Documente Academic
Documente Profesional
Documente Cultură
OFFICER
ACADEMY
DISTANCE
LEARNING
COURSE
UNIT MANAGER
Thomas N. Barnes Center for
Enlisted Education
Maxwell-Gunter AFB, Alabama
Air University
TABLE OF CONTENTS
Teams ............................................................ 9
Definitions .................................................. 9
The Teams Mission ................................... 14
Team Roles ................................................. 18
The P.E.P. Cycle ...................................... 26
Z Process .............................................. 27
Adaption Innovation (A-I) Theory ........... 31
Team Dynamics .......................................... 31
The Five Cs of a Team ............................ 33
The Five Common Dysfunctions of a Team
.................................................................. 35
Stages of Team Development .................... 38
Forming Stage .......................................... 38
Storming Stage ......................................... 39
Norming Stage ......................................... 40
Performing Stage...................................... 40
Adjourning and Transforming.................. 41
Regression of a Teams Development ..... 43
Measuring Team Success........................... 48
Followership ............................................... 70
Developing as a Leader to Lead Airmen .. 76
Developing and Inspiring Others .............. 77
Diagnosing ............................................... 78
Adapting ................................................... 80
Communicating ........................................ 84
Developing Airmen .................................. 84
Leadership Power ...................................... 91
Types of Power ........................................ 91
Developing Leadership Power ................. 91
Leadership and Contemporary Motivation
...................................................................... 95
Scenario Questions ................................. 103
Scenario Answers ................................... 105
Personal Leadership Development Plan
(PLDP) ...................................................... 113
Definitions................................................. 229
Discipline in the Air Force..................... 229
Preface
Welcome to the Unit Manager volume! Unit managers are professionals who understand and are
committed to the profession of arms. They apply their understanding of management concepts in
all situations: in garrison, in country, and in combat. Unit managers provide ethical guidance
while managing human and physical resources. While adhering to the core values and applying
an understanding of human behavior, they mold their Airmen into a cohesive team capable of
meeting any challenge. Unit managers oversee numerous programs, ensuring their sections or
flights can adapt to an ever-changing expeditionary environment.
To further the development of skills necessary to fulfill supervisory responsibilities for the
NCOs current rank and to prepare them for future responsibilities; this volume will help you
develop the skills to aid in leading and managing Air Force units. It consists of chapters that will
focus on: Team Building, Leadership Influence, Negotiation, Resource Stewardship, Discipline,
Emergent Leadership Issues, Change Management, and Continuous Improvement. Throughout
this volume, youll be presented with scenario situations that give you the opportunity to apply
what youve learned in order to evaluate how well youve grasped the information provided.
Youll also be given the chance to think about your development and how this material applies to
you personally via Self-Reflection Opportunities that are located throughout the volume.
Your success in this volume will depend on how much quality time you invest in it. Learn as
much as you can; share as much as you can with others; and apply what you learn to help you
and your subordinates develop and grow as military professionals. Together, we accomplish the
Air Force mission!
Group
Team
Roles
The Z Process
A-I Theory
Team Dynamics
Five Cs of a Team
Forming
Storming
Norming
Performing
AFFECTIVE OBJECTIVE:
Value team building and how it
enhances on NCO, unit, and team
effectiveness.
Affective Samples of Behavior:
1. Actively participate in reflective
thinking opportunities associated
with team building and its impact
on NCO, unit, and team
effectiveness.
2. Willingly accept that team
building is important to NCO,
unit, and team effectiveness.
3. Willingly develop a preference
for using team building to
enhance NCO, unit, and team
effectiveness.
4. Commit to using team building to
enhance NCO, unit, and team
effectiveness.
Teams
Teams are everywhere! You will find them on school playgrounds, in musical bands, in
organizations (like process improvement teams), professional sports teams, military
peacekeeping and humanitarian effort coalitions, inspection teams, etc. There is also the team
youre a part of, your work center team. As a noncommissioned officer, you are the leader of
and a team member among Airmen. You may not have selected your team and its members-you
were either assigned to it or it was assigned to you.
Definitions
From your own experiences, how
would you explain the difference
between a group and a team? Often
times, groups are associated with
words such as: collection, gaggle,
crowd, cluster, assembly, gathering,
or mass. When taken in this context it is easy to see that a group is
simply an assembly of people or objects.
With this definition, it is easy to see how a group can mature into a
team. As history and your personal experiences show, teams are a
special kind of group, but not all groups become teams.
A group is an
assemblage of persons
(or objects) located or
gathered together.
A team is a group
organized to work
together.
Words that describe teams include: unified, cohesive, collaborative, solidarity, joint, and
coalition. From a review of these words you should be able to recognize a team as being an
organized group of individuals working together to reach a common goal. This statement may
seem simple enough.
However, there are several key elements to consider before a group becomes a team. For
instance, a group must first be organized in order to work together. Just like a well-tuned
machine, several parts (or persons) must be
positioned with efforts synchronized to function in
a way that produces a mutually-desired result.
Teams will typically outperform any group and
most reasonable expectations placed on each of its
members. This is due to the synergy teams
generate. One plus one equals a lot more than two.
It is important to understand the difference
between a group and a team. A group is just
people gathered together with no common goal or
shared identity. An example of this would be a collection of strangers on a bus or elevator.
Sure, they all share the common goal to reach the same destination, but they are not
coordinating, or organizing, their individual efforts to reach this goal.
10
Increased productivity
Strong identity/camaraderie
There is a place for groups in our society, but not in our military forces. As enlisted leaders, you
are responsible for health, welfare, and performance. The demands placed on our people and
organizations call for the power of real teams. Together we pursue a mutual goal that we refer to
as our team mission.
11
12
13
Progress Check
1. Define group and give some examples.
4. When you are just part of a group, how did you feel about supporting its efforts and its
members?
6. What are some indications (signs, symptoms, or behaviors) of an organization with a healthy
team spirit?
14
Mission is a duty
assigned to an individual
or unit; a task.
As Airmen, you are all part of a unique and outstanding team expected to produce results that
contribute to fulfilling this mission. The above statement acts as a focal point or lighthouse
that motions our Air Force toward a common objective. As NCOs and enlisted leaders, you must
completely understand and accept your teams mission before you can influence and motivate
others to commit to it. Developing a clear vision that captures the desired outcome is necessary
especially when articulating it to, and providing direction for, your team. One method used to
assist in guiding personnel is known as a mission statement.
For instance, Air Universitys mission:
As the intellectual and leadership center of the Air Force, Air University
provides dynamic comprehensive education to prepare graduates to develop,
employ, command, research and champion air, space, and cyberspace power at
all levels.1
The Thomas N. Barnes Center for Enlisted Education is a subsidiary of Air University whose
mission statement is more specific, detailing what this organization does to support Air
University initiatives that support the Air Force mission. The Barnes Center is committed to:
Provide the continuum of education necessary to inspire and develop enlisted
leaders with the moral framework of integrity, service, and excellence.2
15
With focus on this mission statement, members of the 8T000 Air Force Specialty orchestrate all
efforts to provide enlisted members with a continuum of education necessary to develop them as
the worlds best enlisted Air Force leaders.
Curriculum designers conduct hours of research to capture the
latest and greatest theories, concepts, practices, techniques,
methodologies, and strategies. They use these information
sources to construct student guides and teaching instruments that
are used at ALS and NCO academies worldwide as well as the
AFSNCO Academy and Chiefs Leadership Course located at
Maxwell-Gunter AFB, Alabama.
Management is in-place to oversee the organizations various
functions, academies, programs, and processes to ensure Team PME meets its mission to
provide a continuum of education for todays enlisted force. Their combined efforts support
enlisted Airmen in fulfilling their overarching Air Force mission.
16
17
Progress Check
7. What is meant by team mission? What is your teams mission?
8. As an NCO and team leader, how important is it for you to understand and articulate your
teams mission to the team? Why?
18
Team Roles
The mission cannot be completed without people and those people play certain roles within the
team to accomplish that mission. Each member of the team is uniquely structured with a
combination of personality temperaments, traits, strengths, and skill sets. These characteristics
may lead to ones selection for a particular job, responsibility, or role on a team. According to
Allen N. Fahden and Srinivasan Namakkal, developers of the Team Dimensions Concept and the
Team Dimensions Profile, there are four roles that are typically found on teams and together
spell out CARE:
These are roles that people find most comfortable fulfilling based on their most natural thought
processes and behavioral tendencies. These responsibilities represent the key roles that people
perform on successful teams to accomplish a shared mission to reach a desired result. Please
understand none of us are locked in to any one role. In fact, when part of a team, you may often
find yourself performing roles and responsibilities that are not natural for you to perform.
The first of these basic roles is the Creator.
Creators focus on the possibilities. They generate new
ideas and fresh concepts. They prefer to live in a world of
possibilities. Creators look for activities that are
unstructured or abstract, and they thrive on innovation and
unique solutions. Creators are good at reframing a problem
and looking for outside the box solutions.
Creators are not limited by fear of reprisal or failure, or by
existing rules, regulations, or boundaries. Creators see
problems or situations from a globalist perspective so they
are often able to recognize alternatives that others may miss.
19
Creators are:
After ideas are created, savvy team leaders hand them off to the Advancer.
Advancers focus on the interaction. They communicate
new ideas and carry them forward. Advancers manage the
human component of any solution and enjoy whipping up
enthusiasm for a project. Advancers recognize ideas and
new directions in their early stages and develop ways to
promote them.
Advancers use insightful planning based on past experiences
and successful methods to advance ideas towards
implementation. Advancers prefer familiar ideas but are not
inclined to let rules and boundaries discourage them.
Actions are directed toward achieving objectives by the
most direct and efficient means.
Advancers are:
Well-developed promoters
An Advancer recognizes new opportunities, develops ways to promote ideas, and moves toward
implementation. It is critical for them to be open to what should happen next; this is when smart
team leaders turn to the Refiner on the team.
20
Detail-oriented
Analytical
As the Refiner challenges and analyzes ideas and plans, they are often passed back and forth
among the Advancer, Creator, and Refiner until the Refiner is satisfied that the idea or plan is
ready for implementation by the Executor.
Executors focus on the realization. They follow up on team objectives and implement ideas and
solutions. Executors deliver concrete results and seek successful implementations.
The Executor focuses on ensuring the implementation
process proceeds in an orderly manner, based on a wellthought-out plan. Executors strive for achieving highquality results, with attention to details.
Executors prefer to let others take the lead on creating and
refining ideas because they enjoy the task and responsibility
of final implementation. Executors pride themselves on
their ability to meet objectives professionally and
efficiently.
Assertive
Independent
The Executor lays the groundwork for implementation, manages the details, and moves the
process to completion.
One final role that may be present on the team is the Flexer.
Flexers can focus on everything. They are a combination of
the other four roles. Flexers have an equal preference for
most or all of the roles.
Flexers can often adapt their styles to fit the needs of the
team, and they probably view issues from different
perspectives.
Given their ability to adapt their style, Flexers are very good
at monitoring contributions of all team members and filling
the gaps in order to keep things moving in the right
direction.
Flexers are:
Able to identify what is missing in the process, and fill in the gap to allow for
uninterrupted progress
Because we almost never to get to pick our team members, we need to be prepared for what
could occur when one or more of the roles are missing. Here are a just a few examples:
21
22
Without Refiners, new directions are not thought through; details are overlooked
23
Never assume Creators are natural team leaders simply because they feel comfortable thinking
up original ideas or that Executors make good team leaders because of their assertiveness. The
situation and team dynamics are what influence how team roles play out.
24
Progress Check
9. In The Office activity at the beginning of this lesson identify the character with each role
of a team. How can you identity them?
Character
[Name]
Team Role
10. Using the table, list the five roles associated with teams and some of the characteristics for
each.
Roles
Characteristics
25
11. Again, list the five roles associated with teams and what the impact to the team might be if
the role was not present.
Roles
26
When brainstorming begins, Refiners are usually unable to offer any ideas until they have more
information and so they remain in Panic mode. Therefore, instead of generating ideas, Refiners
observe the interaction between the Creators and Advancers, scrutinizing (analyzing) every
proposal. They examine ideas, considering facts and logic, to determine whether they are
reasonable. Some of the ideas may be confirmed as unacceptable which will cause Creators to
slide back to a state of Panic until the next great idea evolves.
NCOs who fully understand this process can utilize their knowledge to help team members
embrace ideas during the elation phase. When team leaders catch ideas, at the top of the P.E.P.
cycle and hand off ideas appropriately, team members become highly motivated and, in turn, the
team becomes very effective. The key to success is effective use of the P.E.P. cycle.
27
Z Process
Ideas often bounce back and forth among the Creators, Advancers, and Refiners in whats called
the Z Process. The Creator comes up with an idea and as the Advancer begins promoting it,
the Refiner begins analyzing it. The idea might go back and forth several times before the
Refiner (along with the Creator and Advancer) agree the idea is ready to pass off to the Executor.
The Executer, who has been waiting for an idea to come to fruition (realization) then, moves the
idea into production. Flexers assist the other roles by satisfying the unfulfilled needs of the team
in order to reach the goal.
28
Leaders must effectively manage throughout the P.E.P. Cycle and Z Process to make sure the
team succeeds. Without continuous leadership involvement and oversight, Creators are likely to
continue developing ideas, gaining support from the Advancers and criticism from the Refiners.
In the meantime, the Executor waits impatiently idle, waiting for the call to action.
It is up to the team leader to:
Along with Z Process and the P.E.P. Cycle, Team dynamics has a significant impact on team
effectiveness. Adaption-Innovation (A-I) Theory has a significant impact on team effectiveness.
SELF-REFLECTION OPPORTUNITY: In successful teams there are key roles that people
perform to accomplish a shared mission to reach a desired result. In the accomplishment of
your work centers mission who are the Creators, Advancers, Refiners, and Executors. Do
you have Flexers on your team?
Progress Check
13. How would you summarize the P.E.P. cycle?
15. From your reading, how would you summarize the Z Process?
29
30
17. How can you use this information on team roles, P.E.P. Cycle and the Z Process to help
your flight?
18. How will knowledge of team roles the P.E.P. Cycle, and the Z Process, help you in the
future?
31
Team Dynamics
The key elements in the art of working together are how to deal with change,
how to deal with conflict, and how to reach our potential...the needs of the team
are best met when we meet the needs of individuals persons.
- Max DePree
Team Dynamics is an
ongoing process
involving interaction of
individuals within a team
to move toward or away
from achieving the
desired objective.
32
There are three critical and interrelated elements found in this definition.
The term ongoing process indicates continuous activity. Group dynamics is one in
which members remain engaged in for as long as they are team members.
Groups are usually formed without consideration to each persons skill set. Groups evolve from
members with random and overlapping skills and abilities. These people usually are considered
crowds with no defined purpose to direct their various talents toward.
Teams, on the other hand, are more organized as
members become aware of their partners skills
and responsibilities (roles). Cohesive teams have
the ability to realize the needs of their teammates
and are considerate of their strengths.
It is this understanding among team members that
proves vital to the teams development and overall
success.
Websters dictionary defines teamwork as:
Work done by several associates with each doing a part but all
subordinating personal prominence to the efficiency of the whole.
Whether you work for a small town grocery store with ten employees or a squadron with two
hundred assigned, your organizations success is a result of teamwork. Without teamwork,
people are likely to pursue their own personal dreams and agendas, allowing the mission to idle.
However, effective teamwork directs the energy of all towards one concerted effort which
typically leads to incredible results.
33
One question leaders often ask: How do I build a solid team of people who work well together
to move the organization forward? While many managers find themselves directing individuals
instead of teams, there is a way to build a true team thats geared for success; its called the Five
Cs of a Team.
34
35
No matter how large or small your team, success doesnt happen overnight, but it does begin
with your leadership. Thats why its vital to lead by example. Be willing to do whatever you
ask your team members to do. Focus on peoples positive actions, decisions, and behaviors and
encourage more of it. Bottom line: do things right and acknowledge it when others do things
right too. Before you know it, youll have a winning team capable of achieving amazing results
that propel the organization forward.3
Unfortunately, many organizations fail to develop effective teams because managers overlook
five dangerous but natural team behaviors. Executive team development and organizational
health specialist, Patrick Lencioni, refers to these behaviors as the Five Common Dysfunctions
of a Team.4
36
37
38
Forming Stage
When teams begin forming, members will cautiously
explore the boundaries of acceptable group behavior.
Like hesitant swimmers, they stand by the pool, dipping
their toes in the water testing its temperature.
39
This stage transitions people from individual to member status. Establishing (Forming) a team
usually appears unstructured and quite chaotic which often results in delayed progress and a slow
start toward reaching the teams goal. This is perfectly normal.5 During this stage, everyone is
polite and on their best behavior as group members become acquainted with one other.
Team leaders incorporate introductions and socials (ice breakers) and introduce the teams
objective which should accelerate the teams forming process. Every team begins in this initial
stage of team development. Once the initial excitement and enthusiasm subside, team members
soon realize that there is work to be done. Conflict usually does not occur at this time as
members attempt to keep ideas simple, avoid serious topics, and communicate respectfully in
order to avoid any controversy. If feelings are shared, feedback is kept to a minimum.
Productivity is usually little to none during the Forming stage. When a team has outgrown the
forming stage, it enters the storming stage.
Storming Stage
Storming is considered the most difficult stage for a team. Here is where members acknowledge
what the intent of the team is and what the eventual goal is. Referring to the earlier swimming
analogy, members dive in the water and, thinking theyre about to drown, they thrash about. It is
in this stage where members realize the difficulty of the task which leads to increased stress and
anxiety levels. Dissatisfied with the teams progress and its ambiguous expectations, members
begin to argue and debate about what the team should do next. Tensions rise as members
contemplate where they fit in as productive members, relying solely on their personal and
professional experience and resist efforts to collaborate.6
During the storming stage, some team members may attempt to rationalize their position and
spend considerable time trying to convince others to side with them. The team lacks a strong
sense of camaraderie, which adds to the already uncomfortable and hostile environment.
Conflict escalates to the highest levels in this stage. Cliques begin to form, reducing the
confusion and conflict. Team leads are encouraged to clearly define the teams goals and
objectives. Though it may not seem possible, there is some productivity as the team slowly
progresses toward a unified direction.
Once all members agree to and accept the team goals, negative conflict, and confusion subside.
The team begins to focus on the mutually-desired outcome and enters into the Norming stage of
team development.
40
Norming Stage
During this stage, members reconcile disputes, agree to
disagree, and abandon negative and unproductive energy,
redirecting all efforts to achieve the teams objective. They
accept the team, its ground rules, their responsibilities, and
respect the individuality of each member.
Emotional conflict is held to a minimum for the sake of the
team and previously competitive relationships become more
cooperative. Like the swimmers, it is in the Norming stage
that team members realize theyre not going to drown and
assist each other in staying afloat. Team members now have more time to work the task at hand
and make considerable progress.7
Productivity is high in the Norming stage. The team dynamics at this stage involve processes of
communication, decision-making, leadership, and sharing of power, and include the development
of norms and expectations. With greater collaboration and a more conducive environment for
production, the team may transition into the performing stage. To keep the team progressing,
team leads should maintain this level of collaboration and dynamics by doing things such as
monitoring performance and rewarding or correcting as needed; resolving negative conflict;
keeping the team focused on goal; and adjusting roles as required to maximize performance.
Performing Stage
By this stage, there is heightened morale and loyalty to the team and its success. Members work
together to diagnose problems by collectively brainstorming and collaboratively selecting
solutions.
