DEPARTMENT OF HOMELAND SECURITY
BOARD FOR CORRECTION OF MILITARY RECORDS
Application for the Correction of
the Coast Guard Record of:
BCMR Docket No. 2009-034
XXXXXXXXXXXX
XXXXXXXXXXXX
FINAL DECISION
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 the case on November 20,
2008, upon receipt of the applicant’s completed application, and subsequently prepared the final
decision for the Board as required by 33 CFR § 52.61(c).
appointed members who were designated to serve as the Board in this case.
This final decision, dated June 18, 2009, is approved and signed by the three duly
APPLICANT’S REQUEST AND ALLEGATIONS
First Disputed Officer Evaluation Report (OER)
The applicant asked the Board to correct his OER for the period May 1, 2005, to May
31, 2006 (first disputed OER) by raising his comparison scale mark in block 91 to show that he
was marked as an “excellent performer; give toughest, most challenging leadership assignments”
rather than as a “good performer; give tough challenging assignments.” The applicant alleged
that when he was counseled on this OER by his reporting officer the block 9 mark was that of an
“excellent performer,” but when he received the final OER, the mark had been lowered to that of
a “good performer.” The block 9 mark was the only significant change to the OER after he was
counseled. He submitted an email from the reporting officer for this OER, who stated, “I don’t
remember marking the “middle” in block 9. I thought it was to the right of that and that’s the
story I’ll stick to.” The applicant also argued that the block 9 mark is inconsistent with the 5.27
average score of his performance marks and the highly flattering comments in the OER, such as:
“Superior aviation skills . . .,” “Showcased superior piloting skills and keen judgment,” and “a
strong and tactful leader, provided seasoned guidance and direction to senior officers new to the
C130 during numerous operational training scenarios.”
1 The comparison scale of the OER is where the reporting officer compares the reported-on officer with others of
the same grade that the reporting officer has known.
Of the 18 performance dimensions on the first disputed OER, the applicant received two
marks of 4, ten marks of 5, five marks of 6, and one mark of 7 (on a scale of 1 to 7, with 7 being
the highest). In block 10 where the reporting officer described the applicant’s potential to
assume greater leadership roles and responsibilities, the reporting officer wrote the following:
A highly talented aviator and gifted educator whose maturity, judgment and
attention to detail led to a well deserved assignment as C-130 Standardization
Officer. [The applicant] continually displays care for members of this [command]
and the local community, demonstrated an undying desire to improve himself &
those around him. Gifted pilot, uncommon devotion to raising own & others
aviation professionalism. Instructor Pilot and Safety Officer program potential.
Possesses the intellectual ability & self discipline to excel in a post-graduate
program. Is highly recommended for the same. Ready for positions of greater
responsibility. My highest recommendation for promotion with peers.
Second and Third Disputed OERs
The applicant also requested that the mark of 4 in the work-place climate dimension2 be
raised from 4 to 5 on the OER for the period from June 1, 2006 to May 11, 2007 (second
disputed OER) and on the OER for the period from May 12, 2007 to May 31, 2008 (third
disputed OER). The applicant stated that he was given a mark of 5 in the workplace climate
dimension on the earlier first disputed OER, but the mark in this category was lowered in the
subsequent second and third disputed OERs. He argued there are no comments or
documentation to support the 4 in this category and that strong statements about his leadership
and potential in the comment sections of blocks 5 and 10 of the second and third disputed OERs
support a mark higher than 4. The applicant stated that his supervisor for the second disputed
OER told him that a change from 5 to 4 is not regression and that it was difficult to get a right of
center mark in that dimension, except for the civil rights officer. However, the applicant noted
that his two predecessors, who were flight examiners and not civil rights officers, received marks
of 5 or higher in workplace climate.
The applicant argued that the traits he was required to demonstrate in obtaining his
qualification as an Instructor Pilot and a C130 Flight Examiner, the highest position for an
aviator, are evidence that he should not have been given a 4 in workplace climate. In this regard,
he stated that to obtain qualification as an Instructor Pilot, he had to demonstrate patience, tact,
understanding, a desire to instruct others, the ability to obtain the trust of others, and the respect
of others. As a Flight Examiner, he was required to communicate, mentor, and inspire those
around him. He stated that he achieved the highest qualification possible for an aviator as a
flight examiner during the period covered by the second and third disputed OERs, which is a feat
that is accomplished by less than 10% of Coast Guard aviators.
