance. … His belief that
he ‘fell through the cracks’ regarding medical treatment does not substantiate this
[requested] record correction.”
APPLICANT’S RESPONSE TO THE VIEWS OF THE COAST GUARD
On December 20, 2005, the applicant responded to the views of the Coast Guard.
The applicant stated that, although he “do[es] not dispute the conduct or events in gen-
eral,” the allegation that he was conducting a private business from his office “is pat-
ently false.” In addition, on August 11, 2003, he was merely showing a pistol grip,
rather than a complete firearm, to a crewmember, BM2 X, who shared his interest in
gun collecting. Moreover, BM2 X himself was holding the pistol grip “for most of our
conversation.”
The applicant argued that even if his relief for cause while suffering from depres-
sion does not shock the Board’s sense of justice, the Board should consider the interest
of equity as well. He noted that while attending Chief Petty Officer’s Academy, a Rear
Admiral had noted that “two things the Coast Guard does not do very well” were cop-
ing with alcohol problems and suicides. He alleged that he himself had contemplated
suicide and that “many believe that my Relief process was largely precipitated by my
outspoken disdain towards my Command’s passive handling of alcohol incidents
within the Group.”
The applicant stated that he applied to the BCMR because fellow members who
knew him well were shocked by his relief for cause because it was not in keeping with
his prior documented level of performance. He and others believe that because of the
obvious change in the quality of his performance, someone should have realized that
something was not right with him. He alleged that his Group Commander, who had
signed an excellent performance evaluation for him in September 2002, noticed the
change in him and yet took no action to help him. The applicant argued that it was not
the relief for cause that was the original injustice but the fact that his chain of command
did not recognize the underlying cause of the decline in his behavior and get help for
him. He argued that he has suffered a personal injustice because his depression went
unrecognized and untreated. He stated that he continues to suffer from the stigma of
the event and the debilitating effect it has had on his career.
APPLICABLE REGULATIONS
Article 4.F.1.a. of the Personnel Manual states that “relief for cause” (RFC) is “the
administrative removal of a commanding officer (CO) or officer in charge (OIC) from
his or her current duty assignment before the planned rotation date.” It “normally con-
sists of a two-step process: 1. The flag officer in the unit’s chain of command orders a
temporary RFC; and 2. Commandant … orders a permanent RFC after reviewing the
case.”
Article 4.F.1.b.1. states that “[t]he need to Relieve for Cause may arise when a
CO’s or OIC’s performance or conduct adversely affects his or her unit’s morale, good
order and discipline, and/or mission performance. One of the most severe adminis-
trative measures taken against a member in command, RFC usually has a significant
adverse impact on the member’s future Coast Guard career, particularly on his or her
promotion, advancement, duty and special assignments, and selection for schools.
Therefore, the relieving officer must carefully consider the circumstances’ gravity and
the potential outcome’s total implications before initiating the process.”
Article 4.F.2.a. states that “[d]irector chiefs (for Headquarters units under their
program), area commanders, district commanders, and commanders of maintenance
and logistics commands have the authority to temporarily relieve a CO or OIC in their
chain of command for cause.” Article 4.F.2.b. provides that “[o]nly Commandant … can
order permanent Relief for Cause.”
Article 4.F.3. provides that the bases for relief for cause may be misconduct,
unsatisfactory performance, unacceptable relationships, or loss of confidence. Article
4.F.3.c. states the following with regard to loss of confidence:
It is imperative his or her immediate superiors have full confidence in a member’s judg-
ment and ability to command due to the unique position of trust and responsibility he or
she occupies; his or her role in shaping morale, good order, and discipline in the com-
mand; and his or her influence on mission requirements and command readiness. An
articulated, fact-supported loss of confidence is a sufficient basis for RFC.
Article 4.F.4. states that “[a]fter deciding to institute the temporary RFC process,
the relieving authority must “[n]otify the member in writing of the “action being taken
and the reason for it” and of “[h]is or her right to submit a statement in writing on his
or her behalf within five working days.” If grounds for a permanent relief for cause are
substantiated, the relieving authority should ”recommend the CO’s or OIC’s permanent
RFC and send appropriate documentation to the Commandant.” Article 4.F.6. provides
that when being recommended for a permanent RFC, the member must have “the
opportunity to make a statement on his or her behalf (normally five working days).” In
addition, “[t]he command must afford the member the advice of counsel within the
meaning of UCMJ Article 27(b)(1) during the temporary RFC process and in preparing
any statement he or she submits about the permanent RFC request.”
Article 10.B.6.a.3. of the Personnel Manual provides the following guidelines for
evaluating the performance of “members with a limited opportunity to perform for
reasons such as illness, injuries, [and] pregnancy”:
a. Occasionally, circumstances resulting from a temporary condition may limit a mem-
ber’s opportunity to perform. These circumstances may cause specific performance
restrictions; e.g., those imposed by a medical authority, and may even require restruc-
turing or reassigning duties. While rating chains shall not give preferential treatment,
commanding officers shall ensure these individuals do not receive adverse employee
reviews solely for these circumstances.
b. In consultation with the health care provider, the commanding officer must establish a
“reasonable expectation of performance” in the member’s current circumstances. In par-
ticular, the commanding officer must determine whether a member requires reassign-
ment to a different work environment, restrictions on performing specific types of tasks,
or reduced work hours. When considering reassigning or restructuring duties, com-
manding officers should strive to identify service needs, which compliment the member’s
temporary limited abilities.