Creativity is high as members are willing to share ideas without fear of negative criticism and
reprisal. Like a swimming team, the team members are in sync with one another and swim in
concerted effort as an effective, cohesive unit.8 Productivity remains high as the team makes
steady progress. Eventually the team reaches their goal, which is one reason teams may move
into the adjourning and transforming stage of team development.
41
Forming Stage
occurs when the
team meets and
starts to work
together for the
first time.
Norming Stage
occurs when rules
are finalized and
accepted and when
team rules start
being adhered to.
Performing Stage
occurs when the team
starts to produce
through effective and
efficient working
practices.
Adjourning &
Transforming
Stage occurs
when a team
disbands or
moves on to a
new task.
42
Abandon comfortable conversation for interactions that risk the possibility for conflict
Continue discussions of the groups purpose committing to one that some members may
not completely accept or agree with
Will reject or cast out those who choose not to advance with the team
43
44
45
Progress Check
19. Identify each characteristic by selecting one of the five Cs.
A. Community
B. Cooperation
_____ Ensures all members realize how important they are to the
mission.
C. Coordination
D. Communication _____ Creates a positive outlook for your personnel enabling your
team to meet and even exceed their goals.
E. Coaching
_____ Makes sure every member of the team feels like an essential and
important part of the team and the unit
_____ Explains member responsibilities in detail and how their actions
affect the organizations success
_____ Ensure everyone has an opportunity to speak, to ask questions,
and raise concerns
_____ Develops a greater sense of involvement in the organizations
direction
_____ Training opportunities and advancement are two essential
components that encourage and motivate members to grow and
excel.
46
20. Match each of the Five Common Dysfunctions with its characteristic?
A. Absence of Trust
B. Avoidance of
Accountability
C. Fear of Conflict
D. Inattention to Results
E. Lack of Commitment
21. How might positive team dynamics affect a teams effectiveness? Negative Team Dynamics?
22. What team dynamics were evident during The Office activity?
47
23. Identify each characteristic by selecting one of the Stages of Team Development.
A. Forming
B. Storming
C. Norming
D. Performing
E. Adjourning/
Transforming
48
Did the team meet mission objectives ahead of schedule? On time? Behind schedule?
Were the leaders actions successful in effectively advancing the team toward their goal?
What could have been better?
An easy way to remember all the elements when creating a complete team performance
assessment is the TEAM concept:
49
As enlisted leaders, you are responsible for the overall performance of your teams. Making time
to review your teams progress after achieving a goal offers an opportunity to recognize the
actions and efforts made by each member, offers an opportunity to learn from mistakes made,
and prepares the team for greater success when pursuing future goals.
Taking the time to hone your expertise as team leaders now prepares you for future
responsibilities as SNCOs as you lead and manage teams while maintaining the highest level of
readiness.
50
Progress Checks
24. What should you consider when assessing team success?
51
Formative Exercise
1. TSgt Tuckman is tasked to lead a team in identifying efficient ways of doing engine swaps.
Though most of the team members already know each other, he starts the first meeting by
asking each member to introduce themselves. Then, Tuckman states the teams objective
and opens it up for discussion. During the discussion, several people have disagreements.
One member says, I think the real issue is with the location. Another member responds,
Thats not the issue! There are too many layers of inspections. Tuckman lets it go on for a
little while and then refocuses the group on the objective. After several minutes of
discussion, the team identifies the problem area and then develops a plan to swap engines
more efficiently.
This scenario BEST illustrates TSgt Tuckmans understanding of the ___________ impact
on team success.
a. Five Cs of a team and their
b. stages of team development and their
c. P.E.P. Cycle and its
2. Since TSgt Bair is good at connecting and negotiating with all types of people, he was
charged with improving the units performance evaluation process. To help with the task, he
selects unit members who are good at viewing problems from different perspectives and who
are able to review solutions rationally. He also selects other members who are not inclined to
let rules and boundaries discourage them.
TSgt Bairs understanding of _______________________ will MOST LIKELY
____________ team success.
a. team dynamics; enhance
b. team dynamics; degrade
c. team roles; enhance
d. team roles; degrade
52
Key Terms
Group, 9
Mission, 14
Team, 9
Team dynamics, 31
References
Air Force Doctrine Document (AFDD) 1-1, Leadership and Force Development, 18 February
2006.
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 February 2009.
Applewhite, Ashton, William R. Evans III, and Andrew Frothingham. And I Quote (Revised
Edition): The Definitive Collection of Quotes, Sayings, and Jokes for the Contemporary
Speechmaker. New York: St Martins Press/Thomas Dunne Books, 2003.
Businessballs.com. Tuckman Forming Storming Norming Performing Model,
http://www.businessballs.com/tuckmanformingstormingnormingperforming.htm
Center for Internal Change. The Team Dimensions Profile 2.0,
http://www.internalchange.com/disc_profile_store/mall/teams_online.asp (accessed 15 March
2011).
Clark, Donald. Growing a Team. 2005. http://www.nwlink.com.
Department of the Air Force. United States Air Force Core Values, 1 January 1997.
DuBrin, Andrew J. Essentials of Management. International Thomson Publishing Inc. London,
2000.
George, J. A., & Wilson, J. M. Team Leaders Survival Guide. McGraw-Hill Publishing, NY,
1997.
Inscape Publishing, Team Dimensions Profile Research Report, 1995.
Inscape Publishing, Team Dimensions Profile Kit.
Joint Publication (JP) 1-02. Department of Defense Dictionary of Military and Associated Terms,
12 April 2001, As Amended Through 30 September 2010.
Katzenbach, Jon R., and Douglas K. Smith. The Wisdom of Teams. Boston: Harvard Business
Review Press, 1986.
53
Lencioni, Patrick. The Five Dysfunctions of a Team. Jossey-Bass Publishing/Wiley Imprint, CA,
2002.
Merriam-Webster.com. http://www.merriam-webster.com
Stewart, Greg, Charles Manz, and Henry Sims. Team Work and Group Dynamics. New York:
John Wiley and Sons, Inc., 1999.
Streibel, B.J., P.R. Scholtes, and B.L. Joiner. The Team Handbook, 2nd ed. Madison, WI: Oriel
Incorporated, 1996.
VanGundy, Arthur B. 101 Activities for Teaching Creativity and Problem Solving. San
Francisco, CA: John Wiley and Sons, Inc., 2005. Net Library e-book.
Yee, Kevin. Interactive Techniques, University of Central Florida,
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_Tips.pdf, (accessed 17 Mar 2010).
54
55
8. NCOs who fully understand their teams mission can use that knowledge to contribute to
their teams success.
56
9. In The Office activity at the beginning of this lesson identify the character with each role
of a team. How can you identity them?
Character [Name]
Team Role
SSgt Moss
Creator
TSgt Kramer
Advancer
TSgt Coleman
Refiner
TSgt Reed
Executer
TSgt Knight
Flexer
10. Using the table, list the five roles associated with teams and some of the characteristics for
each.
Roles
Creator
Advancer
Refiner
Executer
Characteristics
Enthusiastically offered plenty of innovation and unique solutions
Recognize alternatives that others missed.
Flights with no Creators (very rare) might hear We struggled to
formulate ideas and thoughts as a flight
Encouraged Creators
Thought of ways to make ideas work
Prompted team interactions
Verbally sparred with Refiners
Flights with no Advancers might hear Flight was not united/in
agreement on any idea, it was hard to move forward
Identify and clarify possible problems
Obviously detail oriented
They explored each idea in-depth
Offered critical, but sound opinions
Played the devils advocate
Ensured ideas were reasonable
Flights with no Refiners might hear We selected ideas that may not have
been the best solution or well thought out.
Willing to implement the ideas
Documented everything
Formulated results into presentable product
Presented the flights results
Ensured project was completed
Flexer
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11. Again, list the five roles associated with teams and what the impact to the team might be if
the role was not present.
Roles
Creator
Advancer
Refiner
Executer
No one to:
Ensure ideas are sound before moving them to the next level ideas,
good or bad would be pursued without proper evaluation
No one to:
Ensure end results are of high quality put ideas into a workable plan
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Flexer
Focus on everything
59
15. From your reading, how would you summarize the Z Process?
Ideas often bounce back and forth among the Creators, Advancers, and Refiners in whats
called the Z process. The Creator comes up with an idea and as the Advancer begins
promoting it, the Refiner begins analyzing it. The idea might go back and forth several times
before the Refiner (along with the Creator and Advancer) agree the idea is ready to pass off
to the Executor who has been waiting for an idea to come to fruition (realization).
16. Why is it important to understand the Z Process?
- Knowing the Z Process allows team leaders to monitor the teams progress and manage
conflict generated from passing ideas back and forth.
- In the case of teams without a Creator (or Advancer or Refiner or Flexer) the team leader
can step in and fill the gap to ensure the Z Process continues to work effectively.
- The Z Process ensures ideas are well thought out before attempting implementation
17. How can you use this information on team roles, P.E.P. Cycle and the Z Process to help
your flight?
- Increase team success by encouraging
Creators to offer ideas by catching them at the peak of the P.E.P. Cycle
Advancers to support and promote ideas
Refiners to assess ideas
Executers to move forward with the plan
- Ensuring ideas moves to the next role at the right time
- Whenever possible, select members for my team based on their preferred roles
- Will help when coming up with a flight war cry
18. How will knowledge of team roles the P.E.P. Cycle, and the Z Process, help you in the
future?
- The P.E.P. Cycle helps to verify when to get involved with the team to pursue ideas
- The Z Process helps to identify where the team is in the development of ideas and who
to engage at the appropriate time
- Assist in properly aligning the team member with the role that suits them
- All concepts will enhance team leadership abilities to maximize team productivity and
success
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19.
A. Community
B. Cooperation
C. Coordination
D. Communication
E. Coaching
A . Makes sure every member of the team feels like an essential and
important part of the team and the unit
C . Explains member responsibilities in detail and how their actions
affect the organizations success
B . Ensures everyone has an opportunity to speak, to ask questions,
and raise concerns
B . Develops a greater sense of involvement in the organizations
direction
E . Training opportunities and advancement are two essential
components that encourage and motivate members to grow and
excel.
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20. Match each of the Five Common Dysfunctions with its characteristic?
A. Absence of Trust
C .
B. Avoidance of
Accountability
E .
C. Fear of Conflict
B .
D. Inattention to Results
A .
E. Lack of Commitment
D .
22. - Communication
- Integration of various skill sets
- Perspectives
- Temperaments
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- Personal experience
- Roles assumed by team members
- Actions that positively/negatively affected the teams performance
23. Identify each characteristic by selecting one of the Stages of Team Development.
A. Forming
B. Storming
C. Norming
C .
C .
D .
D .
D .
A .
Little or no conflict
A .
C .
Productivity is high
E .
B .
B .
B .
B .
A .
C .
D. Performing
E. Adjourning/
Transforming
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64
65
2. CORRECT ANSWER: c
RATIONALE
a. This answer is INCORRECT. According to the chapter, team dynamics is an, Ongoing
process involving interaction of individuals within a team to move toward or away from
achieving the desired objective. There is no evidence in the scenario illustrating team
dynamics. TSgt Bair is using his understanding of team roles to select his team. See
rationale for correct response for additional information.
b. This answer is INCORRECT. See rationale for a and correct response for additional
information.
c. This answer is CORRECT. According to the Team Building chapter, there are
roles that people find most comfortable fulfilling based on their most natural
thought processes and behavioral tendencies. TSgt Bair used his understanding of
team roles to pick creators, refiners, and advancers to give his team the best chance
for success. Because TSgt Bair used his understanding of team roles to build his
team, this will most likely enhance team success.
d. This answer is INCORRECT. TSgt Bairs understanding of team roles will enhance, not
degrade, team success. See rationale for correct response for additional information.
66
End Notes
1
Air University public website. Air University: Thomas N. Barnes Center for Enlisted
Education. http://www.au.af.mil/au/barnes/ (accessed 24 Mar 11).
Rutter, Paul. The Five Cs of Team Success. Rismedia website. http://rismedia.com/2007-0406/the-5-cs-of-team-success/ (accessed 24 Mar 11).
B. J. Streibel, P. R. Scholtes, and B. L. Joiner, The Team Handbook, 2nd ed., (Madison, WI:
Oriel Incorporated, 1996), 6-5.
Ibid. 6-5.
Ibid. 6-6.
Ibid. 6-7.
10
67
Implementing Change
Diagnosing
Adapting
Communicating
Developing Airmen
Leadership Power
Types of Power
68
Think about where you are right now in your Air Force
career. Is there one particular leader you can say had a
major influence on your development as an Airman?
Did this leader motivate you, influence you, and help
you develop personally and/or professionally? Was
he/she a good follower, mentor, or did he/she show you
what not to be as a leader?
69
In main point 3, you will cover how to develop and inspire others and discuss the powers that
leaders possess in main point four. Then, you will look at contemporary motivation and the
leaders responsibility to motivate Airmen. Also included in this chapter are Self-Reflection
Opportunities that will challenge you to think how the concepts may impact you personally.
Lastly, you will use the IDDP
process to review all the chapter
concepts and principles. By the
end of this chapter, you should be
better prepared to lead and
manage work centers as
evidenced by your comprehension
of Leadership Influence.
Hopefully, by this point in your
Air Force Career, you are aware
that leadership is a process and
not a position. Basic components
of leadership include a leader,
follower(s) and a situation. A
leader is different from other
leaders due to his or her personality, skill set, exposures, characteristics, expertise, etc.
Followers also vary based on similar personality traits, a particular environment, a kind of task,
pressure and other situational factors. All these components play a very important role in the
leadership process. The same leader with different followers and a different situation can have a
different effect.
SELF-REFLECTION OPPORTUNITY: Think about leaders you have known in your
careerany who have influenced you positively or negatively. What made them effective or
ineffective? What impact did their effectiveness have on their ability to influence
subordinates? What impact did they have on the mission?
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Followership
To succeed, a leader must teach followers leadership and followership skills. If you fail to have
effective followers, you will have ineffective leaders. However, do not make the mistake of
thinking everything is going to be okay as long as you have great followers. Your leadership and
guidance is needed in order to provide direction. To become a great leader, you must have an
impact on your followers.
How would YOU define followership?
It is important to know that followership is not a state of unthinking
compliance with every directive or order, and it is not a challenge to
authority, either. Proper followership is proactive without diminishing
the authority of leadership. There are two very important components
of followership: the ability to provide feedback and give advice to
leaders.
Followership is one
in the service of
another; one that
follows the opinions
or teachings of
another; one that
imitates another.
Many people follow others just because it seems to be the right thing
to do at the time. As members of the Profession of Arms, you should
stay clear of those types of followers. The type of
followers the Air Force needs is those who choose
to follow a leader because of the leaders
character, ability, or vision. Because of your
followers respect and admiration for you as a
leader, your followers will often imitate you in
thoughts, words, and deeds.
Why is being a follower important?
One cant be a good leader without first being a
good follower. A good leader willingly receives
essential advice/feedback from followers to assist
with the accomplishment of the mission. If you
believe you can learn leadership skills, it is logical to assume you can also learn followership
skills. Some followers (as leaders) seem to have more to learn, but the potential to be a great
follower seems to be universal.
The term follower sometimes carries a negative connotation because some use it to refer to
people they have to tell what to do. Contrary to the negative concept regarding what it means to
be a follower, followership requires several important skills; such as, the ability to perform
independent critical thinking, to give and receive constructive criticism, and if necessary, to be
innovative and creative thinkers.
The qualities and characteristics that make a good leader are similar to those associated with
being a good follower.
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This quality refers to the ability to determine ones own goals within a
large context and to decide what role to take at any given time.
Committed
Competent
Build their competence and focus their efforts for maximum impact.
They strive to reach higher levels of performance and expand
themselves.
Integrity
Initiative
Feedback is to offer or
suggest information or
ideas as a reaction
from an inquiry.
These sources include, but are not limited to: mentors, peers,
subordinates, budgets, training plans, metrics (MC rates), and external sources/agencies (family).
Gathering information from these sources ensures followers are able to give sound
advice/feedback to leaders based on facts in contrast to complaining or giving invaluable
advice/feedback.
There is a difference between providing feedback and giving advice when communicating with
leaders. Lets take a look at the difference and similarities between effective feedback and
advice. Effective feedback is consistent, objective, and sensitive to the stated purpose. Feedback
can be positive or negative. Good feedback should be specific rather than general and
constructive. Good followers speak up even when they disagree with their leaders. To become
an effective leader you should welcome feedback from your followers because its important you
know how they feel. This establishes a relationship of respect between you and your followers
for speaking up. Advice, on the other hand, is an opinion or recommendation offered as a guide
to action or conduct.
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Examples:
Feedback would be a follower giving a leader feedback on a decision he/she just made or
made in the past.
Advice would be a person giving advice on a decision that the leader is still
contemplating or researching.
As a follower, sometimes you must put personal feelings aside to accomplish the mission. One
way to look at it is to realize that different is not always wrong. Just because you see things
differently from your supervisor, does not mean either of you are necessarily wrong. You may
not know (or have access to) all the information the supervisor knows in order to make the
decision. Therefore, you have to trust your supervisor to make the final call. By being
supportive and understanding, you will have a better chance of earning a position of influence in
your supervisors eyes. It also helps you earn your
supervisors trust and respect.
It is difficult for you as a follower to have any influence at
all unless you first earn your supervisors trust and respect.
To do this, you must first demonstrate essential follower
traits. Once youve met your supervisors expectations, you
may gain additional trust and respect by keeping him or her
informed and by setting a good example for others to
follow. This relationship not only stems from your
supervisor, but from your peers and subordinates, as well.
You will know how to approach these areas a little better as
you get to know yourself better.
Competence
Integrity
Loyalty
Initiative
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Offer solutions to
problems.
4. Use the chain of command. Work problems through your immediate supervisor first. If your
supervisor is unable (or unwilling) to help and you feel the issue is important, advise your
supervisor (in a non-threatening way) of your intent to discuss it with the next person in the
chain of command. When your supervisor becomes the problem, try everything within your
power to work it out with them before going higher in the chain of command. Never allow a
supervisor to blackmail or threaten
you about using the chain of
command. Using the chain of
command is one of your rights as a
military member.
There are certain things that you, as a
follower, should do to advocate your
leaderships decisions and points of
view. Demonstrating the qualities
mentioned above is a good place to
start, but there are a few other facts to
consider. First, try to understand the
world from their perspective.
Remember, every leader is also a
follower to someone and therefore must advocate his or her leaders decisions and points of
view, just like you. Second, learn how your leadership thinks. Pay attention to how they do
things and why. Third, recognize that everyone in the chain of command, including you, sees
only a portion of the bigger picture. The higher up the chain you are, the more you see of the
bigger picture. In simple terms, always follow the Air Force Core Values and have faith in the
system.
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It is very important to advocate for a leaders decisions and points of view even when you
disagree. By doing so, you are demonstrating a united front with your leaders actions, decisions
and behaviors.
Advocating leaderships decisions and points of view is not about being a yes person; it is
about communicating your concerns in ways that leadership will listen. However, when you
receive the final answer, salute sharply and go do with a forward-thinking, optimistic attitude,
even when you disagree with decisions.
To become an exceptional follower, you must commit to your organizations action plan and
mission. You should take it upon yourself to fully understand the mission, concur with its goals,
and communicate your support as you interact with subordinates, peers, and supervisors.
Furthermore, as a follower you must clarify your leaders intent in order to execute the mission
properly. Your objective is to embrace your role and commit physically, emotionally, and
mentally to accomplishing the mission via the action plan. This simple idea is often a major
obstacle in units that demand blind obedience from subordinates. If your leader demands
followership of you, then he or she must create environments where subordinates thrive and
become active. This will allow you to become a committed follower who, in the absence of
orders, takes action to meet mission requirements. Once the role of responsibility and leadership
fall on your shoulders, then you must look at what will make you develop to lead Airmen.
