DTIC ADA582402: Managing Adverse and Reportable Information Regarding General and Flag Officers

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2012 2. REPORT TYPE 00-00-2012 to 00-00-2012
4. TITLE AND SUBTITLE 5a. CONTRACT NUMBER
Managing Adverse and Reportable Information Regarding General and
5b. GRANT NUMBER
Flag Officers
5c. PROGRAM ELEMENT NUMBER
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Managing Adverse
and Reportable
Information
Regarding General
and Flag Officers
Margaret C. Harrell, William M. Hix
Prepared for the Office of the Secretary of Defense
Approved for public release; distribution unlimited
NATIONAL DEFENSE RESEARCH INSTITUTE
The research described in this report was prepared for the Office of the
Secretary of Defense (OSD). The research was conducted within the
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Preface
Title 10 of the U.S. Code requires consideration of adverse informa-
tion by all general and flag officer boards. Also, adverse information is
considered within the services and by the Secretary of Defense when
nominating senior officers for assignment. The Secretary of Defense
must issue certifications to the President and the Senate Armed Ser-
vices Committee (SASC) regarding this information. However, there
is a diversity of sources and terminology used to describe events of
concern and individuals involved in such events, and recent individ-
ual cases have suggested possible gaps in the processes overall. This
study is intended to describe and evaluate the reporting practices of the
Department of Defense (DoD) and thus ensure that consistent, reliable
information supports decisions regarding the management of general
and flag officers.
The processes described within are complicated and there exists
no single authority. Multiple representatives from each service have
reviewed the descriptions of the service processes.
This research was sponsored by the Under Secretary of Defense
for Personnel and Readiness and conducted within the Forces and
Resources Policy Center of the RAND National Defense Research
Institute, a federally funded research and development center spon-
sored by the Office of the Secretary of Defense, the Joint Staff, the Uni-
fied Combatant Commands, the Navy, the Marine Corps, the defense
agencies, and the defense Intelligence Community.
iii
iv Managing Adverse and Reportable Information
For more information on the RAND Forces and Resources Policy
Center, see http://www.rand.org/nsrd/ndri/centers/frp.html or contact
the director (contact information is provided on the web page).
Contents
Preface ............................................................................. iii
Figures .............................................................................vii
Summary .......................................................................... ix
Acknowledgments ............................................................. xvii
Abbreviations .................................................................... xix
ChAPTeR One
Introduction ....................................................................... 1
Research Approach ................................................................. 2
Organization of This Monograph ................................................ 3
ChAPTeR TwO
Background ........................................................................ 5
The 1988 Incident .................................................................. 5
Information Provided to Promotion Boards .................................... 9
Summary of Current Requirements ............................................10
O-7 and O-8 Promotion and Assignment Requirements .................10
O-9 and O-10 Promotion and Assignment Requirements ................11
All General and Flag Officer Promotions and Appointments .............11
O-7 and O-8 Retirement Requirements .....................................11
O-9 and O-10 Retirement Requirements ....................................11
The Current Situation ............................................................12
ChAPTeR ThRee
Personnel Processes .............................................................13
Preceding the Selection Board for Promotion to O-7 and O-8 .............13
v
vi Managing Adverse and Reportable Information
Following the O-7 and O-8 Selection Board ..................................16
Screening After the Selection Board ..........................................16
Managing Adverse Information ...............................................18
Processing the Nomination Materials ....................................... 20
Differences Between O-7 and O-8 Promotion ............................. 22
Assignment and Promotion for O-9 and O-10 ............................... 23
Retirement from General and Flag Officer Ranks ........................... 27
Retirement from O-7 and O-8 ............................................... 27
Retirement from O-9 and O-10 ...............................................29
Summary ...........................................................................31
ChAPTeR FOuR
evaluation and Discussion .....................................................33
DoD and Joint Staff Documented Guidance .................................33
Services’ Processes and Guidance .............................................35
EEO/EO Processes and Data .................................................. 36
Handling of EO Complaints ................................................. 36
Handling of EEO Complaints ................................................37
EO and EEO Databases ...................................................... 38
EO and EEO Record Checks Pursuant to Promotions,
Appointments, and Retirement ..........................................39
Evaluation of EO and EEO Checks as Part of the Assignment and
Promotion Processes .......................................................39
DoD IG Screens ................................................................. 40
The Amount of Detail Provided to Selection Boards and Promotion
Review Boards ...............................................................41
Greater Focus on Assignment and Promotion Processes Than on
Retirement ................................................................... 43
DoD and the SASC Have Different Philosophies ............................ 43
ChAPTeR FIve
Recommendations ...............................................................47
Bibliography ......................................................................51
Figures
3.1. Preceding O-7 and O-8 Selection Boards ........................13
3.2. Following O-7 and O-8 Selection Boards ........................17
3.3. Assignment and Promotion to O-9 and O-10 ................... 24
3.4. Retirement ........................................................... 28
vii