Failure of Selection for Promotion to Lieutenant Commander (LCDR)
2 This dimension in the supervisor’s portion of the OER evaluates an officer’s “ability to value individual
differences and promote an environment of involvement, innovation, open communication, and respect.”
The applicant requested that his failure of selection before the promotion year (PY) 2009
LCDR selection board be removed from his record. The applicant argued that because he has
exceeded the personal, professional and leaderships guidance set forth by the Commandant and
by the Personnel Manual for selecting officers from O-1 through O-4 to the next higher grade,
senior officers who reviewed his military record were of the opinion that the marks under review
were the likely causal factor for his non-selection for promotion to LCDR. He argued that if the
Board found the marks to be erroneous that his failure of selection be removed.
Reserve Retirement Points
The applicant also requested that his Reserve Retirement Point statements be removed
from his record when reviewed by future selection boards. Although he is a now an officer in the
regular Coast Guard, he believes the reserve documents could confuse a selection board as to his
current active duty status, especially since they occupy the last six pages in his electronic record
and are the documents last seen by the selection board members upon their initial review of his
record.
VIEWS OF THE COAST GUARD
On April 15, 2009, the Judge Advocate General (JAG) of the Coast Guard submitted a
memorandum from the Commander, Coast Guard Personnel Command (CGPC) as the advisory
opinion. CGPC recommended that the application be denied.
With respect to the first disputed OER regarding the applicant’s allegation that he should
have been marked as an “excellent performer” on the comparison scale, CGPC submitted
statements from the rating chain, who offered the following, in pertinent part.
1. The supervisor for the first disputed OER stated that based upon his observation of the
applicant’s superior performance during the period in question, he should have been marked as
an “Excellent performer” in block 9, which is the mark he recommended in his evaluation input.
He stated that he was neither consulted not given any indication that the block 9 mark he
recommended would be lowered to “good performer.”
2. The reporting officer for the evaluation, and the individual responsible for assigning
the mark, stated in contrast to the applicant’s statement, OER counseling would have been done
only upon completion of the OER process and not before the reviewing officer signed the OER.
He stated therefore, he believes that he selected “good performer” rather than “excellent
performer” to describe the applicant. He stated that he does not recall the specifics of why he
marked the applicant as a good performer but he remembers that the applicant’s performance was
commendable. He remembers the applicant offering to help others with their work assignments
and that he was always focused on his primary and collateral duties. The reporting officer stated
that the mark of “good performer” may have been an error. “Given the opportunity today, I
would select “Excellent” as my overall evaluation mark.
3. The reviewer wrote that he had the opportunity to observe the applicant’s
performance. He stated that as the reviewer, he generally did not change evaluation marks and
certainly would not have changed an evaluation mark without conferring with the supervisor or
reporting officer. The reviewer stated that although he had no evidence that he changed the block
9 mark, he clearly made minor edits to the text of the OER. He stated that it is possible that the
mark was inadvertently changed and not caught upon final review. He noted that OERs are
edited on a screen and he has known marks to be inadvertently changed using the on-screen
process. He stated that at the time he only checked to ensure that his edits were corrected on the
OER, he did not check the entire OER for inadvertent changes. He recommended “that this OER
be changed to reflect a [the higher mark] in block 9 comparison scale based on a likely
administrative error.”
the block 9 mark, CGPC offered the following:
In response to the declarations from the rating chain for the disputed OER with respect to
The rating chain for the [disputed] OER provided declarations in which there is a
general consensus that the Reported-on Officer’s performance did merit a mark of
“excellent” in their individual perspective views for the mark in the comparison
scale dimension. However, even though the views of the supervisor and reviewer
support a change in the mark, it is solely the reporting officer who assigns this
mark. The criteria for this is that he must choose the one mark that most closely
reflects the reporting officer’s ranking of the reported-on officer, relative to all
other officers of the same grade the reporting officer has known. The applicant
has not provided specific evidence to dispute that the mark was inaccurate at the
time the reporting officer made this judgment, and [he] did not take steps to have
the record corrected prior to his non-selection. In considering the reporting
officer’s statement in his declaration that given the opportunity today he would
change the mark, consideration must be given to this mark’s relative ranking
criteria which required a reporting officer to make a judgment this is subject to
change over time, as the reporting officer increases the number of officers he has
known in a particular grade.
Based on the record and [the reporting officer’s] declaration, it appears he
fulfilled his responsibilities as the applicant’s reporting officer and provided an
accurate and fair comparison scale [mark] of the applicant at the time of the
report.