SELF-REFLECTION OPPORTUNITY: As a follower, how have you demonstrated
commitment to your organizations action plan and mission? As a leader, how has your
commitment to your organizations action plan and mission impacted your ability to lead your
subordinates?
Progress Check
1. Name three sources for gathering feedback.
2. Define Followership.
3. Give examples that demonstrate the difference between feedback and advice?
5. What should be your objective in committing to the action plan of the organization and
mission?
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76
77
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Diagnosing
As noted by Hersey, diagnosing is the step a leader takes to determine what is going on in an
organization. It is a cognitive skill requiring the leader to understand what the situation is now,
and what it can reasonably be expected to be in the future.2 In addition to the situation, the
diagnosis should involve two aspects: the status of the people and the status of the environment.
To gain a complete picture of the status of
people, the US Marine Corps uses four
categories: morale, esprit de corps, discipline,
and proficiency.
Morale is the amount of enthusiasm and
dedication to a commonly shared goal
that unifies a group. Assess it by
observing the personal conduct,
appearance, response to direction, and
motivation of your people.
Esprit de corps is loyalty to, pride in,
and enthusiasm for a unit shown by its members. Observe whether people display
satisfaction and commitment to the organization, respect toward other members,
confidence in leadership, and knowledge about the organization. This will help you
identify the level of esprit de corps.
Discipline is the element in an organization that leads to prompt execution of orders and
the initiation of proper actions when orders are not given. Discipline is readily
determined by looking at the image your people present, the attention to detail they take
in completing tasks, the amount of teamwork they display, and how much direction they
require to get something done.
Proficiency is the ability of a unit to perform its mission and it is based on professional
and technical standards of excellence. To gain insight into your peoples proficiency
levels, observe their problem-solving skills, reaction times under varying conditions,
technical skills, professionalism, and teamwork.3
Although the nature of a Marine Corps organization is different from an Air Force organization,
these categories are very relevant to you. However, understanding your people in reference to
these four categories is only half of the equation; you must also consider the environment in
which your people perform.
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80
Adapting
Adapting involves adjusting your behaviors and other resources to what you have
diagnosed/observed in a way that helps close the gap between the current situation and what you
want to achieve.
Style
Each of us has a leadership style we prefer to work fromour default setting, as it were;
however, if we fail to adapt our leadership style to the current situation, we may lose our ability
to accomplish the mission and effectively influence our Airmen.
Hersey considered adapting a behavioral competency.5 As a leader, the style of leadership you
use and the approach you take are two predominant components that determine your behavior.
Hersey goes on to say that many different labels are associated with different leadership styles,
but essentially the amount of task-oriented and relationship-oriented behavior you use determines
your style.6
Most people fall somewhere near the middle of two axes. However, by going to the extremes of
the axes, we come up with four types of leaders:
Note: Complete the leadership self-assessment questionnaire at the end of the chapter to
determine your default leadership style. Some of the leadership styles explained below may
have a negative connotation; however, each style is useful depending on the situation (see
examples). Keep in mind that the style you possess is just the style you normally operate from
and that you may have to adapt that style depending on the situation.
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Authoritarian Leader
Examples of when this style may
be needed:
In an emergency
situation
When needing to
accomplish a very
critical and time
sensitive task
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Impoverished Leader
Example of when this style may
be needed:
A self-sufficient work
center where the people
are very independent and
dont require a lot of
supervision.
Team Leader
Example of when this style may
be needed:
As you can see from the table, there are varying leadership styles, none of which work across
the board, i.e., in all situations. By adapting your leadership behavior to fit the needs of the
situation or circumstances, you can better influence people toward the objectives of your unit.
Information uncovered during diagnosis will help determine just how much you may need to
adapt your style.
Approach
Equally important is the approach you choose to take. The approach you use to address the gap
between the real and the ideal boils down to the method or combination of methods necessary
to move the organization in the right direction and get it to where you know it needs to be.
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Webster defines approach as the method used in dealing with or affecting something and
method as the procedures and techniques characteristic of a particular discipline or field of
knowledge.7 For leadership purposes, then, an:
Approach is the method(s) or procedure(s) necessary to move the organization
in the right direction based on our diagnosis.
As a unit manager and leader, many methods are available. Another method that you can use,
which is interwoven through diagnosing and adapting, is communicating.
In this scenario, what leadership styles did TSgt Smith use to adapt to the needs of the situation?
What do you think would be the consequences of having only one leadership style for all
situations? What do you think the impact would be if TSgt Smith failed to adapt his leadership
style to the situation?
Thus far, you have read how an accurate diagnosis provides a foundation for action. Once
leaders have the diagnosis, they should adjust their styles and approaches to improve their
respective situations. You have also seen how these first two skills can either enhance or
degrade leader influence and mission accomplishment. One more skill is essential for leaders to
effectively influence their Airmen and accomplish the missioncommunication.
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Communicating
Leaders must be able to master different facets of the communication
process to fulfill their responsibilities in discipline, counseling, and
communicating up and down the chain.
Communication is a skill many leaders take for granted. They believe
they are already highly skilled and require no further development.
Listening, explaining instructions, justifying recommendations and
decisions, selling ideas, and providing feedback are just a few of the
skills leaders need to be effective. Furthermore, effective leaders are
willing to clarify a leaders intent in order to clearly communicate it and
to operate on trust, empowerment, and understanding.
TSgt Smith is informed by the team leaders that the personnel
who were trained on the new records database had PCSd.
Upon receiving this information from the team leads he directs
them to coordinate with another Squadrons maintenance work
center to set up training for the teams. Soon after TSgt Smiths
teams received training, the work center is recognized as one
of the top maintenance sections in the Group.
In this scenario how did good communications with his team leaders help influence mission
success? Why do you think communication skills are so critical to a leader?
During this main point, you covered three key skills necessary for being effective leaders:
diagnosing to determine what the situation is and what it may become; adapting by changing
your style and approach to meet the needs of the situation; and finally, communicating
effectively to get our thoughts across to others. You also covered how each skill affects your
leader influence. Leaders can use these same skills to develop Airmen to fill current or future
job/role responsibilities within the unit.
Developing Airmen
Developing your Airmen is an ongoing process that
will require you, as a leader, to:
1. Recognize and diagnose the capabilities of each
Airman in your unit or organization using the same
DAC skills described above, but geared more
toward developing an individual rather than an
organization.
85
Those capabilities may include any skills, talents, experiences, personality etc. each Airman
may have that can contribute to current and future mission accomplishment.
2. Diagnose the personal and developmental needs of your Airmen and then assist them with
personal and professional development needs that fulfill current or future jobs/roles and
responsibilities.
a. Professional development needs may include off-duty education, PME, specific skill
training, additional training, professional development seminars/courses, and
communication skills etc.
b. Personal developmental needs may include relationships, interpersonal skills,
communication skills, supervisory skills, off-duty education, etc. Leaders can use the
same diagnosing skill described above to determine what is going on with an
individual, which will help you determine their developmental needs.
Listed are some factors to consider when diagnosing the developmental needs of Airmen:
1. Aspirations - are what an individual hopes to attain or has a desire to accomplish. As a
leader, you should communicate with Airmen to find out what their aspirations are, which
will help you develop their needs and desires.
2. Personality - is how an individual behaves or thinks (introvert, extrovert, Type A or B). By
observing the actions of the people around us and employing one or both of these
approaches, we can make suppositions about their personalities.
3. Self-Concept - is based how an individual may think and feel about themselves and on
feedback from external sources (how others see them). By knowing how people see
themselves and how they believe others see them, you can better understand some of the
actions they take.
4. Self-Efficacy and Locus of Control - Locus of Control is the amount of control people
believe they have and self-efficacy is how much confidence they have in performing a
particular task. Therefore, locus of control has a significant impact on self-efficacy as well
as on how individuals' expectations shape the goals they set for themselves.
5. Attitudes and Values - is when an individual responds positively or negatively to a person,
place, thing or situation and values are beliefs that an individual regards as very important.
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Superintendent
NCOIC Flight Chief
Additional duties
(e.g.safety, RA, shirt)
Consider the Airman who is quite comfortable speaking to small groups, but struggles in front of
larger groups or when speaking with higher-ranking individuals. In order to improve his public
communication skills, this individual needs planned opportunities to speak to large groups and
high-ranking individuals. He also needs your encouragement as he gradually develops his
communication abilities.
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Set Up Plan
Set up a plan to begin the development process. This
includes sitting down with the individual, going over your
diagnosis of his or her capabilities and developmental needs,
and establishing milestones and deadlines to cover a specific
period. It also includes identifying and securing any
resources needed to allow the Airman to fulfill current or
future job/roles and responsibilities more effectively.
In order to do this, you must know about and tap into various
resources which may include:
Knowing about the organizations budget, including the process for requesting funds and
other types of support
Various outside agencies (Airmen and Family Readiness Center, Family Advocacy,
AMS for special duty opportunities, etc.)
PME requirements, seat availability, and opportunities (e.g. instructor, adjunct instructor,
etc.)
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It is important to remember that deliberate development plans differ from one Airman to the
next. Each one must be unique and designed to meet the specific needs of the organization and,
whenever possible, the personal needs of the Airman.
Interpersonal sessions are a great way to communicate deliberate developmental plans. The skills
taught during the interpersonal communication chapter will assist you with the communication
C portion of DAC.
Remember, the process does not end just because the plan is in place. It takes continuous
monitoring to give and receive feedback and adjust the plan as necessary.
SELF-REFLECTION OPPORTUNITY: Reflecting back to assessments of the state of
affairs surrounding your past and current areas of responsibility, what was the status of the
people and the environment? What leadership styles did you use to adapt to the situation?
How important was communication in adapting to the situation? How important can the DAC
process be to enhance NCO, subordinate, unit, and mission effectiveness?
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Progress Check
6. What does capabilities of an Airman mean?
8. Name three capabilities mentioned in this chapter that may be included when diagnosing the
capabilities of an Airman in your unit?
9. Name three factors to consider when diagnosing the developmental needs of an Airman.
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10. What needs to be created in order to address the personal and professional developmental
needs of an Airman as it relates to fulfilling current or future job/role responsibilities?
11. How does a leader set and monitor a deliberate development plan for their Airmen?
12. List three resources that a leader must know and have the ability to tap into in order to set up
a plan and begin a development process for his or her Airmen.
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Leadership Power
Your primary responsibility is influencing people under your care to accomplish the mission and
leadership power is one of the most powerful tools you have for influencing others.
Types of Power
Power is the ability or potential to influence
decisions and control resources.8 Leaders who
misuse, overuse, under use, or abuse their power
quickly lose their ability to influence others, and
potentially undermine the success of the mission. It
is also important to note that a leaders ability to
influence others is only as strong as other peoples
perception of his or her power. When others
perceive your power as weak or non-existent, you
lose the ability to influence. On the other hand,
when others perceive your power as strong, you
gain the ability to influence people to accomplish
great thingseven when you have zero authority
over themAKA earned authority. As a leader
you exercise position power and personal power.
Position Power
provides you with
the authority to
make decisions and
requests based on
your position within
the organization.
Position: Legitimate,
impact.10 On the other hand, if you appear too soft and
Connection, Coercive, Reward
fail to impose discipline, you erode your coercive power
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Connection power comes from the perception of your association with people of influence
inside or outside of the organization. This power source falls under the who you know category
and can quickly erode if you use it as a primary source of influence. Leaders who are able to
provide things that people like operate from the venue of Reward power. Rewards can range
from pats on the back or days off, to formal recognition within the organization. The problem
with power derived from rewards is that rewards will often run their course.11 Leaders who
overly rely on rewards as their primary power base often find themselves with people who are no
longer motivated by rewards. Legitimate power is the final type of position power. Legitimate
power comes from your title, role, or position within the organization itself. This type of power
provides you with the authority to make decisions and requests based on your position within the
organization. As an NCO, you have legitimate power over Air Force personnel who you
outrank. Because legitimate power comes from a leaders title, role, or position within the
organization, it does not increase or decrease based on use. Although a leaders title, role, or
position within the organization may change throughout his/her career, the authority to make
decisions and requests does not change; therefore, legitimate power does not increase or decrease
based on use or perception.
Examples of Position Power
Coercive power A leader states: If the task is not performed to standard, I will have
everyone work the weekend to complete the task.
Connection power A leader states: If you perform exceptionally well on the task Ill
ensure that your name is mentioned when I speak to the Commander.
Reward power A leader states: If you perform exceptionally well on the task Ill
compensate you with time off.
Legitimate power A leader states: Meet me in my office first thing in the morning in
your service dress uniform.
Personal Power
Leaders exercise personal power in three different forms: referent
power, information power, and expert power. Unlike other forms of
power, referent power is based largely on a leaders personal traits.
Leaders seen as likeable, or charismatic, or who inspire trust and
confidence can often evoke referent power. Information power is
based on a leaders access to data and information that is important
to others. This power is based on a leader having information that
others want or need to know. Expert power is the final form of a
leaders personal power. It suggests that leaders gain power and the
ability to influence through their education, experience, and job
knowledge. As a leader, you must know your job inside and out in
order to gain the trust of your followers and work effectively from
expert power.
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94
Progress Check
14. As a leader, how have you exercised position power?
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Leadership power, when used appropriately/effectively, can have a large influence on Airmen,
unit, and organization. In addition to having those powers, leaders must recognize the
importance of motivation.
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Theory X managers tend to direct, control, and closely supervisethe term micro-manage
could be used to describe them! On the other hand, the Theory Y manager assumes that people
are not lazy by nature and can be self-directed and creative if properly motivated. Theory Y
managers are supportive and facilitating. If you ever had a supervisor that delegated
responsibility to you or empowered you, you may have experienced a Theory Y manager. It
should not be implied that all managers are either an X or a Y, most managers fall
somewhere in between and only change in cases of emergency or stress.
Hierarchy of Needs- Abraham Maslow
Abraham Maslow viewed motivational needs as individual needs from both
supervisor and subordinate. Maslows hierarchy was classified into five
groupings. Maslows lowest group was physiological needs (freedom from
pain, hunger, etc.). Maslow believed that an individuals most basic needs must
be filled before that individual could move on to higher needs or ambitions. If
someone is suffering from great pain or hunger, he or she is not going to be
very productive.
Expectation Theory- Fredrick Herzberg
Herzberg classified behavioral needs similar to Maslow; however, Herzberg only used two
Classifications. The basic level of Herzbergs theory is the hygiene level or factors. A person
expects certain things when they work, such as: money, training, safety and supervision.
Herzberg described these things as environmental needs. Herzberg believed that if people did
not get these expected items, they will become dissatisfied and their motivation will drop. The
second classification Herzberg describes is motivators. These are not expected but, if provided,
are seen as rewards or bonuses. These will often come from the job itself and include such
things as achievement, challenges, recognition, and accomplishment. These unexpected rewards
can encourage people to perform better or work harder based on Skinners ABC theory.
Motivational Profile Theory- David McClelland
McClellands motivational profile theory has three parts: achievement,
power, and affiliation. People that fall within the achievement area seek
challenges on the job and try to achieve mastery of certain tasks or certain
jobs. You may have a very rewarding job because you are very good at a
particular taskyou felt good about your performance when you were
successful. The second area is power. Individuals will often seek status and
control in their positions or jobs. Their motivation comes from the position of
authority, prestige, or power they receive from the job they perform. The last
area of McClellands theory is affiliation. People seek affiliation by looking
for social aspects of the job. Being around people or helping people is what they seek and what
motivates them. According to McClelland everyone has all three parts in their motivational
profile; however, one of the parts will often overshadow the other two.
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Contemporary Motivation
The contemporary motivation model combines these five theories into a simple three phased
approach to motivation. The model says that people can be in one of three levels of commitment
to the organization. The three levels are membership (the lowest end), performance level (midlevel), and the involvement level (highest level) of commitment.
Ones motivation and productivity level indicate their level of commitment. The more
committed a person is to an organization, the more involved they become and the more
motivated they are toward accomplishing the missionmakes senseright? Most people start
out at the membership level, the lowest level of commitment, and then, with the right type of
rewards, move up to the performance level and, with the right type of environment move up to
the highest level-involvement.
Motivation can be viewed as intrinsic (internal forces) and extrinsic (external forces). For the
most part, extrinsic motivation comes from actions, decisions, and behaviors of leaders, mentors,
Co-Workers, Family/Friends and from money, stability, desires, etc.
Membership level- Individuals at the membership level give time to the organization out of
dependency. They have a contract with the Air Force8 hours of work for 8 hours of pay and
nothing more. Individuals at this level meet minimum standards, but do not get too involved in
their jobs. They complain about things but never make an effort to solve the problem or even
offer solutions. As a leader you can usually recognize these people by the number and types of
complaints their complaints are almost always self-centered.
Membership Level Example: An Airman that performs at the bare minimum to
get by within the work center.
Performance level- Individuals at the performance level may or may not be fearful of
consequences for not doing much more than people at the membership level.
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However, they know the benefits of doing more. At this level of commitment, a persons needs
and desires (hygiene factors) are still being satisfied, but simultaneously, the person is satisfying
many of their needs for social belonging and esteem. They tend to be more involved in the work
center and often contribute, but only as long as leadership recognizes their contributions. You
can usually recognize these people by the number and types of complaints their complaints are
not usually self-centered. They complain about safety, resources, awards, rewards, etc. They
bring their complaints and problems to leaderships attention and may or may not offer solutions
that may or may not work and occasionally they take the initiative and actually solve the
problem, if they receive a reward.
Performance Level Example: An Airman who performs well as long as he/she
receives praise and recognition for their work and accomplishments.
Involvement level- Individuals that operate on this level are performing for their own reasons.
Their motivation comes from within; therefore, they are involved. At this level, subordinates
produce good quality work because they truly enjoy what they dothey believe in their job and
their reward is personal satisfaction. People operating at this level identify problems and
solutions and then solve the problem while keeping leadership informed.
Involvement Level Example: An Airman who takes the initiative within the work
center. This person can accomplish assigned task with little supervision.
Lets take a brief look at three types of rewards that are an integral part of contemporary
motivation.
System Level Rewards As long as you perform at the standard, you receive system
level rewards just for being a member of the organization. System level rewards are
things the organization provides such as pay, training, annual leave, medical and dental
benefits, etc., whether operating at the membership, performance, or involvement level
of commitment, everyone get these rewards.
Supervisory Rewards- Given to those who go beyond the standard, they include such
things as praise, public recognition, time-off, bonus pay, promotions, special
assignments, greater roles and responsibilities, etc. These rewards represent some of the
motivators discussed by Herzberg and McClelland and some of the mid-level needs
mentioned by Maslow. Leaders who depend on these rewards generally operate at the
performance level of commitment.
Personal Rewards-These rewards come from within you. When you fully enjoy your
work, you strive to exceed every standard and reward yourself for a job well done.
Because you are personally satisfied with your own work, you do not need or rely on
anyone else to reward your efforts. Leaders or followers who are capable of this type of
reward operate at the involvement level of commitment.
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In addition, you must develop and inspire others by diagnosing, adapting, and communicating
(DAC) your organization and your subordinates, providing them with a deliberate development
plan. You also have to know and use both your personal and position powers appropriately.
Finally, you should know how and what motivates your Airmen and continuously keep them
motivated using contemporary motivation. Your influence right now is going to determine our
future leaders and the influence they have, which will impact the future of our Air Force.
SELF-REFLECTION OPPORTUNITY: What would be the impact on the success of your
units mission if the majority of the personnel performed at the membership level of
commitment? The performance level? The involvement level?