FINDINGS AND CONCLUSIONS
The Board makes the following findings and conclusions on the basis of the ap-
plicant's military record and submissions, the Coast Guard's submissions, and appli-
cable law:
1.
The Board has jurisdiction concerning this matter pursuant to 10 U.S.C.
§ 1552. The application was timely.
2.
Absent specific evidence to the contrary, the Board presumes that a mem-
ber’s military records are correct and that Coast Guard officers have acted correctly,
lawfully, and in good faith in performing their duties. 33 C.F.R. § 52.24(b); Arens v.
United States, 969 F.2d 1034, 1037 (Fed. Cir. 1992); Sanders v. United States, 594 F.2d 804,
813 (Ct. Cl. 1979). The applicant bears the burden of proving by a preponderance of the
evidence that the relief for cause, the page 7s related to his relief for cause, and his per-
formance evaluation dated September 30, 2003, are erroneous or unjust and that it is in
the interest of justice that they be removed.
3.
Although the applicant disputed some of his command’s conclusions
about his behavior, he has admitted that his command justifiably lost confidence in his
ability to serve as OIC of the station. Rather than arguing that his relief for cause was
per se erroneous or unjust, the applicant argued that evidence of his poor performance
during the period in question should be removed from his record because he was suf-
fering from depression and the depression caused his poor performance. He argued in
essence that because his depression caused his poor performance and he is now being
treated, he should be given a “clean slate” so that he will have another chance to
assume a position of command. The applicant is, in effect, seeking clemency so that his
career will not continue to be hampered by the documentation of his poor performance
as an OIC.
The applicant admitted that he did not seek psychological or psychiatric
help prior to his removal for cause as OIC. Although the applicant has not proved that
4.
he was suffering from depression prior to his removal for cause, it is possible that he
was, given the evidence in the record. Moreover, the applicant has not proved that his
alleged depression caused the instances of poor performance that resulted in his chain
of command losing confidence in his leadership.
5.
The Group Commander indicated in his reports to the District Command-
er that one of his most significant concerns was the applicant’s tendency to relate events
and interpret conversations differently than both his subordinates and superiors. LCDR
D had reported that crewmembers complained about the applicant telling lies. The
Group Commander noted that the applicant (a) originally claimed that the CO had
approved the purchase of two computers but then admitted that the CO did not;
(b) when speaking to the District Commander, made it sound like his own station per-
sonnel had five alcohol incidents for which processing had been long delayed by the
parent command; and (c) made contradictory statements about how much time he
spent away from the office. The Group Commander advised the District Commander
that “[t]hroughout [the applicant’s] tenure as OIC, there have been conflicting stories
between what he says took place and what others say took place. [The applicant] con-
sistently provided different versions of what happened, what others said or what others
meant. … These conflicting stories do not stop at his unit or with his subordinates; they
run right up through his entire chain of command.” As an apparent lack of credibility
on the applicant’s part was clearly a primary cause of his chain of command’s loss of
confidence, the Board is not persuaded that his relief for cause was attributable primar-
ily to his alleged depression.
The applicant argued that when his performance declined, his superiors
should have guessed that he was ill and made sure that he got psychological or psychia-
tric help. The facts do not support this conclusion. Because he was the OIC of a station
geographically removed from the parent command, his chain of command had little
opportunity to observe his day-to-day conduct. Furthermore, the applicant’s own con-
duct masked some of the poor performance that he claims was an outward sign of the
alleged depression. The Board is not persuaded that, under the circumstances of this
case, the applicant’s command was remiss in not sending him for a mental health eval-
uation.
The record indicates that the applicant received all due process in accor-
dance with Article 4.F. of the Personnel Manual during his relief for cause. He was
allowed to consult counsel and submit a statement in his own behalf when the Group
Commander recommended temporary relief for cause and again when the District
Commander recommended his permanent relief for cause.
If the applicant had sought mental health treatment while he was OIC of
the station and if he had been diagnosed with depression, his physician might have
recommended to the applicant’s chain of command that his duties be adjusted. Under
6.
7.
8.
Article 10.B.6.a.3. of the Personnel Manual, his command would have been required to
ensure that he did not receive an adverse performance evaluation solely because of his
condition. However, whether the applicant suffered from depression while he was OIC,
the extent to which the alleged depression affected his performance, and the extent to
which his chain of command’s disapproval resulted specifically from depression-influ-
enced performance are entirely speculative at this point. The Board will not remove a
performance evaluation from a member’s record based on speculative suppositions.
9.
10.
The record contains numerous allegations by the applicant concerning the
actions and attitudes of various personnel in his chain of command and at his station.
Those allegations not specifically addressed above are considered to be not dispositive
of the case.
In light of the above, the Board finds that the applicant has not proved by
a preponderance of the evidence that the continued existence of his removal for cause,
the page 7s, and the poor performance evaluation in his record constitutes an error or
injustice or that those documents should be removed from his record in the interest of
justice.
11. Accordingly, the applicant’s request should be denied.
[ORDER AND SIGNATURES APPEAR ON NEXT PAGE]
The application of xxxxxxxxxxxxxxxxxxxx, USCG, for correction of his military
ORDER
record is denied.
Frank H. Esposito
Jordan S. Fried
William R. Kraus
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