With respect to the mark of 4 in the workplace climate dimension in the supervisor’s
portion of the second and third disputed OERs, CGPC obtained a statement from the supervisor
for the second disputed OER and from the supervisor and reporting officer of the third disputed
OER.
1. The supervisor for the second disputed OER wrote that he did not remember the
specifics of the OER, but based upon his review of the available documentation, he concluded:
“For the dimension of Workplace Climate (5e), my evaluation of the performance of [the
applicant] was that of a 4.” His performance with regard to his ability to value individual
differences and promote an environment of involvement, innovation, open communication and
respect, was at the high level of performance expected of all Coast Guard officers.
2. The supervisor for the third disputed OER stated that he could not recall the specific
details of the applicant’s OER for the period under review. He concluded: “For the dimension of
Workplace Climate (5e) my evaluation of the performance of [the applicant] was a 4. This mark
was consistent with my observation of [the applicant’s] performance throughout the period.”
3. The reporting officer for the third disputed OER wrote that he “found that the
supervisor’s mark of 4 in Workplace Climate . . . was consistent with the input contained within
the OER routing folder, the [supervisor’s] comments in the ‘leadership skills’ text block and my
direct observations.”
CGPC did not recommend any relief with respect to raising the mark in the Workplace
Climate categories of the second and third disputed OERs. CGPC stated that the marks appear
to be accurate and that the pertinent members of the rating chain for the second and third
disputed OERs reaffirmed the marks. CGPC also noted that the applicant failed to object to the
marks at the time they were given by filing a reply to the OERs.
With respect to his record containing his earlier reserve retirement points statements,
CGPC stated that boards and panels must consider an officer’s entire record, and Commandant
Instruction 1401.2 list the documents that may be viewed by a selection and the Coast Guard
Reserve Annual/Term Point States is included.
CGPC stated that the applicant’s failure of selection before the PY 2009 LCDR selection
board should not be voided. CGPC stated that selection board members are charged with
reviewing the entirety of an officer’s record as directed by the convening precept in selecting
those individuals they feel are best-qualified. CGPC stated that the applicant has not provided
convincing evidence that would rebut the position he would otherwise not have been selected.
APPLICANT’S RESPONSE TO THE VIEWS OF THE COAST GUARD
On May 18, 2009, the Board received the applicant’s reply to the views of the Coast
Guard.3 He disagreed with them.
The applicant stated that according to Article 14.A.4.d. of the Personnel Manual, the
immediate previous six years of service in his current grade is considered the most significant.
He argued that if the previous six years is the most significant, placing the retirement point
statements immediately after his most recent OER might cause a selection board to believe it was
within the previous six years and that he was a reservist. He stated that since the reserve
3 The applicant raised two new issued in his reply to the views of the Coast Guard. They are his allegation that his
ensign OERs were not masked from the view of the 2009 LCDR selection board as required by COMDTINST
1410.2 § 7.b.; and his allegation that the description of his duties in block 2 of the third disputed OER is inaccurate
and understates the full scope of his duties. These two issued will not be addressed in this decision because the
Coast Guard has not had an opportunity to comment on them. The applicant may file a new application with the
Board presenting the two new issues.
retirement point statements are more than six years old and have no bearing on his selection for
LCDR they should be removed from the record that will be reviewed by the selection board.
On the issue of the mark of 4 in workplace climate, the applicant stated that the rating
chain members for the second and third disputed OERs did not give a reason for his regression
from the mark of 5 he received on the first disputed OER in this area, particularly when his
marks increased in all other areas. He cited comments in the second and third disputed OERs
that he believes proves that he should have had a higher mark in this dimension.
With respect to the Coast Guard’s comments about his block 9 mark on the first disputed
OER, the applicant stated that the comment that he has provided no evidence that the mark is
inaccurate is incorrect. In this regard, he stated that he submitted his supervisor’s draft OER and
the reporting officer’s draft OER showing that he had been marked as a “excellent performer.”
The applicant erroneously noted that the reporting officer wrote in his declaration that he
counseled the applicant on an OER that had not been fully completed and signed by reviewer.
(The reporting officer actually stated in his declaration “OER counseling was done upon
completion of the OER process, not before the Reviewing Officer signed the document; therefore
I have to believe I selected “Good” vice Excellent.”) The applicant also noted, as he did in his
application that the reporting officer wrote in an email that he thought he had marked the
applicant right of center and that he would stick to that belief. In addition, the applicant noted
that the reporting officer subsequently stated that given the opportunity today, he would mark the
applicant as “excellent” on block 9. The applicant stated that all three officers in his rating chain
for the first disputed OER attested that his performance met the “excellent” standard on block 9.