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Progress Check
16. Match the differrent levels of the Contemporary Model with their characteristics/level of
commitment.
a. Involvement Level
b. Performance Level
c. Membership Level
17. What motivational theory focused on the belief that an individuals most basic needs must be
filled before that individual could move on to higher needs or ambitions?
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Scenario
Now that you have an understanding of Followership, Developing as a Leader to Lead Airman,
Developing and Inspiring Others, Leadership Power, and Leadership and Contemporary
Motivation, it is time to put what you have learned to work.
Instructions: Read the following scenario and use IDDP to process the questions located at the
end of the scenario.
MSgt Green, known as the go to
person in his career field, has been a
member of a large unit for over a
year now. He gets along with just
about everyone and although
subordinates know him as strict
when necessary, they also know him
to be very approachable. During a
regular staff meeting, Green listens
as the superintendent, Chief Jackson,
talks about how poorly the units
training program did during the last
inspection. After the meeting, Green thinks about what the Chief said and decides to do a little
fact-finding. He reviews the current training program, talks with several Airmen, and contacts
the base training and education office. Armed with information, Green schedules a meeting with
Chief Jackson.
During the meeting, Green states, Ive done a little research and I believe we can improve the
training program by updating and revising our checklist to match what we actually do. I also
recommend standardizing our documentation procedures to prevent future discrepancies. The
Chief replies, I appreciate your input. Ill bring it up at the next staff meeting to see what the
other section chiefs think. Green thanks the chief and then hears the chief say, While youre
here, Id like to say that Im very impressed with you and your section. You are fully involved
with your people, the unit and the community and, from talking with your spouse; I know you
take good care of your family too. You hold your Airmen to the standard and correct them when
necessary; they look sharp and are always so motivated; I need that kind of leadership in the
support and analysis section. Would you be interested in taking it over when the NCOIC
leaves? Green responds, Chief, Id be proud to take over that section.
Green takes over and learns the support and analysis section provides technical support and
produces instructional guides and various analysis reports to leadership on demand. While
getting to know the 20 people assigned, he discovers the majority of them possess minimum
qualifications and although performance and morale are satisfactory, overall discipline is barely
adequate. He also learns that people have to go to two or three places to find basic resources just
to perform their regular duties. He does meet a few Airmen who are energetic and excited about
their jobs, but most lack initiative and overall there is a serious lack of esprit de corps.
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Two weeks after taking over, Green holds an all-call. Normally very direct during meetings,
Green takes a different approach. He briefly presents his observations, then opens the floor up
for discussion, and receives a great deal of input. After some additional discussion, the group
comes up with an improvement plan that Green agrees to implement. A few weeks later, Green
observes people are excited about their work and that initiative and esprit de corps are up. Since
the section either met or exceeded every milestone they established in the plan, Green grants
some well-deserved time off.
With the section headed in the right direction, Green turns his attention to another area in dire
need of improvement, the sections additional duties. The safety representative position needs an
immediate fill and as he ponders whom to select, he remembers a conversation he had with TSgt
Carter who wants a special duty assignment. Although Carter never seems motivated and
excited about his job, Green decides Carter has potential and that makes him an ideal candidate.
He schedules a meeting with Carter to discuss the safety position.
During the meeting, Green discovers Carter has several unique skills and talents gained from
previous assignments and deployments. He also realizes that although Carter loves the Air
Force, he is shy, keeps to himself and has some self-esteem issues and as a result, his
communication and interpersonal skills are lacking. Mid-way through the meeting, Green says,
During our initial feedback, you told me youre interested in becoming a recruiter or PME
instructor. I think you would be good at either; however, both require good communication and
interpersonal skills. How do you feel about that? Carter responds, I agree, communication
and people skills are my weakest areas, but I dont know what I can do about it. If I offered
you an opportunity to work on both skills and promised to be right here to help, would you be
interested? said Green. Carter replied, Sure, Id be willing to do just about anything if it helps
me get a special duty assignment. Smiling, Green said, I need someone to fill the safety
representative position. The beauty of the position is it requires detailed written reports and
periodic safety briefings both of which will help you polish your communication and
interpersonal skills. Looking a little worried, Carter says, Writing is not one of my strong suits
either. Green responds, Not to worry, Ill be here to help you. I know the education counselor
and I will contact her to get you enrolled in a writing course. Carter asks, How long will I
need to fill the position before I can apply for special duty? Green says, Lets agree to start
your special duty application in nine months. That way, when its approved youll have about a
year in the position. Carter responds, That sounds great, when do I start?
Scenario Questions
Followership
1. (Identify) What Followership concepts do you see in the scenario? According to the chapter
concepts, why do you see thats Followership?
2. (Differentiate) Were the actions, decisions, and behaviors of MSgt Green appropriate or
inappropriate? Why?
3. (Determine) If inappropriate, determine what he should have done. Why?
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4. (Predict) What can you predict will be the outcome of MSgt Greens Followership and
why?
Developing as a Leader
1. (Identify) Where did you see Developing as a Leader in the scenario? Why do you say
thats Developing as a Leader?
2. (Differentiate) Are MSgt Greens Developing as a Leader actions, decisions and behaviors,
pointed out by Chief Jackson, effective or ineffective and why?
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
explain why they are ineffective and why.
4. (Predict) Based on MSgt Greens Developing as a Leader actions, decisions and behaviors,
what can you predict will happen when MSgt Green takes over the section and why?
Developing & Inspiring Others (Organization)
1. (Identify) Where did you see Developing & Inspiring Others? Why do you say that is
Developing & Inspiring Others and why?
2. (Differentiate) Were MSgt Greens actions, decisions and behaviors effective or ineffective
and why?
3. (Determine) If his actions, decisions, and behaviors were effective skip, this step. If not,
explain why they are ineffective and why.
4. (Predict) If MSgt Green continues his current course of action, what can you predict will
happen?
Developing & Inspiring Others (People)
1. (Identify) Where did you see Developing as a Leader? Why do you say that is Developing
as a Leader?
2. (Differentiate) Were MSgt Greens Developing as a Leader actions, decisions and
behaviors, effective or ineffective and why?
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
what should MSgt Green do and why?
4. (Predict) Based on MSgt Greens actions, decisions and behaviors, what can you predict will
happen to Carter?
5. (Predict) If Green continues using his current actions, decisions and behaviors associated
with Developing & Inspiring Others, what could you predict might happen?
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Leadership Power
1. (Identify) Where did you see Leadership Power? Why do you say its Leadership Power?
Note: All of the powers do not have to be in the scenario for powers to be present.
2. (Differentiate) Were MSgt Greens actions, decisions and behaviors appropriate or
inappropriate and why?
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
explain why they are ineffective.
4. (Predict Step) If MSgt Green continues his current course of action, what can you predict
will happen?
Leadership and Contemporary Motivation
1. (Identify) Where did you see Leadership and Contemporary Motivation? Why do you say
that is Leadership and Contemporary Motivation?
2. (Differentiate) Were Greens (and the Chiefs) use of Contemporary Motivation appropriate
or inappropriate and why?
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
explain why they are ineffective.
4. (Predict) If the current use of Contemporary Motivation continues, what can you predict will
happen and why?
Scenario Answers
Followership
1. (Identify) What chapter concepts do you see in the scenario? Why?
(Answer) Followership, Developing as a Leader, Developing & Inspiring others, Power, and
Contemporary Motivation
Para1: fact-finding, reviews training program, talks with Airmen, contacts the base training
and education office.
Para2: I believe improve. I also recommend
These are examples of feedback, advice, and sources and according to the chapter,
followership is the ability for followers to provide feedback and give advice to their leaders
and in order to do that, followers need to prepare by obtaining relevant information from
various sources.
2. (Differentiate) Were the decisions, actions and behaviors of MSgt Green appropriate or
inappropriate and why?
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(Answer) Green will continue to be a very effective leader because he understands his true
north as evidenced by his ability to balance life, recognize support and motivate self and
others. More than likely, hell remain involved with his people, unit and the community,
take good care of his family, and his Airmen will look sharp and be motivated.
Developing & Inspiring Others (Organization)
1. (Identify) Where did you see Developing & Inspiring Others? Why do you say that is
Developing & Inspiring Others?
(Answer) Para3 majority possess minimum qualifications, performance and morale are
satisfactory, discipline barely adequate, people go to places to find basic resources, few are
energetic and excited jobs, most lack initiative, a serious lack of esprit de corps
Para4 holds an all-call, takes a different approach presents his observations, receives input
According to the lesson, leaders must use the skills diagnose, adapt and communicate (DAC)
for the organization to ensure mission accomplishment. In these two paragraphs, Green:
Diagnoses the organization and recognized minimum qualifications, status of performance,
morale and discipline. He also recognized resource, initiative, and esprit de corps issues
Adapted by his leadership style by taking a different approach
Communicated by holding an all-call, briefing his observations, and receiving input
2. (Differentiate) Were MSgt Greens actions, decisions and behaviors effective or ineffective
and why?
(Answer) Effective because according to the chapter principles, you use the skills: diagnose,
adapt and communicate (DAC) for the organization to ensure mission accomplishment. In
this situation, by Green DACing, he was able to implement an improvement plan for the
section that resulted in people being excited about their work, higher initiative and esprit de
corps, and the section meeting or exceeding every milestone.
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
explain why they are ineffective.
(Answer) Because his actions, decisions, and behaviors were appropriate you should have
skipped this step.
4. (Predict) If MSgt Green continues his current course of action what can you predict will
happen?
(Answer) Based on chapter principles, Green will more than likely continue to DAC and as a
result will be a very effective leader and his section will continue to improve.
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diagnose capabilities
setting the plan which includes recognizing and securing resources for plan and
establishing milestones and deadlines to cover a specific period of time
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In these two paragraphs, Green accomplished steps 1 and 2. Step 3 requires a deliberate
developmental plan and step 4 is where milestones and deadlines are established which are
key to developmental plans. Green failed to complete these steps, thus his actions are less
effective.
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not,
what should MSgt Green do and why?
(Answer) According to the chapter, leaders should follow the steps of DACing people,
which include the steps of creating a deliberate development plan and establishing milestones
and deadlines over a specific period.
MSgt Green accomplished steps 1 and 2 but failed to complete the other steps. Green should
have recognized and secured resources, established milestones and deadlines over a specific
period, and in the future, monitor the plan and make necessary adjustments. Accomplishing
these would have made his actions most effective.
4. (Predict) Based on MSgt Greens actions, decisions and behaviors, what can you predict will
happen to Carter?
(Answer) Due to the lack of Green securing resources and his failure to establish milestones
and deadlines, Carter may not improve his communication and interpersonal skills and may
not be prepared when it is time to submit his special duty application. This could also affect
Carters motivation and dedication to the mission and the Air Force.
5. (Predict) If Green continues using his current actions, decisions and behaviors associated
with Developing & Inspiring Others, what could you predict might happen?
(Answer) Green will not be as effective a leader as he could be and his peoples
development will suffer.
Leadership Power
1. (Identify) Where did you see Leadership Power? Why do you say its Leadership Power?
Note: All of the powers do not have to be in the scenario for powers to be present.
(Answer) Para 1 go to person in his career field (expert), very approachable, gets along
with just about everyone (referent).
Para 2 hold Airmen to the standard and correct when necessary (coercive).
Para 4 grants some well-deserved time off (reward).
Para 6 need someone to fill the safety representative position (legitimate), here to help you
(referent), know the education counselor and will contact her to get you enrolled in a writing
course (connection).
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Para 1 Expert: According to the chapter, expert power comes from education, experience,
and job knowledge. People with this power know their jobs inside and out.
Referent: According to the chapter, referent power comes from personal traits. People with
this power are seen as likeable or charismatic.
Para 2 Coercive: According to the chapter, coercive power comes from the perceived ability
to provide sanctions, punishment, or consequences for not performing. In this case, Green
corrects when necessary.
Para 4 Reward: According to the chapter, this power is the ability reward via pats on the
back, time off, formal recognition, etc.
Para 6 Legitimate: According to the chapter, this power comes from a leaders title, role, or
position within the organization itself and provides leaders with the authority to make
decisions and requests.
Referent: According to the chapter, referent power comes from personal traits. People with
this power inspire trust and confidence.
Connection: According to the chapter, this power comes from the perception of the leaders
association with people of influence inside or outside of the organization who you know.
2. (Differentiate) Were MSgt Greens actions, decisions and behaviors appropriate or
inappropriate and why?
(Answer) Appropriate because according to the chapter, leaders should constantly strive to
increase their powers through the appropriate and effective use of them. In this scenario,
Green did just that.
3. (Determine) If his actions, decisions, and behaviors were effective, skip this step. If not
explain why they are ineffective.
(Answer) Because his actions, decisions, and behaviors were appropriate you should have
skipped this step.
4. (Predict Step) If MSgt Green continues his current course of action, what can you predict
will happen?
(Answer) Based on chapter principles, Green will more than likely continue taking effective
actions, making good decisions, and modeling ethical behaviors, which will increase his
personal and position powers and result in effective mission accomplishment.
Leadership and Contemporary Motivation
1. (Identify) Where did you see Leadership and Contemporary Motivation? Why do you say
that is Leadership and Contemporary Motivation and why?
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(Answer) Para1 Green thinks about what the Chief said and decides to do a little factfinding.
Para2 Ive done a little research and I believe we can improve the training program by
updating and revising our checklist to match what we actually do. I also recommend
standardizing our documentation procedures to prevent future discrepancies.
Para3 most lack initiative and overall there is a serious lack of esprit de corps.
Para4 grants some well-deserved time off
Para5 Carter never seems motivated and excited about his job.
2. Para6 Green offered Carter the safety representative position because the job would improve
Carters interpersonal and communication skills.
Involvement level Para1: Green thinks about what the Chief said and decides to do a little
fact-finding; and
Para 2: Green identifies the problem and offers a solution.
Both of these together indicate Green is operating at the involvement level because according
to the chapter, people who operate at this level identify problems and solutions and solve the
problem while keeping leadership informed.
Membership level Para 3: Most lack initiative and overall there is a serious lack of esprit
de corps.
This indicates people operating at the membership level because according to the chapter,
people at this level give just 8 hours of work for 8 hours of pay and nothing more. They
meet the minimum standards and fulfill their end of the contract.
Performance level Para 4: people are excited about their work and that initiative and esprit
de corps are up. Since the section either met or exceeded every milestone they established in
the plan
This indicates performance level because according to the chapter, people at this level tend to
be more involved in the work center and often contribute if they feel they are being
recognized for their contributions.
Supervisory level Para 2: need that kind of leadership in the support and analysis
Rewards section. Would you be interested in taking it over when the NCOIC leaves?
Para 5: Green grants some well-deserved time off.
According to the chapter, advancement and time off are supervisory level rewards.
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3. (Differentiate) Were Greens (and the Chiefs) use of Contemporary Motivation appropriate
or inappropriate and why?
(Answer) Appropriate because according to the chapter, leadership should:
ensure every member lives up their end of the contract (i.e. eight hours of work for eight
hours of paymeets minimum standards);
reward the right members at the right time and for the right reasons
create an environment where members can thrive based on temperaments, strengths, and
aspirations
This scenario shows both Green and the Chief using Contemporary Motivation concepts to
accomplish all of the above.
4. (Determine) If his actions, decisions, and behaviors were effective skip this step. If not
explain why they are ineffective.
(Answer) Because his actions, decisions, and behaviors were appropriate you should have
skipped this step.
5. (Predict) If the current use of Contemporary Motivation continues, what can you predict will
happen and why?
(Answer) According to the chapter, when people operate at the performance or involvement
levels they are more committed to the unit and the mission, thus we can expect people to
remain excited about their work, expect initiative and esprit de corps to remain high, and
expect the mission to continue being accomplished in an effective and efficient manner.
Great job on the scenario; before we wrap up the chapter, take just a few minutes to go over the
personal leadership development plan.
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--- List 3 areas of improvement and explain why each area needs work
-- Part IV: Development Action Plan:
--- Using the information from Part III, compose an action plan to help guide your
development over the next 3-5 years. Focus your attention on your 3 strengths and 3
improvement areas you would like to work on. When developing your action plan,
answer the following questions:
--- What are you going to improve/continue to develop?
--- How are you going to improve/continue to develop the area?
--- Timeframe? How long do you need to work on that area?
--- Resources needed? Do you need any resources to help (i.e., additional training)?
--- How will you measure success?
-- While completing Part IV, make sure all elements of the Development Action Plan are
SMART:
--- Specific What, when, why and how
--- Measurable How are you going to know if you have met your goal?
--- Acceptable Can you do it?
--- Realistic Is your plan really going to work?
--- Timeframe How long is it going to take you?
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Key Terms
Feedback, 71
Followership, 70
Personal Power, 92
Position Power, 91
References
Bartol, Katheryn M. and David C. Martin. Management. McGraw-Hill, 1991.
DuBrin, Andrew J. Essentials of Management. 5th ed. South-Western College, 2000.
Four Lenses, 4-Temperament Discovery: The Kit, Shipley Communication, 2009.
George, Bill., Sims, Peter. True North, Wiley & Sons Inc., 2007
Hersey, Paul, Kenneth H. Blanchard and Dewey E. Johnson. Management of Organizational
Behavior. 7th ed. Prentice Hall, 1996.
Rath, Tom. Conchie, Barry. Strengths Based Leadership. New York, NY: Gallup Press, 2008
Rath, Tom. Strengths Finder 2.0, New York, NY: Gallup Press, 2007.
US Marine Corps Institute, Leadership Volume, Staff NCO Career Nonresident Program. 1971.
Websters II New Riverside University Dictionary (Riverside Publishing, 1988), 119, 747.
Websters Ninth New Colligate Dictionary, 1984, 493
http://www.merriam-webster.com/dictionary
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Formative Exercise
1. TSgt Johnson, section NCOIC, noticed A1C Carney seems irritable and to himself.
Concerned, she brought him into the office and said, A1C Carney, you are usually
enthusiastic, but lately you look like you dont want to be here. Whats wrong? Because of
the respect he has for her, so he decides to open up and says, My son has rashes all over his
body and has been seen several times at the base clinic, but he is not getting any better.
Johnson said, I can understand how that could be frustrating. If youre not getting adequate
care, there is an agency at the clinic that can help you. As matter of fact, I know someone in
the patient advocacy office. Let me give him a call and see what he could do for you. Few
days later, Carneys son had an appointment with a specialist and the problem was resolved.
This scenario BEST illustrates use of ________________________ and its impact on NCO
effectiveness.
a. connection power
b. referent power
c. information power
2. TSgt Bell completed the NCOA about a year ago and constantly applies the lesson principles
he learned. He ensures the Airmen are trained and understand their responsibility as a
technician. With a clear understanding of their job, they have been excelling in their work.
At the last roll call, Bell presented one of the Airmen with an award for excellence.
However, some of the Airmen were little disappointed that they didnt win.
TSgt Bells __________________________ will MOST LIKELY _________ subordinate
effectiveness.
a. use of system and personal rewards; increase
b. use of system and supervisory rewards; increase
c. lack of supervisory and personal rewards; decrease
d. lack of supervisory and system rewards; decrease
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b. Performance Level
c. Membership Level
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2. CORRECT ANSWER: b
RATIONALE:
a. This answer is INCORRECT. There is an indication of a system rewards in the way of
training; however, there is no indication in the scenario of personal rewards which,
according to the Leader Influence chapter, are reward that come from within us. The
scenario shows Bell providing system and supervisory rewards which will most likely
increase subordinate effectiveness.
b. This answer is CORRECT. According to the Leader Influence chapter, system level
rewards are things the organization provides for being a member such as training
which is identified in the scenario. Additionally, supervisory rewards are given to
those who go beyond the standard such as Bell presenting an Airman with an award
for excellence. The efforts of Bell will most likely increase subordinate effectiveness.
c. This answer is INCORRECT. There is an indication of a supervisory reward in the way
of an Airman receiving the award of excellence; however, there is no indication in the
scenario of personal rewards which, according to the Leader Influence chapter, are
reward that come from within us. The scenario shows Bell providing system and
supervisory rewards which will most likely increase subordinate effectiveness.
d. This answer is INCORRECT. There is an indication in the scenario of a supervisory and
systems reward in the way of an Airman receiving the award of excellence and training
given to the technicians. With these rewards, according to the Leader Influence chapter,
will most likely increase subordinate effectiveness.
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Leadership Self-Assessment
Leadership Self-Assessment12
Objective: To rate yourself on how well you like tasks and people
Instructions:
1. Complete the Blake and Mouton Managerial Grid questionnaire.
2. Transfer answers to the columns provided in the scoring section.
3. Total the scores in each column and multiply each total by 0.2.
4. For example, in the first column (PEOPLE), if you answered 5, 3, 4, 4, 3, 2, 5, 4, 3, then
your final score is 33 x 0.2 = 6.6.
5. Plot this final score along the vertical axis in the grid
6. Total the final score for the second column (TASK)
7. Plot this score on the horizontal axis of the grid.
8. Intersect the lines to see from which area you normally operate: Authoritarian,
Impoverished, Team Leader, or Country Club.
Blake and Mouton Managerial Grid Questionnaire
Below is a list of statements about leadership behavior. Read each one carefully; then, using the
scale below, decide the extent to which it actually applies to you. For best results, answer as
truthfully as possible.
Never
0
Sometimes
1
Always
3
1.
___
2.
___
126
3.
___ I closely monitor the schedule to ensure a task or project will be completed on
time.
4.
5.
___ The more challenging a task is, the more I enjoy it.
6.
7.
___ When I see a complex task through to completion, I account for every detail.
8.
___ I find it easy to carry out several complicated tasks at the same time.
9.
___ I enjoy reading articles, books, and journals about training, leadership, and
psychologyand then putting what I have read into action.
10.
11.
12.
___ I enjoy explaining the intricacies and details of complex tasks to my subordinates.
13.
___ Breaking large projects into small manageable tasks is second nature to me.
14.
15.
16.
17.
18.
___ I enjoy reading articles, books, and trade journals about my professionand then
implementing the new procedures I have learned.
127
Question
Question
(PEOPLE)
(TASK)
_____
_____
_____
_____
_____
_____
_____
_____
10
_____
_____
12
_____
11
_____
14
_____
13
_____
16
_____
15
_____
17
_____
18
_____
Subtotal
_____
Subtotal
x 0.2
Final Score
_____
_____
x 0.2
Final Score
_____
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Plot your final score on the graph below. Draw a line from left to right at the point on the
vertical axis that represents your PEOPLE score. Then draw a line from bottom to top at the
point on the horizontal axis that represents your TASK score. Place a dot where the lines
intersect, the quadrant where the dot resides represents the leadership dimension from which you
normally operate.
Authoritarian Leader - high task, low relationship - 9, 1. This kind of leader is very task
oriented and hard on their workers (autocratic). There is little or no allowance for cooperation or
collaboration.
Heavily task-oriented people display the following characteristics:
when something goes wrong, they tend to focus on who is to blame rather than on
exactly what is wrong and how to fix/prevent it;
intolerant of what they see as dissent (even though it may just be someones creativity),
so it is difficult for their subordinates to contribute or develop.
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Country Club Leader - low task, high relationship - 1, 9. This leader uses predominantly
reward power to maintain discipline and encourage the team to accomplish its goals.
Conversely, this leader is almost incapable of employing the more punitive coercive and
legitimate powers. This inability results from the leaders fear that using such powers could
jeopardize his or her relationship with the team members.
Impoverished Leader - low task, low relationship - 1, 1. This person uses a delegate and
disappear management style. Since this person is not committed to either task accomplishment
or maintenance, he or she essentially allows the team to do whatever it wishes and prefers to be
detached from the team process by allowing it to suffer from a series of power struggles.
Team Leader - high task, high relationship - 9, 9. This type of leader leads by positive
example. This person endeavors to foster a team environment in which all team members can
reach their highest potential, both as team members and as people. This leader encourages the
team to reach team goals as effectively as possible, while also working tirelessly to strengthen
the bonds among the various members. This leader forms and leads the most productive teams.
Reference:
Based upon Robert R. Blake and Jane S. Mouton (1985). The Managerial Grid III: The Key to
Leadership Excellence. Houston: Gulf Publishing Co.
In January 1964, Blake and Mouton published the managerial grid as not only a new model
and attempt to explain human behavior, but also as a powerful tool designed to improve human
effectiveness and develop sound leadership.
The grid provides a basis for comparison of styles in terms of two principle dimensions:
130
End Notes
1
George, Bill., Sims, Peter. True North, Wiley & Sons Inc., 2007
US Marine Corps Institute, Leadership Volume, Staff NCO Career Nonresident Program, 1971,
2-3.
Ibid., 122-125.
Websters II New Riverside University Dictionary (Riverside Publishing, 1988), 119, 747.
10
Ibid., 236.
11
Ibid., 237.
12
Leadership - Blake and Mouton Managerial Grid by Donald Clark, copyright 1998
Conflict Management
Connections to the NPSC
Categories of Negotiation
Mediation
Stages of Mediation
Active Listening
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2.
3.
AFFECTIVE OBJECTIVE:
Value negotiations.
Affective Samples of Behavior:
1. Actively participate in the
reflective thinking opportunities
associated with negotiating,
active listening, and conflict
management and its impact on
NCO, unit, and mission
effectiveness.
2.
3.
4.
133
Divergent thinkers mental processes tend to be creative and spontaneous. They are
comfortable with uncertainty and ambiguity. They prefer flexible plans with as many
options as possible.
Demand: A demand is a statement of terms with no room for adjustment. It is positional and
embodies the most precise use of a take it or leave it option.
Interests are the reason behind your position. It is the why behind what you want. To help
determine interests, investigate your position through a series of critical thinking (CT), questions
that begin with who, what, when, where, and why. There are three basic types of interests;
procedural, psychological and substantive.3
Substantive interests, which are perhaps the most important, have to do with things
such as schedules, prices, salaries, etc. These make up the bulk of most negotiations.
134
It is the preferred style by the Air Force mediators because, in most instances, there will be a
continuing relationship between the parties after mediation, and negotiations adjourn. In IBN,
parties are more likely to come to a mutually satisfactory outcome when their respective interests
are met. Typical negotiations concentrate on a tangible or intangible object (e.g. money,
property, benefits, or obligations) and how to distribute it among the disputing parties. With
IBN, the focus is placed on the interests of each party and how to satisfy them. The mediators
challenge is to guide these parties to focus on their interests instead of their positions.
Negotiation is a process involving two or more people or groups who have a degree of
difference in positions, interests, goals, values, or beliefs and who are striving to reach agreement
on issues or courses of action. Negotiation can also be defined as a dialogue intended to resolve
disputes, to produce an agreement upon courses of action, to bargain for individual or collective
advantage, or to craft outcomes to satisfy various interests.4
Position: In negotiating, a position is what you want. Your
position is what you envision as your best possible outcome. This is
the stance one takes that is usually founded on his or her underlying
interests.5
Reservation point is the bottom line or least favorable option or
offer you will accept.6
Zone of Possible Agreement (ZOPA): The bargaining range
defined as the overlapping (common) area of each partys aspiration
point and reservation point. No overlap, no ZOPA.7
Negotiators should
always work to identify
and categorize the
interests and then work
at developing solutions
that address the type of
interest.
Example
The Airman, a single parent, is the primary
representative for the sections safety program
which is scheduled to be inspected by the Wing
Safety office in two days. Unfortunately, for him,
his primary child caregiver had to leave town
unexpectedly for a family emergency and he is
struggling with a limited income. Therefore, he is
requesting three days of leave to care for his child
(position). He needs a trusted person to care for his
child for the next three days (interest). The Airman
has six days of accrued leave, which he mentions to
his supervisor to solidify her approval (anchor).
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If necessary, he can take all six days of leave to cover the three days and extra in case the
caregivers return is delayed (aspiration point). The Airman would be willing to take two days
of leave in order to buy time to arrange an alternate caregiver for the remaining days (reservation
point). Worst case scenario, he would have to take his son to a local daycare; to people he does
not know and using money he does not have allocated for this pricy service (BATNA).
The Supervisor is quite a divergent thinker (one who tends think in unusual and way and eager
to generate several possible solutions to a problem). In fact, her motto, Flexibility is the key to
success! is a welcomed attribute. She wants the Airman to find an alternate caregiver instead of
taking leave so he can complete the self-inspection of the safety program (position) in order to
ensure the unit is prepared and in compliance with set Air Force Safety Program (interest). She
decides that two days is appropriate to find alternate childcare, returning to work to complete the
self-inspection checklist in time for the wing safety inspection (anchor). However, she is okay
with the Airman taking one day of leave to arrange an alternate caregiver, thus returning in time
to complete the self-inspection (aspiration point). She supposes he could take the three days
necessary to care for his child with no additional time off (reservation point) but this would
force her to either find someone else competent enough to complete the inspection, or worst case
scenario, she would have to do it herself, which adds to her already strenuous workload
(BATNA). Now the supervisor could demand the Airman not take leave, but that would be
convergent thinking (one who relies solely on rules and authority). As mentioned earlier, the
supervisor is a divergent thinker.
The following illustration provides a visual representation of the Zone of Possible Agreement
(ZOPA), which is the bargaining range of the two parties. Notice how the reservation and
aspiration points are reversed for the Airman and supervisor. The Airmans goal is more days
off (his aspiration point), whereas the supervisors goal is to reconcile the situation with fewer
days of leave (her aspiration point).
With a basic knowledge of the terminology associated to negotiations and how they are used in a
negotiations situation, you will move on to another visual aid that further explains the practice of
negotiations known as the TIPO (pronounced tie-po) Model.
136
Everyone is a negotiator. Over time, you have engaged in some form of negotiations and
situations where you were required to argue and debate for what you needed, to settle a
difference of opinion, and hopefully reach an agreement. As children, we attempted to negotiate
our bedtime with our parents and the foods we wanted to eat for dinner. Today, we may
negotiate project deadlines with supervisors, conditions that allow for peaceful military
operations in Iraq and Afghanistan, and perhaps starting salaries and benefits for a post-military
job.
Within each negotiated situation are variables that influence the outcome of our efforts. These
are trust, information, power, and ultimately the available options. The significance of this
model is two-fold.
First, it illustrates how trust influences your use of information and power, and how information
and power influence the ways and means options are developed to resolve disputes, solve
problems, and reach mutually-satisfying solutions. Second, it emphasizes the reasons why we
should consider the trust, information, and power that exists in each negotiated situation
beforehand so that we can better predict the possible options. A careful and proactive
assessment assists in determining the strategy our opposite plans to use, allowing us to select the
most effective negotiation strategy of our own to reach a mutually-satisfying outcome.
Trust
Trust is the foundation of relationships with others and faith in a system. There are two major
categories of trust, Trust in a Process and Trust in a Person.
Trust in a Person
Personal trust stands alone. It is not reliant on any institution or third party. At the most basic
level, personal trust is established between two people (e.g. supervisor and subordinate). As
supervisors, we trust our subordinates to do their job, be respectful, and enable us to lead them.
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As subordinates, we trust that our supervisors have our best interests in mind, will represent our
interests, and are always willing to consider our ideas. In a negotiation, personal trust helps
improve options and ultimately the negotiation outcome.
As mid-level supervisors, we build personal trust by taking into account how well we conduct
ourselves, complete assigned tasks, and consider our reputation, status, and standing in society.
For example, if we consistently commit untrustworthy acts, micromanage our people, and dont
keep our word it will be difficult (if not impossible) for our opposite to personally trust us.
Trust in a Process
Process trust exists when both parties have faith in a governing institution and believe that it
supports their negotiations. You trust that these processes promote outcomes that are justified
(fair and impartial), legal, ethically acceptable, and also satisfy the interests of both parties. The
Inspector General complaint system, Equal Opportunity policies and programs, Air Force
instructions, and the core values are examples of Process Trust. Successful negotiations among
military members, who do not know each other, depend on the belief that all parties will adhere
to these institutional policies and values.
Trust-building takes time. However, once established, trust helps facilitate more effective
communication and potentially more efficient negotiations. Here are just three trust-building
measures that help establish the expectation for an honorable exchange between parties involved
in negotiations:
Providing (or being provided) information in a way that both parties understand
Information
The level of trust directly influences the amount of information shared between/among
negotiating parties. When we trust our opposite, we believe the information they present is
truthful and accurate. As a result, we feel more comfortable sharing information which can lead
to better discussions, more effective brainstorming sessions, and a shared selection of options.
However, if we believe the opposite is withholding or offering false information, our options are
to use a third party source to validate the information, confront our opposite with our concerns
regarding the information, dismiss the information altogether, or continue to negotiate based only
on the information provided.
Unfortunately, trusting information from others can be quite difficult. Strong relationships allow
for honest disclosure of information, which includes unpleasant, unpopular, or less preferred
information. Depending on ones approach, trust can be either cultivated or destroyed. Consider
the following example.
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Example
While looking at a new car, your initial purchase offer for a vehicle is significantly less
than the dealers asking price. You may share that you are on a tight budget or that the
car is for your daughter. You may even divulge additional information depending on
how well you trust the salesperson. If the salesperson values the relationship, he or she
may accept your offer, make a fair counter offer within your price range, or show you a
more affordable vehicle. Both parties acknowledge that the mutual goal here is to
provide you with such a wonderful car-buying experience, that you cannot help but tell
others about it. On the other hand, if the salesperson does not value the relationship or
believes you are capable of paying much more than your initial offer, he or she may
reject your offer and pressure you into purchasing the car at the dealerships asking price.
In this case, the salespersons insistence may result in a lack of trust, a poor buying
experience, and ultimately no sale.
Trust and information not only influence your negotiating strategy, they influence the amount of
power you need to draw upon to execute your strategy.
Power
As we learned in the Chapter 2, Leader Influence, we have personal and position powers that
enable us to accomplish various actions. Determining our opposites power helps us decide
whether we can use our power over theirs or instead, combine our power with theirs during
negotiations.
Lets take a moment and briefly review these powers:
Position Powers
Coercive and Reward: These powers depend on ones belief that his or her opposite is willing
and able to inflict punishment and/or offer incentives.
Often used to pressure or force someone to do something, some examples of coercive power can
be pursuing disciplinary (administrative) actions, taking away ones privileges, posing
restrictions, and recommending non-judicial punishment. On the other hand, reward power is
used to positively influence another persons situation using incentives that the other party values
like time-off, a promotion, public recognition, etc. Although both are valuable tools in
negotiations, do not threaten or inflict undue punishments or promise rewards you cannot
deliver. This will negatively affect trust, which will minimize available options, thus hindering
negotiations.
Connection: This power pertains to who you know or are affiliated with. This power
depends on the others belief you have powerful connections with others who can support
and strengthen your position.
139
Legitimate: This is based on ones rank, position, or level of authority. Although you
may be able to use this Power Over your opposite, consider the relationship and only
use this power when your intentions are legal, ethical, and appropriate.9
Personal Powers
Referent (Charisma): People respond to this power because they have a high
identification with you, respect and admire you, or tend to follow and agree with you
because they aspire to be like you. This power affords the opportunity to encourage,
motivate, and inspire others.
Information: This power comes from ones knowledge, use, and sharing of data or
information that others may need or desire. Access to secure data systems, leadership
meetings, briefings, even gossip, increases your information power base. Some tend to
withhold information from others so they maintain the advantage and the informational
higher hand. However, when you trust others and share information, you increase their
information power as well as their trust in you.
Expert: This power comes from ones expertise in a specific task, subject, or career field.
Subject-matter experts are valuable members of any organization. How you use and
share this power base can improve or reduce trust and ultimately the outcome of your
negotiations.10
When negotiating, you should assess which of these powers you have, which ones are available
to the opposite, and how the opposite perceives your power. As the TIPO Model illustrates, trust
impacts the amount and reliability of the information you acquire and the power you should or
need to execute during a negotiation. With high levels of trust, information, and power may be
actively shared between you and the opposite. For example, you may have expert power
pertaining to a particular topic, but are fully willing to listen to the opposites perspectives on
how to solve the problem because they have additional information you require. Lets consider
the story of a Swiss engineer and his amazing invention.
George de Mestral (right) was hiking through
the woods one day and noticed mountain
thistles tenaciously clinging to his pant legs and
beloved dog. After realizing what made the
thistles so effective, he designed a prototype
that mocked this action and presented it to
several manufacturing companies. After many
meetings and much ridicule, he eventually
convinced a French fabric company to produce
his concept. The company representatives were
experts in the fabric industry and, though
hesitant, shared their expertise with George de Mestral. The collaboration of these two parties
resulted in the production of an incredible hook-and-loop fastener system we know today as
Velcro.
140
If you have low trust in the opposite, you may need to apply more power over instead of
power with. For instance, you may use your expert power to discredit whatever data the
opposite brings to the table, a tactic familiar to trial lawyers. You may try to force or insist a
course of action (a coercive technique) if the opposite disregards your requests or terms. In other
words, we share, relinquish, or hoard power and information depending on the level of trust that
exists between our opposites and ourselves.
Options
The final part of the TIPO model uses the foundation of trust and the elements of information
and power to develop options. Options (which include possible solutions, choices, and
alternatives) are simply the different ways of coming to a mutually-agreed upon and satisfying
outcome. When seeking options, there are two important steps that must be accomplished. First
define the problem, situation, or dispute. Second, identify the required and available resources
(information, power, time, people, money, etc.) needed to solve the problem, improve the
situation, or settle the dispute. More resources usually lead to more options.
The more trustworthy information you receive from (and about) your opposite, the more
potential options you have. Our trustworthy opposites usually offer ideas and perspectives that
we would never consider on our own.
Conversely, low trust between parties negatively influences information, undermines option
development, and results in the use of power over rather than the use of power with. At its very
worst, there may be only one option to consider that our opposite simply does not agree with.
For the sake of mission accomplishment, this may force us to
use what power we have to operationalize the option without
our opposites consent.
Our understanding of the TIPO model is important, but to take
full advantage of its usefulness, we also need to assess who we
are dealing with, know what is at stake, and know the criticality
of the current situation.
Notice: It is important
to remember that
information is critical to
developing options and
power is key to making
the options possible.
141
142
Progress Check
1. In your own words define negotiation.
2. In each box below, list three examples of negotiations you encountered at work, at home, and
in other environments.
WORK
HOME
OTHER
143
When a situation changes, altering your strategy is usually necessary. For example, trust,
information, power, and options often shift during negotiations. An awareness and critical
evaluation of these changes can guide our change in strategy. Two of the most important
variables (task and people) fit nicely with our assessment of the Who, Stakes, and Situation.
144
People Orientation
This approach centers on the relationship that exists between the individuals or groups involved.
In some situations, developing or maintaining the relationship is more important than the task at
hand. This focus on the relationship is not necessarily about developing a friendship; it is about
understanding the importance of the relationship-past, present and future. With people
orientation, the time spent on cultivating the relationship is in direct correlation with the amount
of power our opposites feel they need as well as how much power we feel we need to accomplish
the task.