Therefore, he argued there should be no argument against changing the mark to “excellent
performer . . .”
With respect to his failure of selection for promotion to LCDR, the applicant questioned how he
was not among the best qualified if he had attained the highest aviator qualification as mentioned
in the description of his duties on the second and third disputed OERs. He stated that the Coast
Guard did not address this contention in its response. He stated that he did not challenge the
disputed OERs because he believed what his supervisors and rating chains had been saying for
his entire career: “that [his] progression was normal, [his] performance excellent, and there
would be no reason for [him] not to promote.” He referred to many complimentary comments in
his OERs, endorsement to an extension request, and on a plaque given to him upon his departure
as support that he should have been selected for LCDR and that something inappropriate must
have occurred since he was not selected. The applicant also noted that he was assigned to
independent duty as the Coast Guard’s “C130 Standardization Team Liaison to the United States
Air Force.” The applicant concluded his statement with the following:
I believe there are mistakes and injustices in my record. I believe that the
inclusion of certain documents, especially due to their chronological placement in
the record could have, and will in the future, confuse/negatively influence
promotion board members. Lastly, I believe that because of the discrepancies
noted . . . my record was not evaluated fairly, discounted, or simply not viewed
by the PY [2009] promotion board.
FINDINGS AND CONCLUSIONS
The Board makes the following findings and conclusions on the basis of the applicant's
military record and submissions, the Coast Guard's submissions, and applicable law:
1. The Board has jurisdiction concerning this matter pursuant to section 1552 of title 10
of the United States Code. The application was timely.
2. The first issue is whether the block 9 comparison scale mark on the first disputed OER
is in error. There are seven rating choices on the comparison scale. They range from highest to
lowest, as follows: “Best Officer of this grade”; “Strongly recommended for accelerated
promotion”; “Excellent performer; give toughest and most challenging leadership assignments”;
“good performer; give tough, challenging assignments”; ‘Fair performer; recommended for
increased
limited potential”; and “Performance
unsatisfactory for grade or billet.” The applicant was rated as a “strong performer.”
responsibility”; “Marginal performer;
3. With respect to the comparison scale of the OER, Article 10.A.4.c.8.a.& d. state as
follows:
The reporting officer shall fill in the circle that most closely reflects the Reporting
Officer’s ranking of the Reported-on Officer relative to all other officers of the
same grade the Reporting Officer has known. NOTE: this section represents a
relative ranking of the Reported-on Officer, not necessarily a trend of
performance. Thus, from period to period, an officer could improve in
performance but drop a category. [Article 10.A.4.c.8.a.]
No specific comments are required to support the Reporting Officer’s judgment in
this section. However, a mark other than in the center three circles is
strengthened considerably if there are comments in the report from which one
could reasonable draw a conclusion why this particular officer has been
indentified as different from the majority of this grade. [Article 10.A.4.c.8.d.]
4. In each case, the Board presumes that Coast Guard officials have carried out their
duties “correctly, lawfully, and in good faith.” 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 presumption is
rebutted by “clear, cogent, and convincing evidence to the contrary.” See Muse v. United States,
21 Cl. Ct. 592 (1990). See also decision of the Deputy General Counsel in BCMR No. 2000-
037.
5. With respect to the accuracy of the block 9 comparison scale mark, the applicant
offered statements from the rating chain. Although the supervisor had no responsibility for
rating the applicant on block 9, he stated that he recommended that the reporting officer mark the
applicant as an “excellent performer.” The reporting officer was free to accept or reject the
supervisor’s recommendation. As evidenced by the disputed OER, the reporting officer rejected
the supervisor’s recommendation and marked the applicant as a ”good performer.” The
supervisor’s opinion does not prove that the reporting officer’s judgment and evaluation of the
applicant as a “good performer” was inaccurate.
6. Additionally, the reviewer’s statement suggested that the OER was presented to him
for review with the applicant marked as a “good performer” because it was not his practice to
change evaluation marks, and if he had done so he would have conferred with the reporting
officer. There is no evidence of any consultation between the reporting officer and reviewer
about the comparison scale mark. Although the reviewer indicated that the block 9 comparison
scale mark was likely an administrative error due to an inadvertent key stroke, he never stated
that the mark of “good performer” in block 9 of the disputed OER was inaccurate even though he
stated that he had an opportunity to observe the applicant’s performance. The reviewer’s
statement is speculative and does not persuade the Board that the mark is erroneous.