Task Orientation
Depending on the stakes and situation, this approach places more importance on reaching an
outcome, solution, or resolution. In the military, this is centered on getting the mission done.
High task orientation means we are very motivated to resolve a problem or respond to a critical
situation. On the other hand, low task orientation means we do not wish to (or need to) resolve
the situation at this time. Perhaps we are satisfied with the current situation or status quo or it
may be that we do not agree with any of the proposed solutions. It could be that we do not
understand the problem completely and need additional time to gather more information.
Whatever the case, it is vital that we consider connections between the task and the people
involved.
Negotiation Styles
This section explores the five styles illustrated in the NPSC commonly used in negotiations and
includes: Evade, Comply, Insist, Settle, and Cooperate.
Evade (Not now, maybe later?)
This passive, unassertive, strategy is often used to maintain the current situation and is best used
when the current situation favors any proposed solution, the issue at hand is unimportant to one
or both parties, there are other more pressing matters that take priority over this situation, or the
opposite is way too powerful.
When assessing the TIPO of the situation, the Evade style may be most appropriate when:
Trust is low and/or we believe our opposite is not willing to work with us or we believe
they intend us ill will. Use of this strategy can buy time and with the passage of time,
conditions may change in our favor.
The opposites provide little to no information to work the issue, we are not motivated to
gain the needed information, or we dont trust the information provided. Sometimes our
information discourages us from engaging in the issue, even though our opposite is
interested in engaging.
We have little power and/or our powers are being diverted to tackle other pressing issues.
We have little or no control over the option selection and want to wait for conditions to
change.
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A trusting relationship exists between the parties and there is a desire to continue
building trust.
All parties have information they are willing to share and mutually trust the information
is accurate and legitimate.
Options favor our opposite or our position and interests. Also, complying is useful in
establishing rapport and building goodwill for future negotiations. On the other hand, we
must carefully evaluate the potential impact on long-term relations when using comply
strategy. If we comply too quickly or too often, our opposite may see that as a sign of
weakness, which can make future negotiations more difficult.
Trust does not exist or is not needed or valued. Simply put, the Insist style is not IF we
win, but how much we win.
The information provided by the opposite is suspect or, though truthful, is of little or no
value to us. This style is also appropriate when we have all the information we need or
the information is of sufficient quality for making clear decisions.
We have overwhelming power during negotiations as well as the capability to see the
agreement through during the execution phase.
All too often, we use our power to dominate our opposite during negotiations, but then
watch helplessly as the agreement falls apart because our opposite has more power than
we do during the execution phase.
146
Trust exists between the negotiating parties and there is a desire by both parties to reach
a solution quickly.
Both parties are willing to share information that at least supports a short-term solution
We have as much power as the opposite or have less power than the opposite believes we
have.
Options favor both parties interests and a quick solution is necessary (even if it is a
short-term solution that enables more time to build trust, gather information, or gain
power).
Cooperate (Lets work together and come up with an even better idea)
The Cooperate style depends heavily on each partys collaborative efforts and desire to achieve a
mutually satisfactory outcome (task orientation) while simultaneously managing a trusting
relationship (people orientation). Here, the focus is on the common interests that drive each
partys position. These interests are not always evident and may take time to uncover, but
eventually lead to a common ground. When we cooperate with others, we generate options that
are valued by all parties and the solutions are usually better than what we could have created on
our own. However, for this to occur, both parties must be willing to trust each other (or be
willing to cultivate trust), share information and power, and suspend judgment on the possible
options.
When assessing TIPO of the situation, the Cooperate style may be most appropriate when:
A great deal of trust exists. Because this style depends on the sharing of information and
power. Trust building is a foundational tool of the CNS. For example, although process
trust may be evident and important to task orientation, personal trust is also critical to
building trusting relationships and the people orientation.
147
Information is reliable and freely shared among negotiating parties. With unconditional
trust (primarily personal trust) full disclosure is possible.
Power is shared because all involved parties consider each other as partners instead of
adversaries. In order to cooperate, trust must be strong, information is freely shared, and
power is distributed evenly across all parties.
Options are developed through a collaborative effort that is founded on mutual trust, a
free exchange of abundant information, and a fair sharing of power.12
The potential for conflict exists whenever two or more people are present. Dr. Kenneth Thomas,
author of an article entitled Conflict and Conflict Management defines conflict as the process
that results when one person (or a group) perceives that another person or group is frustrating, or
about to frustrate, an important concern.13 Incompatible differences in values, interests, beliefs,
opinions, worldviews, and perspectives are all contenders to fuel dispute. As supervisors and
leaders within our organizations, how we manage conflict has a tremendous impact on team
cohesion, unit effectiveness, and ultimately mission success.
Conflict can be constructive or destructive. Constructive conflict spurs creative thinking
between two or more parties which result in more detailed and feasible solutions to problems and
options when negotiating and mediating. Destructive conflict produces hostility between parties
which in turn produces barriers to cooperation, destroys morale, and thwarts efforts to solve
problems and reach mutually agreed upon options. Therefore, conflict management is deeplyrooted in the art and science of negotiation and mediation.
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Comparing the Thomas-Kilmann Conflict Model and Air Force Negotiation Center of
Excellences Negotiation Preferences and Styles Chart (NPSC), we find some intriguing
connections. For example, a person who competes (forces) his or her will on others during
conflict is highly assertive and uncooperative. This is comparable to one who insists his or her
position on the other party. An insistent negotiator is concerned more about the mission at hand
(task-oriented) then the relationship involved (people-orientation). One who accommodates
others in conflict is highly cooperative and unassertive while a compliant negotiator is more
concerned about the relationship and pleasing others then accomplishing the task to his or her
liking.
Those who avoid conflict may do so out of the shear dislike for confrontation just as a person
may evade negotiations; however, there are advantages to avoiding conflict and evading
negotiations. For instance, a person may need time to gather more information to better
understand what caused the conflict whereas a negotiator may realize the situation is not ripe
enough for resolution or the opposite is not ready to negotiate. Compromising in conflict
resembles settling in negotiations. Both parties elect to meet-in-the-middle, giving in a little to
gain a partially satisfying outcome. This is advantageous when time is short and the need for
some sort of reconciliation is critical.
Whether in conflict or negotiations, win-win situations transpire when all involved parties are
willing to cooperate and collaborate. Here, disputants consider the needs and interests of those
involved voluntarily share information with one another, and work together to constructively
brainstorm ideas that lead to mutually satisfying resolutions and agreed upon solutions.
149
CNS is based on four key principles featured in Fisher and Urys book Getting to Yes. If done
correctly, this can lead to effectively reaching a mutually desired outcome.
Acknowledge that there are positions, but focus on interests. Find common ground
between the negotiating parties by understanding both sides underlying interests.
Mutually propose solutions through use of divergent thinking. Develop options that
satisfy interests without passing judgment on any individual proposal developed.
Agree to converge on a solution that best satisfies each partys top priorities and meets a
legitimate standard.
Within these four principles is a 5-Step CNS Process you can follow when preparing to
negotiate. These are five distinct steps, but remember; once a step of the process is completed
does not mean it cannot be revisited, especially in light of new circumstances or information.
The first three steps (pre-negotiations or the planning phase) should be well developed before the
first meeting. The three steps of positions, interests, and BATNA draw no conclusions, but help
to organize thoughts. Use the remaining two steps during negotiations.
Step 1: Positions
Establish what your position should be and estimate what you think your counterparts position
might be. Think about WHAT each of you might want.
Step 2: Interests
Assess why you think the position from step one is the one you need and estimate why you think
your counterpart might desire his or her position.
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Integral to this step is to ensure you prioritize what interest is most important to you and what
you think is most important to your counterpart. This step helps supply the essential topics you
will want to cover during the actual negotiation meetings.
Step 3: BATNA (Best Alternative to a Negotiated Agreement)
The last step in the planning phase involves determining your BATNA and estimating your
counterparts BATNA. This information should be used to motivate the negotiating parties to
engage in negotiations that will exceed their BATNAs by as much as is practical.
You should think about how to strengthen your BATNA as well as how you might influence
your counterparts BATNA.
Step 4: Brainstorming
You are now engaged in negotiating with your counterpart and using divergent thinking skills to
develop ideas that will satisfy the interests you have developed.
As this step is executed, remember that developing good options is only possible after you have a
robust discussion about both sides interests. You cannot brainstorm proposals until you have a
good mutual understanding of interests and priorities. Negotiation effectiveness and efficiency
are negatively affected when information about interests is not shared.
Once you begin brainstorming options for mutual gain, it is essential to list all the options
developed without judgment -- often the best solution is one that grows out of an initially
incomplete or weak option. The only way such options can be transformed into good options is
if both parties suspend judgment on the original idea; this allows the idea to improve through
subsequent suggestions.
It is also advisable to set a ground rule during this phase that you are only brainstorming; no
party is committed to any option put forward during brainstorming. If you cannot come to any
kind of agreement in this step, then you may need to go back and start again with positions.
Step 5: Solution
In this final step, the best idea from all of those presented is selected by all negotiating parties.
In the military context, select option(s) that meet(s) the most important priorities for both sides.
To help this process along, it is suggested that critical thinking questions continue to flow as
options are suggested as the best. For example, if your counterpart suggests Option D is the best,
you might ask the counterpart which of his/her interests Option D satisfies, as well as which
interests of yours they think the option satisfies. Be sure any solution you come up with meets a
legitimate standard. In the Air Force, many standards are set for you in AFIs, OIs, or Core
Values. For the solution to be feasible, it must meet the following standards.
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Progress Check
7. What is the difference between task and people orientation?
8. Fill in the parts of the Negotiation Preferences and Styles Chart (NPSC) below.
9. What are the five steps in the Cooperative Negotiation Strategy Process?
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Categories of Negotiation
Negotiation is a complex skill that involves people with different positions, values, and interests
striving to reach an agreement. This often leads to conflict that can be resolved in various ways
depending on who is involved, the stakes, and the situation. Now that you have a better
understanding of conflict management, lets begin with the two basic negotiating categories.
Negotiating Categories
There are two basic categories that virtually all negotiation strategies fall into: distributive and
integrative.15
Distributive
This category assumes resources are limited. The task of any distributive negotiating process is
to divide up a fixed set of resources. It is also known as value claiming. Distributive
negotiations objective is to claim a portion of whatever value is on the table. Negotiators meet
to exchange proposals, offers, and counter-offers.
Distributive negotiations are used usually single-issue negotiations and considered zero sums.
This approach to negotiation is used when the parties are attempting to divide, divvy, or
distribute something. Because resources are seen as fixed and limited, any gain by one side
represents a loss for the other. Conflict is seen as inevitable, and competition rather than
cooperation guides negotiations. Parties involved in the negotiations often perceive the other
side as an enemy, which hinders their success. In a competitive situation, information is
regarded as a source of power, and is, therefore hoarded and controlled. Because information is
so valuable to negotiations, deception may occur resulting in distrust, a characteristic of the
Distributive category and one of the most serious drawbacks of distributive bargaining for
military negotiators.
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Nibble
You are about to sign, and then the other party demands a little something extra at the end to
close the deal. You should stand ready with a little something extra of your own to demand.
This person measures success by winning, by beating the other person, and by getting what
he/she wanted.
Integrative
The integrative category, while still acknowledging that in the end resources must be distributed
(there is value to claim at some point in any negotiation), does not see resources as necessarily
fixed and means that integrative negotiations are not necessarily zero sum. Conflict is not seen
as inevitable; there is the possibility for mutually beneficial, value creating cooperation
between the parties involved. Negotiators see the other party as partners in the process.
Cooperation between the parties has the potential to create new value from existing resources by
combining or using them in new or different ways.
In this value-creating process, trust-building measures are actively pursued to help develop a
highly-cooperative relationship. Information and power is shared between the parties. This
approach can be executed through a collaborative (or win-win) negotiation strategy.
The cooperative negotiator is concerned with maximizing absolute gains while simultaneously
meeting the counterparts interests, rather than maximizing his/her relative gains over the other
party. In this strategy, the negotiators goal is to arrive at an agreement that satisfies the most
important interests of all parties.
As a general rule, except in cases of an emergency, authors argue that military negotiators
achieve better solutions by utilizing the integrative category. One hallmark of integrative
negotiation is asking open-ended questions regarding the other partys interests, concerns, and
circumstances. As mentioned in AFDD 1-1, Leadership and Force Development, leaders must
consider underlying consequences for key stakeholders while seeking and negotiating win/win
solutions.
The authors argue that agreements reached by integrative means will be more sustainable and
will tend to enhance relationships, whereas distributive negotiation tends to degrade
relationships. Lack of cross-cultural competence intensifies this harm. It is suggested that
combining cross-cultural competence with integrative negotiation skills leads to better
relationships and better agreements, and, therefore, serves tactical and strategic objectives.
To use the integrative style effectively, you must use active listening to get to the underlying
issues. To better understand how active listening works, first learn about the barriers to listening.
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Progress Check
10. What are the two categories of negotiations?
11. What are the seven hardball tactics associated with distributive negotiations?
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Low-context cultures are primarily task-oriented and work toward negotiating a resolution as
quickly as possible. The social connections within these groups and cultures have not existed as
long as those of the high-context groups or cultures. Low-context cultures are rule-oriented
groups with fewer interpersonal connections. Low context cultures include: the United States,
Canada, German-speaking countries, and Scandinavia.
The low-context negotiator will most likely use the Insist style and their position powers to get
what they want. In this situation, they desire a speedy resolve that would most likely satisfy his
or her position, rather than interests. Because of a lack of trust in the opposite (and/or for the
sake of time), a low-context disputant will relinquish little or no information to the opposite. The
Insist style disregards the other partys interests and needs and usually results in a short-term
solution. The preceding table explains the differences between low-context and high-context
cultures and how these can influence negotiations.
When interacting with foreign cultures, effective negotiators must determine whether their
opposite is a member of a high or low context society and consider the perspectives, beliefs,
values, and worldviews associated with that culture. As we learned in the Cross-Cultural
Awareness lesson, low context, cultures commonly found in North America and Northern
Europe are task-oriented and diligently work to find a solution and are quick to decide and
declare what they believe to be the best solution for all parties without ever considering the
interests or even including their opposite. This I have a problem and know whats best for me
and you approach often clashes with high-context cultures. High context cultures (typically
found in Southern Europe, Latin America, Asia, Middle East, and Africa) are more peopleoriented and believe that establishing rapport and a trusting relationship just as (or more)
important as reaching a mutually satisfying solution. To better understand some of the
differences that exist between high- and low-context, lets examine a few of the values that
influence a cultures worldview:
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Low-Context
High-Context
Power
Achievement
As you can see, these differences could be quite detrimental to cross-cultural negotiations.
Therefore, to be successful in any culturally diverse negotiating situation, all parties must realize
that establishing a trusting relationship and an understanding for one another is the essential first
step toward reaching and mutually satisfying resolution that meets each partys interests-not their
positions. We can apply principles from both the TIPO Model and the Negotiation Preferences
and Styles Chart to emphasize the impact a trusting relationship and the negotiation styles have
on cross-cultural negotiations.
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Low-Context
High-Context
(Task-Oriented)
(People-Oriented)
Trust
Information
Power
Options
If a mutually agreed upon solution is not reached, one or both disputing parties may resort to
using one of the other negotiation styles which are not specific to either the low- or the highcontext culture. For instance, a disputing party may exercise the Evade style when it believes it
lacks the power and information necessary to successfully negotiate with a more powerful and
informed opposite. As this styles name implies, the party may avoid the situation and resort to
its BATNA until more information and power is mustered. The Comply style may be used when
a disputing party feels it has less power than its opposite but has some level of information to
offer (i.e. intelligence pertaining to the region, resources, or enemy). Because he or she believes
their BATNA is too weak to consider, a negotiator from a high context region whose country is
poor and vulnerable to attack may submit to a more powerful opposite with the hope that
establishing an alliance with a formidable opposite will satisfy its needs for security. Lastly,
there is the Settle negotiation style where both disputing parties feel their levels of power and
information rivals that of their opposites. Realizing their BATNAs are too weak to consider,
both parties decide that a compromise is necessary to reach a solution.
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By taking the time to establish a trusting relationship and an understanding of one anothers
culture, values, beliefs, and worldview, parties are better able to collaboratively search for a
solution that satisfies the needs (interests) of both parties instead of engaging where the disputing
parties are seen as adversaries in a contest of wills. CNS cultivates a common respect, assisting
negotiators and mediators alike to reveal the underlying interests of all parties that ultimately
lead to long lasting and solutions for all.
Can I accept that there will be differences of perception and what I think is fair?
Although you may be ready to negotiate, the situation itself may or may not be ripe for
negotiation.
Ripeness
Timing is critical to successful negotiations. Conflict scholars and negotiators often use the
concept of ripeness, comparing negotiation to fruit. If fruit is picked too early, it is not ready to
eat; however, pick it too late and its inedible as well. Negotiation works the same way. After
determining whether you are ready for negotiation, use these questions to test whether the
situation is ripe for negotiation:
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Are all the parties interested in negotiating? If not, why is one or more of the parties
reluctant?
Now assume for a moment the answers to the questions above indicate the situation is not ripe
for negotiation.16 What can be done? Fortunately, there are some methods you can employ to
try and ripen the situation.
Mutually Hurting Stalemate: The first method is to create a Mutually Hurting Stalemate.
Sometimes situations, whether its negotiations or conflict, reach a point where a sort of
deadlock occurs. This is where neither side is able to move any closer to achieving its desired
objective and no one is satisfied with the current situation. Each side realizes the costs of
continuing the struggle exceeds (oftentimes greatly) the benefits to be gained. Once all sides
realize they cannot win and the status quo is unacceptably damaging the conflict is said to be
"ripe" for resolution, also known as a mutually hurting stalemate.
Example
MSgt Thomas needs to print a critical report for SMSgt Davis but her printer is
out of ink. Although she ordered some, its not due to arrive for another two
weeks. She asks SMSgt Davis if she can borrow ink from his section. He refuses
ink claiming his staff only has enough to complete their mission. However, MSgt
Thomas will not be able to print the reports for SMSgt Davis to complete her
mission. This situation is known as a mutually hurting stalemate because MSgt
Thomas cannot print and SMSgt Davis cannot get the critical reports he needs.
This situation is ripe for negotiation.
Way Out: The concept of a ripe moment centers on each parties' perception of a mutually
hurting stalemate, a situation in which neither side can win, yet continuing the dispute will be
very harmful to all involved. Ripeness is also influenced by past, recently avoided, or impending
consequences that jeopardize both parties. This, in turn further encourages all involved to seek
an alternative policy or way out. The perception of a way out need not identify a specific
agreement, but rather a belief that an agreement may be reached. It is as much a perception of
the other party's willingness to bargain as it is of a bargaining range. A third party or internal
faction can be used to encourage the perception of a way out, to encourage thinking about
possible solutions, and to serve as a go-between, to carry each party's perception of a possible
agreement to the other.
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Example
After several days of conflict between two section chiefs about which section can
afford to fill a one-year base honor guard requirement, CMSgt Thomas is forced
to intervene. Acting as a third party, or mediator, Chief Thomas tells one section
chief, If youre willing to fill the next tasking, the other section chief says shes
willing to fill the current one.
In this situation, the Chief has created the perception of a way out because each
section chief perceives the possibility of a settlement.
Creating a mutually hurting stalemate or the perception of a way out is not easy to accomplish.
However, rather than allow conflict to continue, professionals continuously work toward making
situations ripe for negotiation for the good of the mission.
Mediation
Mediation is an alternative form of dispute resolution that supports negotiations between two
disputing parties. With mediation, parties turn to a neutral third party who uses interest-based
problem solving techniques to assist in resolving a dispute. The interest-based problem-solving
approach to dispute resolution is characterized by focusing on interests, not positions, creating
options for mutual gain, and using objective criteria to ensure legitimacy of any agreement. As
mentioned earlier, positions are the pre-determined outcomes or demands that each party
believes will resolve the dispute. However, it is the interests (those underlying needs, wants, and
desires) that must be satisfied, not the positions. Therefore, the mediator must effectively
facilitate negotiations between the two disputing parties, reveal the interests that exist, and reach
a mutual agreement and/or resolution.
Although mediation can be effective at any stage of a dispute, it is generally most effective when
used early. A reason for this is that the disputing parties harden their positions as time goes by
and the dispute escalates. There are other times when the disputing parties may feel
uncomfortable entering mediation at such an early stage in the dispute. Due to a lack of
knowledge regarding the Who, Stakes, and the Situation, they may think they are steering
uncontrollably toward an unfair resolution. However, before we venture too far into the realm of
mediation we should consider some associated terms and phrases.
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While venting should be embraced and not feared, mediators must end joint sessions if it appears
that either or both parties are close to losing control of their actions. It always remains the
mediators responsibility to remain calm and maintain the quality of the proceedings.
Mediators are more effective in finding more mutually satisfying options when the interests of all
parties are known and considered. However, the mediator should not propose the solution, but
instead should ask questions of the parties designed to elicit potential solutions. The relationship
can be impaired if one party wins at the others expense. Consider the following mediation
example aptly named, The Orange.
Two teenagers are found by their mother arguing over the last orange
in the refrigerator. Trying to find a way to satisfy both teenagers
position of who gets the orange, she considers some options. For
instance, she could cut the orange in half, leaving each child only
half-satisfied (positions). Another option would be to ask them why
the orange so important to them (interests). The mother decides to
ask the children why they want the orange. One teenager states he
wants the orange to make orange juice. The other explains that she needs the rind for baking.
Knowing this, the mother peels the orange and gives the desired parts to each teenager, thus
satisfying the interests of both parties.
Stages of Mediation
Like other processes (i.e. assembling an automobile, developing a well-formatted research paper,
preparing for a counseling session) mediation occurs in stages. The figure below identifies the
five stages of mediation (mediator opening statement, parties opening statements, joint
discussion, caucus, and closure), however; like anything worth doing well-you must first prepare
for it. This includes developing effective communication skills, understanding of the four
previously mentioned interest-based tools, and preparing for the actual session.
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Take turns speaking and not interrupt one another, they must call each other by their first
names instead of the impersonal "he" or "she"
Before moving to the next part of the opening statement, mediators should offer an opportunity
for the parties involved to add any additional ground rules they feel are important. The fourth
part of a sound opening statement is explaining the mediation process (the five stages) and
reiterating the confidentiality of the process ensuring each party understands what can and
cannot be held (or withheld) in confidence. Lastly, the mediator should congratulate the parties
for being willing to attempt to settle their dispute through mediation and assert a note of
confidence in the process of which they are about to undergo.
STAGE 2, Parties Opening Statement
In the second stage, the disputing parties have an opportunity to offer their opening statements.
Here, they are given adequate time to speak without interruption regarding the issue at hand and
share their side of the issue. Each party should fully explain the issue, their interests, and
positions as they see it so that all parties, including the mediator understand. This may be the
first time that each party hears the other partys view on the issues. Because of this, the mediator
should allow both parties to fully explain their position even if they become emotional.
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Furthermore, venting by the parties can be the first step in putting the dispute behind them and
moving toward resolution. It is extremely important for the mediator to actively listen and take
notes during these opening statements, paying careful attention to the issues as articulated by the
parties. Many times the issues defined by the parties in these opening statements differ from
those articulated or understood previously.
Mediators can learn a lot about the parties and the issue during this stage. During the parties
opening statements, he or she may discover hidden concerns or interests, thus revealing the true
source of the dispute. This type of information is invaluable later when getting the parties to
focus on interests instead of positions. The mediator can also determine the severity of the
differences that exist between the disputing parties and the challenges which may lie ahead of
them when as they attempt to reach a mutually satisfying resolution. This can also help the
mediator determine who may need caucuses more often and how much they will need to assist
them in understanding the other partys views on the issues. Always remember, for mediation to
work, all parties should view it as a means of communicating to potentially reach a settlement,
rather than a forum for evidence gathering and accusations. The mediator must recognize when
parties are not able to effectively convey their issues and interests due to observed poor attitudes
and emotional loss of control. For this, it is critical that the mediator makes the parties aware of
the dangers of their words and actions especially when they are fueled by their uncontrolled
emotions.
STAGE 3, Joint Discussion
At the conclusion of stage 2, mediation moves into a forum of joint discussion. This is the first
opportunity for the parties and the mediator to interact with and assist the parties in focusing less
on their positions and more on their interests. Here, the mediator facilitates a conversation
between the disputing parties. Effective questioning (using open-ended and follow-up questions)
are extremely useful here. The mediator should ask the parties questions that clarify the issues in
controversy. As the communicative exchange develops between the parties, the mediator may
find that he or she may only need to actively listen. It is in this stage where the mediator and
disputing parties begin to consider possible options to resolve the situation. After they have
brainstormed options, parties should agree on criteria for selecting the options that satisfy the
interests of both parties. If joint discussion breaks down or issues arise that are sensitive or
confidential, the mediator should suspend the joint discussion and move to caucus.
STAGE 4, Caucus
Simply stated, the term caucus means private meeting. This is an optional stage that and can
occur at any time during the mediation process but, when needed, usually occurs when joint
discussions collapse. These are private, confidential one-on-one discussions between the
mediator and each party. Maintaining confidentiality after the caucus is most important of
promoting and providing a free and open environment. To avoid confusion, the mediator should
verify, at the end of each private caucus, what information the party wishes to keep confidential
and what information the mediator can disclose to the other party. Parties must understand they
have the power to ask for an individual meeting with the mediator. The mediator may request
one at any time as well.
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In caucus, the mediator has an opportunity to cultivate a relationship with each party. The
mediator may call a caucus when: the parties need to cool off and refocus, the mediator needs a
break, a meeting with a subject matter expert is needed, the mediator needs to discuss
confidential information with one of the parties, and (or) the mediator and a particular party need
to explore options for settlement in a private and secure setting.
STAGE 5, Closure
This is the final stage of the mediation process, however; it must be clearly understood that not
all mediations end in a mutually agreed upon resolution. When settlement no longer seems
possible, and the parties and mediator have exhausted all available mediation tools and
possibilities, or one or both parties have removed themselves from the mediationthe mediation
should end. If a resolution is not reached, the closure stage may require the mediator reconvene
a second mediation session, refer the parties to another mediator, or even recommend other
resolution methods like litigation.
In most cases, the mediation session will usually conclude with some form of resolution. For
mediations that do end in a mutually satisfying outcome, this stage could become quite lengthy,
especially if there is legally binding documentation and administration involved. Appropriate
follow-up by the mediator may be necessary which requires the parties to return and assess how
effective the selected resolution was, adjusting it as needed. Once a solution is proposed and the
mediator works through the details of the proposal with both parties to see if it satisfies their
interests, the mediator should document the selected option. The mediator will develop a
document (i.e. memorandum for record) and advise the parties to review the resolution in writing
prior to signing it. During the closure, the mediator should arrange a follow-up session to
discuss the selected options effectiveness in meeting the interests of both parties. Regardless of
the outcome, the mediator should congratulate the parties for considering and participating in
mediation and encourage (reassure) them by recounting any progress made during the session.
Progress Check
12. What is mediation?
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Listen for and observe the speakers verbal and nonverbal signals
Avoid making predictions as to what the speaker will say next (we typically stop
listening when we believe we know what the person will say next)
Focus on the message and not the distractions (we can be easily drawn to other
objects in the room, a persons clothing, etc.)
Active Listening
The skillful listener remains constantly aware of the verbal
(e.g. vocal pauses, interjections like uh-huh, oh,
wow, and Really?) and nonverbal cues the other party
transmits. Eye contact is one such cue that is extremely
important to communication. We can pick up on those
unspoken subtleties that represent emotion, confusion,
resentment, anger, frustration, fatigue, lack of
concentration, and the like. Receiving the whole message
enables us (the active listener) to respond appropriately;
and thus, maintain a purposeful and progressive
communication.
Your body language also affects your active listening ability. For instance, a closed body
position (crossed arms and legs) is considered by others to be representative of an uncaring or
judgmental listener. The way you face the speaker also affects your attending skills. Facial
expressions, hand movement, verbal pauses, etc. all contribute to the conversation. Therefore, to
avoid misrepresentation, face the speaker squarely and maintain attentive eye contact,
acknowledge and respond to the message (using your own verbal and nonverbal and body cues)
language used and express interest, empathy, concern, and a genuine desire to listen.
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The best way to become a more effective active listener is to simply practice active listening. It
requires a conscious effort on your part to not only hear the message a person shares, but how he
or she sends the message. Consider the following techniques to becoming an active listening.
Minimal Encouragements
Minimal encouragements are questions, comments, or sounds that do not interfere with the flow
of conversation, but let others know you are there and listening. They build rapport, encourage
the speaker to continue, and include statements like Oh?, When?, and Really?
Paraphrasing
Paraphrasing demonstrates evidence that you were listening and understand. It clarifies content,
highlights issues, and improves active listener techniques. Usually, paraphrasing begins with the
statements like, Are you telling me? or So what you are saying is
Emotion Labeling
This is often the first active listening skill used in a communicated crisis situations. Although it
is important to be attuned to the emotion behind the message, we often attempt to get into the
problem-solving phase too early. In this case, the speaker is not prepared to reason just yet
because he or she has not provided all the information needed for solution development.
Common phrases include, You sound, You seem, or What I hear is Do not be
concerned about making a mistake in labeling emotions. The speaker will correct you and will
often appear grateful for your attempt.17
Mirroring (or Reflecting)
This is the technique of repeating the last word or phrase spoken in the form of a question. This
asks for more input without guiding the direction of the speakers thoughts and elicits
information when you do not have enough to ask a pertinent question. Mirroring is useful when
you are at a loss for words.
Open-Ended Questions
The purpose of open-ended questions is to help the speaker to start talking. Open-ended
questions encourage a person to say more without actually directing the conversation. They are
questions that cannot be answered with a simple yes or no and usually begin with how, what,
when, where, and why. However, be careful using the why question as these tend to steer the
conversation toward blame and shut down communication.
I Messages
I messages let speakers know how they are making you feel, why you feel that way, and what
the speaker can do to remedy the situation. This is a nonthreatening approach that usually does
not put the speaker on the defensive. I messages are used when communication is difficult
because of the intense emotions being directed at you. Negotiators, after being verbally attacked,
also use this technique to refocus the speaker.
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Effective Pauses
Silence is an extremely effective form of communication. Most people are not comfortable with
silence and will speak to fill the uncomfortable void. Silence can also be used to emphasize a
point just before or after saying something important.
Progress Check
22. What are some examples of the verbal and nonverbal cues commonly relayed in
communication?
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Key Terms
5-Step CNS Process, 149
Active Listening, 171
Anchoring, 133
Aspiration point, 133
Best Alternative To a Negotiated Agreement
(BATNA), 133
Caucus, 164
Comply, 145
Convergent and Divergent Thinking, 133
Cooperate, 146
Cooperative Negotiation Strategy (CNS), 148
Demand, 133
Distributive negotiation, 153
Effective Pauses, 173
Emotional Control, 164
Emotion Labeling, 172
Evade, 144
Evaluative Mediation, 164
Facilitative Mediation, 164
Fostering Understanding of Others Views,
164
High-context culture, 157
I Messages, 172
Impasse, 164
Information, 137
Insist, 145
Interests, 133
Integrative Negotiation, 155
Interest-Based Negotiations (IBN), 133
References
Air Force Doctrine Document (AFDD) 1-1, Leadership and Force Development. 18 Feb 06.
Blake, Robert, et al. Managing Intergroup Conflict in Industry. Houston, TX: Gulf Publishing
Company, 1964.
Blanchard, Kenneth and Paul Hersey. Management of Organization Behavior, 6th edition.
Englewood Cliffs, NJ: 1993.
Eisen, Stephan and Hudson, Kimberly, Warrior Negotiator: No Longer an Oxymoron, but a
Necessity. Air Force Culture & Language Center, 2010.
176
Eisen, Stephan. Practical Guide to Negotiating in the Military. Air Force Culture and Language
Center. 2010.
Fisher, R.., Ury, W., and Patton, B. Getting to Yes: Negotiating Agreement without Giving In.
New York: Penguin, 1991.
Fisher, R.., Ury, W., and Patton, B. Get to Yes: Negotiating Without Giving in, Second
Edition. New York, 1991.
Hudson, Kimberly, Cross Cultural Conflict Management. Air Force Culture & Language
Center, 2010.
Hudson, Kimberly, Expeditionary Skills Training Cross Cultural Negotiation Course. Air
Force Culture & Language Center, 2010.
Lund, Michael. Preventing Violent Conflicts: A Strategy for Preventive Diplomacy.
Washington, D.C. United States Institute of Peace Press, 1996.
Nichols, Ralph. Are You Listening? McGraw-Hill Book Company. New York, NY 1957.
Roger Fisher, William Ury, and Bruce Patton, Getting to Yes: Negotiating Agreement without
Giving In. New York: Penguin, 1991.
Spector, Bertrom. Approaches to Peace building. Negotiation Readiness in the Development
Context: Adding Capacity to Ripeness. Palgrave Macmillan: New York, NY 2002.
Thomas, Kenneth. Conflict and Conflict Management. Handbook of Industrial and
Organizational Psychology. 1st ed. Chicago, IL: Rand McNally College Publishing Company,
1976. 889-931.
Thomas, Kenneth. Conflict and Negotiation Processes in Organizations. Handbook of
Industrial and Organizational Psychology, 2nd ed. Vol. 3. Consulting Psychologists Press, 1992.
659-717.
Tracy, Brian, Persuading Others. Speak to Win: How to Present with Power in Any Situation,
American Management Association: New York, NY 2008.
Zartman, I. William. "Ripeness-Promoting Strategies. Beyond Intractability. Eds. Guy Burgess
and Heidi Burgess. Conflict Research Consortium, University of Colorado, Boulder.
Zartman, I. William, The Hurting Stalemate and Beyond in Stern and Druckman, eds.,
International Conflict Resolution after the Cold War, National Academy Press/National Research
Council: Washington DC, 2000.
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Formative Exercise
1. MSgt Smith leads a unit whose ability to gather intelligence and conduct its mission was
being hampered by resistance from the local villagers. Smith met with the village leaders to
explain his concern. One of the elders said, The villagers are poor and in need of food and
medicine, and your patrols disrupt their ability to work. Smith responded, I can help with
food and medical care. However, the patrols must continue. The elder replied, It may help
to reduce the disruption to work if we knew your patrol times. Smith replied, Due to
security reasons, I cannot give you that information. The elder said, The villagers can help
gather intelligence and share their knowledge of the terrain. Smith agreed, That
information could help us minimize disruptions to the villagers daily routine. After a
couple of weeks, Smith noticed that resistance from the villagers had faded and his unit was
able to conduct its mission more efficiently.
This scenario BEST illustrates understanding of the __________________ style of
negotiation and the impact on mission effectiveness.
a. Cooperate
b. Insist
c. Settle
2. The Munitions Operation Flight Chief called a meeting with the section chiefs to discuss a
manning swap to cross utilize members of the flight and to increase their breadth of
experience in their career field. MSgt Thomas, section chief of Maintenance, is concerned
because he had just finished training his Airmen and does not want to lose them. On the
other hand, MSgt Lewis, section chief of Support, was glad because he wants to get rid of
some slackers and acquire better workers. During the meeting, the Flight Chief was
surprised by the section chiefs responses and how they held firm on their positions. The
heated discussions quickly became unproductive.
The Flight Chiefs____________will MOST LIKELY have a ____________ impact on
NCO effectiveness.
a. use of the negotiation styles, positive
b. failure to use the negotiation styles, negative
c. failure to understand readiness and ripeness; negative
d. understanding of readiness and ripeness; positive
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Use of equipment
Work-related problem
solving
179
9. Step 1: Positions
Step 2: Interests
Step 3: BATNA
Step 4: Brainstorming
Step 5: Solution
10. Distributive and Integrative
11. Good Cop-Bad Cop
Highball-Lowball
Exploding Offer
Lying
Intimidation/Aggressive Behavior
Snow Job
Nibble
12. Mediation is an alternative form of dispute resolution that supports negotiations between two
disputing parties.
13. Evaluative Mediation offers an opinion on the strengths and weaknesses of each partys side,
and suggests options to resolve the matter. Facilitative Mediation is where a third party
(mediator) encourages the parties to discuss matters freely and voluntarily participate in the
mediation process. Here, the parties clarify issues, reevaluate positions, and analyze
interestsall with an eye towards resolving the dispute that brought them to the mediation
table.
180
181
22. Verbal cues include: vocal (verbal) pauses, interjections like uh-huh, oh, wow, and
Really? Nonverbal cues include eye movement and eye contact, body position (e.g.
slouching, leaning forward and attentive, crossed arms and legs (closed)), hand gestures,
shoulder movements, etc.
23. Paraphrasing demonstrates that you were listening and understand, clarifies content,
highlights issues, and improves active listener techniques. Paraphrasing statements begin
with, Are you telling me? or So what you are saying is
Mirroring (or reflecting) is repeating the last word or phrase spoken in the form of a question
and asks for more input without guiding the direction of the speakers thoughts. It elicits
information when you do not have enough to ask a pertinent question and is useful when you
are lost for words.
24. Emotion Labeling is often the first active listening skill used in a communicated crisis
situations. We often attempt to move to the problem-solving phase too early and usually, the
speaker is not prepared to reason just yet. Common phrases include, You sound, You
seem, or What I hear is
25. Effective [verbal] pauses is the use of silence in communication that prompts others to talk
(because the empty sound of silence is uncomfortable) and can also be used to emphasize a
point.
182
b. This answer is INCORRECT. There is no indication that Insist style was used which, according
to the Negotiations chapter, is a negotiations style that attempts to overwhelm an opponent with
formal authority, threats, or the use of power. There is no evidence of this in the scenario. See
rationale for correct response for additional information.
c. This answer is INCORRECT. The Settle style was not used which, according to the Negotiations
chapter, is a negotiations style that strives for partial satisfaction of both parties desire by seeking
a middle ground. To succeed at settling, both parties must be willing to give up something.
There is nothing in the scenario showing that either party gave something up. MSgt Smith sat
down with the village leaders and negotiated using collaboration. See rationale for correct
response for additional information.
2. CORRECT ANSWER: c
RATIONALE:
a. This answer is INCORRECT. There is no indication that the Flight Chief used the negotiation
styles. According to the Negotiation chapter, the negotiation styles involves the use of one or
more of the preferred styles of negotiations (Insist, cooperate, settle, evade, and comply). See
rationale for correct response for additional information.
b. This answer is INCORRECT. There is no indication that the Flight Chief used the negotiations
styles. According to the Negotiation chapter, the negotiation styles involves the use of one or
more of the preferred styles of negotiations (Insist, cooperate, settle, evade, and comply). See
rationale for correct response for additional information.
d. This answer is INCORRECT. There is no indication that the Flight Chief used or understands
negotiation readiness or ripeness. See rationale for correct response for additional information.