7. The reporting officer’s statement is the most relevant because it was his responsibility
to evaluate and rate the applicant on the block 9 comparison scale. However, his statement is not
a definite, clear, cogent, and convincing piece of evidence. In this regard, he could not remember
the specifics of the OER, but after reviewing the OER recently he believes that he must have
marked the applicant in the “good performer category” on the comparison scale. More
importantly, the reporting officer never stated that the mark was a mistake, but rather he stated
that it “may have been an error.” The reporting officer never explained how any such alleged
possible error could have occurred. The reporting officer’s statement is weak and offers only
conjecture about the accuracy of the comparison scale mark and is therefore not persuasive to the
Board.
if
8. The Board is further persuaded as to the accuracy of the disputed mark because of the
applicant’s behavior and that of the rating chain. In this regard, the applicant admitted that he
knew that he had received a mark of “good performer” rather than “excellent performer” on the
comparison scale when he received the finalized OER and apparently accepted it until he was not
selected for promotion to LCDR. Further, both the reporting officer and the reviewer were aware
that the applicant had been marked as a good performer at the time the OER was prepared, even
though now they speculate that it may have been an error. It appears to the Board that the
alleged administrative error,
it existed, should have been caught and corrected
contemporaneously with the OER process.
9. Finally, with respect to the first disputed OER, the Board finds that the comments and
marks in the other categories of the OER are not inconsistent with the mark of “strong
performer” on the comparison scale. Nor is a mark in block 9 dependent on the other OER
marks. Article 10.A.4.c.8.a. of the Personnel Manual states that the reporting officer shall fill in
the circle that most closely reflects the Reporting Officer’s ranking of the Reported-on Officer
relative to all other officers of the same grade the Reporting Officer has known. The applicant’s
argument that the block 9 mark is inconsistent with other OER marks is not persuasive.
10. The applicant has also failed to prove that the mark of 4 in workplace climate on the
second and third disputed OERs should be raised to 5. The supervisors for the second and third
disputed OERs indicated that the mark of 4 in Workplace climate was correct. The applicant
argued that there is no explanation why he received a 4 on the second and third disputed OERs,
when he 5 on the earlier first disputed OER. He further argued that the positive comments about
his leadership and potential on the second and third disputed OERs support a higher mark.
However, the mark in workplace climate is dependent on how the applicant measures up to the
predetermined standard for workplace climate and not on the marks he received in other
evaluation categories. Article10.A.4.c.4.d. of the Personnel Manual states that for each
evaluation area, the supervisor shall . . . carefully read the standards and compare the reported-on
officer’s performance to the level of performance described by the standards.” Workplace
climate standard are different from those of leadership and potential. Further, the applicant fails
to mention that he had new supervisors for the second and third disputed OERs who judged his
performance in this category as rating a mark of 4. The fact that he had a higher mark by an
earlier supervisor does not mean that the marks in workplace climate on the second and third
disputed OERs by different supervisors are erroneous; nor does the fact that applicant disagrees
with the marks assigned by his supervisors prove the disputed marks are erroneous. The marks
represent the judgment of the rating chain and they have reaffirmed the accuracy of the marks.
The applicant has not provided evidence that rebuts the accuracy of the 4s he received in
workplace climate on the second and third disputed OERs.
11. The applicant’s argument that his earlier reserve retirement point statements should
be temporarily removed from his record so that they are not viewed by a selection board is
without merit. Enclosure (1) to COMDTINST 1410.2 list “CG Reserve Annual/Term Point
Statement” as documents permitted to be viewed by an ADPL selection board. Therefore, the
Coast Guard did not commit an error by maintaining them in the applicant’s record that was
reviewed by the LCDR selection board. The applicant’s argument that the members of the
selection board could have been confused as to whether he was a regular Coast Guard officer
because the retirement points statements followed his most recent OER is speculation.
Article14.A.4.d. of the Personnel Manual states that the six years of immediate previous service
or all service in the present grade, whichever is greater is most significant. However this
provision does not require removal of the retirements points statements. The applicant has
failed to prove an error or injustice with respect to the retirement points statements.
12. Accordingly, the applicant’s requests should be denied.
ORDER
Bruce D. Burkley
The application of XXXXXXXXXXXXXXX, USCG, for correction of his military record is
denied.
Richard Walter
Robert F. Parker
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