183
End Notes
Eisen, Stephan and Hudson, Kimberly, Warrior Negotiator: No Longer an Oxymoron, but a
Necessity. Air Force Culture & Language Center, 2010, pg. 7
1
Ibid., 7
Ibid., 7
Fisher, Roger, Ury, William, and Patton, Bruce. Getting to Yes: Negotiating Agreement
without Giving In. New York: Penguin, 1991.
4
Ibid., 8
Ibid., 8
Ibid., 8
Eisen, Stephan. Practical Guide to Negotiating in the Military. Air Force Culture and
Language Center. 2010. 5-9
9
Ibid. 7.
10
Ibid. 8.
11
Ibid. 9-15
12
Ibid. 15-17.
Eisen, Stephan and Hudson, Kimberly, Warrior Negotiator: No Longer an Oxymoron, but a
Necessity. Air Force Culture & Language Center, 2010, pg. 4.
14
Fisher, Roger, Ury, William, and Patton, Bruce. Get to Yes: Negotiating Without Giving in,
Second Edition. New York, 1991.
15
Eisen, Stephan and Hudson, Kimberly, Warrior Negotiator: No Longer an Oxymoron, but a
Necessity. Air Force Culture & Language Center, 2010, pg. 7.
16
Mind Tools. Active Listening Hear What People are Saying. May 2010. Online, From:
http://www.mindtools.com/CommSkll/ActiveListening.htm.
17
184
Personnel
Financial
Material
Warfare
Energy
Finance 101
Budget Process
Antideficiency Act
Manpower 101
Organizational Structure
Requirements Determination
Performance Management
186
187
Resource Stewardship
Remember as a child when your parents and elders
asked you not to waste water and to turn lights off
when leaving a room? Conserving these and other
valuable resources are lessons everyone learned early
in life, and those basic principles serve you well
today as an Air Force leader and manager. As a
member of management, you are ever-challenged to
conserve, preserve, and defend the resources critical
to accomplishing the mission. Personnel and the
necessary funding are more than just commodities;
they are the lifeblood that enables the Air Force to
fulfill its indispensable commitment to defend
America and its allies. Secretary of the Air Force,
Michael Donley and Chief of Staff of the Air Force,
Gen. Norton Schwartz commented on the Air Forces
commitment to efficiency:
Our nation and this department are facing fiscal challenges and growing
operating expenses for fuel, maintenance, health care, salaries and training.
Fiscal responsibility is a national security imperative. We are committed to a
deliberate and ongoing process to enhance capabilities by reducing overhead and
support functions and shifting resources to warfighter and readiness programs.1
According to AFI 36-2618, Enlisted Force Structure, the primary focus of the NCO tier is
mission accomplishment. Operating at the tactical expertise level, SSgts and TSgts are charged
with properly using all resources under their control to ensure task and mission accomplishment,
as well as their subordinate development. The efforts of todays NCOs are critical in ensuring
that money, facilities, and other resources are utilized in an effective and efficient manner and in
the best interest of the Air Force.2
For the NCO, resource stewardship requires the efficient
and effective use of assigned personnel, material,
information and technology, energy, warfare and
financial resources to ensure mission success. To assist
in understanding the concept of resource stewardship,
first examine the following resources you are responsible
for.
188
Personnel
Considered your most valuable resource, the appropriate amount (and mix) of skilled and
qualified individuals provides the workforce necessary for organizations to meet ongoing and
future mission requirements. Training and development plans, institutional programs and
processes, along with support organizations are integrated to assist in effectively managing
personnel.
Financial
This is the resource that is required to procure the material,
energy, information and technology, and warfare resources
needed to accomplish missions. Understanding how the
financial systems and processes work is critical to the NCOs
ability to ensure their Airmen have what they need to
successfully complete their missions both at home station and
deployed locations.
Material
This resource refers to the physical goods that are required by personnel to complete their
assigned duties. This is a vast category that consists of natural and man-made resources to
include:
Natural
Man-made
Agriculture
Clothing
Air
Food
Land
Office/
Industrial Equipment
Water
Plastic
Wood
Vehicles
Warfare
Funding, procuring, maintaining, and updating war-related materials are a top military priority to
meet todays national security strategy objectives. Your warfighters deserve the best training,
most-advanced materials (e.g., training equipment, body armor, and armored personnel carriers),
and information technologies available to fly, fight, and win in todays asymmetric combat
environment.
189
Energy
Energy is the critical force that powers
businesses, manufacturing, and the
transportation of goods and services. It
also powers your equipment, facilities,
motor vehicles, and aircraft. Energy
supply and demand plays an
increasingly vital role in U.S. national
security and the economic output of
the Nation. It is not surprising that the
U.S. spends over 500 billion dollars
annually on energy.3
There are two types of energy sources: nonrenewable and renewable. Nonrenewable energy
sources cannot be replenished or made again; however, renewable energy sources can be
replenished naturally.
Nonrenewable:
Renewable
Oil (petroleum)
Natural gas
Land
Uranium (nuclear)
Wind
190
Progress Check
1. Why is it necessary for you to be able to acquire resources such as supplies, people, facilities,
and equipment?
__ Financial
__ Material
__ Warfare
__ Energy
Resource Activity
Answer the following questions for each of the six resources below:
1. How would you acquire this resource?
2. What, if anything, can you do to conserve this resource?
3. Why is important for NCOs to be able to acquire/conserve this resource?
Personnel
Warfare
1.
1.
2.
2.
3.
3.
Financial
1.
1.
2.
2.
3.
3.
Material
Energy
1.
1.
2.
2.
3.
3.
191
192
Finance 101
Time is an important, yet perishable,
resourceif you dont effectively use it,
youll lose it. Its the same for the allocated
funds and personnel you have assigned to your
work centers. To procure, conserve, maintain,
or increase these resources, you incorporate
schedules, processes, and periodic cycles into
your daily responsibilities to ensure you
effectively meet the associated management
deadlines as well as your mission objectives.
However, these administrative tools are only
as good as your understanding of them. First,
you should examine the processes that assist
you in financial resource management.
Allocated funds are spent via appropriation. Every year,
monies are allocated for military personnel costs such as pay
and allowances, permanent change of station and temporary
Appropriation is a term that
duty assignments, and medical care. In addition, allocated
means setting aside money for
funds provide funding for training, research and development,
a specific purpose.
weapon system procurement, military construction projects,
and overseas contingency expenses. One key appropriation is
known as Operations and Maintenance (O&M) funds. This
includes funding for mobilization, recruiting, training, administration, service-wide activities,
civilian salaries, operating and maintaining an installation, environmental restoration, and a
myriad of other costs associated with day-to-day Air Force operations.
Though it is important to know all of the information mentioned above, as an NCO, you will be
most concerned with O&M appropriations because that is where you will receive the funds
necessary to accomplish your day-to-day responsibilities. Inadequate or depleted funds can lead
to a stressful, inflexible, and inefficient work center environment. However, in a work center
with adequate funding, operations run much smoother due to the availability of resources.
Before you can truly grasp the fundamentals of Finance 101, you must familiarize yourself with
some important terms and definitions.
193
Budget Allotment: Similar to a budget allocation except that it is issued by major commands or
field operating agencies to subordinate units.5
Continuing Resolution Authority (CRA): Fiscal law authority that allows the government to
continue operations at a minimum level for a specific amount of time, usually a few days to a
few weeks. This is important for NCOs to know because it usually delays the initial distribution
of funds. During CRA, units typically receive funding authority for approximately 80% of the
previous years budget amount. A CRA is needed to prevent agencies from shutting down
because without it agencies have no authority to incur fiscal obligations.
Cost Center (CC): The organization that gathers and distributes cost data. The cost center
refers to the basic production flight or work center.6
Cost Center Manager (CCM): Regulates the daily use of work hours, supplies, equipment, and
services in producing or doing things. Also, continually monitors the relationship between
resources used and products produced to allow for informed resource realignments.7
Financial Management Board (FMB): The senior advisory committee chaired by the
Commander or Deputy Commander and includes group commander level members and the
Comptroller (at installations), Directors, and special staffs (at commands). The FMB approves
budgets, financial plans, and revisions. The FMB also distributes the annual funding, establishes
priorities, and ensures consistency with programs and missions. FMB approval represents the
final, approved installation or command budget submitted to higher command and the final
distribution of funds received from higher command. The chairperson calls FMB meetings. The
FMB retains minutes for review by higher authority.8
Financial Working Group (FWG): Reviews program and cost factors, compares actual with
prior year costs, reviews justifications, periodically evaluates performance against estimates, and
submits a recommended financial plan to the FMB. The Comptroller or the financial analysis
officer chairs the FWG and designates appropriate resource advisors and other members to
comprise the FWG.9
Milestones Associated with Budgeting Process: Significant events in the budgeting process.
(CRA, BER, End-of-Quarter, Close-out, etc.)
Obligation: A legal binding agreement between the government and another party. The Air
Force has entered a contractual obligation; however, no goods or services have yet been
received.
Program Objective Memorandum (POM): Biennial memorandum submitted to the Secretary
of Defense from each Military Department and Defense agency. It proposes total program
requirements for the next six years. It includes rationale for planned changes from the approved
Future Years Defense Program baseline within the Fiscal Guidance issued by the Secretary of
Defense.10
194
Budget Execution
Review (BER) is a twopart process that
occurs twice within
each budget cycle to
identify and
redistribute funds to
meet unfunded
requirements such as
unforeseen or initially
unanticipated missionrelated expenses.
195
196
Budget Process
Budget Cycle
The budget process is a
perpetual cycle of planning,
programming, revising,
adjusting, and spending.
Each cycle lasts one fiscal
year (FY), which begins on 1
October and ends on 30
September of the following
year. Each FY is divided
into quarters and specific
actions take place within
each quarter as outlined in
Figure 1.
Consider a budget as a
system of timelines and
milestones. The budget
cycle offers concrete dates
for determining, analyzing,
and prioritizing budgeting
actions and decisions. It also
includes several milestones
such as quarterly spending
targets, FEP submissions,
and end-of-year close out.
197
Although hundreds of actions and decisions occur throughout the budget cycle, NCOs are most
concerned with the BER process, FEPs, and hitting budget spending targets.
The BER drives most current year spending and the following years execution plan. You
should fully understand your role within the budget cycle; lets examine that process.
First Quarter
October: During this month, the Air Force
receives its funding authorization, which comes in
the form of actual funds or a Continuing Resolution
Authority (CRA). Once the Air Force receives its
funding, it disperses it throughout the Air Force
(Major Commands [MAJCOMs], etc). The
Financial Execution Plan (FEP) must be developed
and approved prior to 30 September in order to be
ready to implement on 1 October for the new FY.
November: On or about 1 November, cost centers
begin working their first BER. It is typically the
units Resource Advisor (RA) who does this.
He/she begins collecting information from each
section on their unfunded needs. As an NCO, its
important that you be prepared to provide funding
request inputs so they can be considered during the
BER process. Between mid-Nov and the end of
Dec, the RA finalizes the units BER inputs in
preparation for the wing Financial Working
Groups (FWG) first BER meeting in mid-Jan.
December: By the end of December, units (including each section) should have either spent or
obligated 25% of their budget. Sections who have not achieved this milestone must justify why
and, if they cannot justify why, are in danger of losing unused funds during the first BER
process.
198
Second Quarter
January: In mid-January, the wings FWG holds its first
BER. It is during this meeting that all unfunded requests
are considered and prioritized (racked and stacked).
Also during the meeting, decisions are made to reallocate (take from one unit and give to another) funds to
cover the unfunded requests based on priorities assigned.
This is why it is important to have either spent or
obligated 25% of your funds or risk losing them during
the BER. Also in January, usually near the end of the
month, cost centers submit inputs for the next FYs FEP.
This is another time when NCOs become an important
part of the budget process because they must submit
justification for existing baseline expenses and for any
projected unfunded mission-related expenses.
March: By the end of March, units (including each
section) should have either spent or obligated 50% of
their budget. Sections that have not achieved this milestone must justify why and, if they cannot
justify why, are in danger of losing unused funds during the second BER process. In addition,
sections will be prompted by the RA to begin compiling unfunded requests in preparation for the
second BER.
Third Quarter
April: Sections continue to compile unfunded requests in
preparation for the second BER.
May: The RA finalizes the units BER inputs. The wings
FWG holds its second BER, typically mid-May.
June: By the end of June, units (including each section)
should have either spent or obligated 75% of their budget.
Sections who have not achieved this milestone must justify
why and, if they cannot justify why, are in danger of losing
unused funds during the first BER process. Also, near the
end of June, units begin receiving warnings that the wings
FWG will take control of unspent or unobligated funds by
1 August (typically).
199
200
Antideficieny Act
The Antideficiency Act (ADA) is a law where Congress
exercises its constitutional control over the public purse.14 The
act requires agencies that have violated its rules to report to the
President and Congress all relevant facts and a statement of
actions taken. The act further requires agencies to transmit a
copy of each report to the Comptroller General on the same date
the report is transmitted to the President and Congress.
The fiscal principles underlying the Antideficiency Act are
really quite simple. Government officials may not make
payments or commit the United States to make payments at
some future time for goods or services unless there is enough
money in the "bank" to cover the cost in full. The "bank," of
course, is the available appropriation.
201
In addition, those who "knowingly and willfully" violate any of the provisions cited above "shall
be fined not more than $5,000, imprisoned for not more than 2 years, or both. Other measures
include admonishments, reprimands, and adverse performance reports.
Ones good intentions are no defense for violating the Antideficiency Act. There are numerous
examples of military personnel who have received administrative and punitive actions for
knowingly, and unknowingly, disobeying this directive. Violations such as using unit funds to
purchase business cards, coins, t-shirts, or refreshments could lead to consequences ranging from
administrative discipline and non-judicial punishment to imprisonment and fines.
SELF-REFLECTION OPPORTUNITY: Why is it important to understand resource
stewardship as an NCO? How can you use the information on the budget process to enhance
unit effectiveness? In what ways can you be involved with the squadron budget to ensure
good resource stewardship?
202
Progress Check
5. Write the letter of each milestone in the proper place along the budget process cycle below.
203
7. Briefly summarize the two parts of the Budget Execution Review (BER) process?
8. What is the purpose of the Budget Execution Review (BER), and why is it important?
9. How would you describe the purpose and benefits of Financial Execution Plans (FEPs)?
204
Manpower 101
There are four Air Force manpower competencies: Organization Structure, Program Allocation
and Control, Requirements Determination, and Performance Management. As an NCO, it is
important for you to know about these competencies and some of the documents used to manage
personnel. This knowledge can enable you to assist leadership in providing oversight in the
management of available personnel to authorized positions and assist in gaining these resources
to meet mission requirements. These responsibilities may be delegated to your level due to
reduced manning authorizations and will help you prepare for SNCO responsibilities. Also,
knowledge of these competencies will help you develop skills as a resource manager and steward
charged with ensuring mission success.
Organizational Structure
This competency deals with the functionality of organizations, specifically activation,
inactivation, redesignation, and reorganization. The Organizational Change Request (OCR) is
the instrument used to accomplish these functions.
205
Note: The UMD reflects unit positions (spaces), not actual personnel assigned (faces). That
information is contained in the Unit Personnel Management Roster (UPMR) (Attachment 1
Table 2).
Funded Requirement: Refers to an authorized and funded position needed to accomplish the
assigned workload. Funded manpower positions are allocated by category (officer, enlisted, and
civilian). Given the fact that requirements have always exceeded available funding, commanders
first prioritize requirements and then allocate funding to the highest priority.
Unfunded Requirement: Refers to authorized but unfunded positions needed to accomplish the
assigned workload.
Requirements Determination
This competency centers on the Authorization Change Request (ACR), which is a multi-purpose
instrument used to propose adjustments to a UMD. ACRs are commonly used to request
increases, decreases, or realignments of manpower requirements and/or to change attributes on
the UMD.
When your organizational mission changes, it may prompt an adjustment to one, some, or many
of the positions listed on the UMD. For instance, consider the Vehicle Operations position (the
space), Position Number: 003287450J in the UMD (Attachment 1 - Table 1). Due to recent
mission demands requiring more vehicles, you will need to assign a 7-skill level to this position
that is capable of managing a larger assigned fleet. To make this change, you would submit an
ACR to change the UMD. Once the UMD change is approved, the UPMR (Attachment 1 - Table
2) is then updated with the qualified person (the face) to match the attributes of the position.
Use an ACR to change attributes authorized on the UMD to include: (see Attachment 1 for
explanation of terms)
206
Performance Management
This AF organizational practice concentrates on increasing workforce efficiency and cost
effectiveness by tapping into the brilliant minds of its Airmen.
Airman Powered by Innovation (API) Program
In 2013 the AF/CV requested the four
outdated Air Force-wide idea generating
programs be consolidated into an allencompassing program. On 28
February 2014, the Airman Powered by
Innovation (API) Program was created
and replaced the following programs: Innovative Development through Employee Awareness
(IDEA), Best Practices (BP), Productivity Enhancing Capital Investment (PECI), and expanded
the Air Force Smart Operations for the 21st Century (AFSO21).
207
The API Program applies to all individuals, units, and organizations at every level of the Air
Force, including active duty, civilian, contractor, and Air Force Reserve Command personnel
under Title 10 status. Since the Air Force objective is to improve its effectiveness and
efficiency, the API Program works within our ever-changing and often challenging financial
environment to save critical resources and improve mission performance. There are four phases
within the API process:
1. Ideation/Submission: Ideas are generated, screened, and improved to ensure factfortified ideas are forwarded for further evaluation.
2. Evaluation: The Organization Level Decision Makers (OLDM) appraises each
proposed idea by evaluating the current method, the proposed method, the expected
benefit(s), and the total cost of implementation. OLDMs include such personnel as
wing commanders and MAJCOM commanders.
3. Implementation: Implementation plans are developed and executed.
4. Hold-the Gains: The OLDM confirms results and either 1) makes resource savings
(manpower and/or real assets) available for harvesting through corporate planning,
programming, budgeting, and execution processes the year following confirmation of
results, or 2) recommends a new standard of performance and measurement.
The Air Force will give monetary (as well as non-monetary) awards to recognize Airman for
their ideas. However, only active duty Air Force military members and civilian employees paid
from Air Force appropriated funds are eligible for monetary awards with a maximum authorized
award of $10,000.
You can submit your ideas any time on the API website hosted on the AF Portal.
208
209
Progress Check
11. What is the difference between a funded and unfunded position requirement?
12. Your organization just experienced a recent change to your mission that requires you to
change the skill level requirement of an authorized position. What would you need to do to
request this change? Be sure to specifically mention any documents or products involved.
13. In the scenario above, what would you need to do to complete the process once the change
has been approved? Again, be sure to specifically mention any documents or products
involved.
14. Why is it so important for you, as an NCO, to know about the four competencies of
manpower and some of the documents used to manage personnel?
210
Progress Check
15. Why is it important to conserve resources?
211
212
Progress Check
18. How can you support the development of others as future resource stewards?
213
214
215
Key Terms
Airman Powered by Innovation, 206
Antideficiency Act (ADA), 200
Appropriation, 192
Authorization Change Request (ACR), 205
Budget Execution Review (BER), 194
References
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 Feb 09.
Air Force Instruction (AFI) 23-111, Volume 1. Management of Government Property in
Possession of the Air Force, 25 Jul 05.
Air Force Instruction (AFI) 38-204, Volume 1. Programming USAF Manpower, 1 Aug 99.
Air Force Instruction (AFI) 38-101, Air Force Organization, 4 Apr 06.
Air Force Instruction (AFI) 38-201, Determining Manpower Requirements, 30 Dec 03.
Air Force Instruction (AFI) 38-202, Air Force Management Headquarters and Headquarters
Support Activities, 1 Mar 95.
Air Force Instruction (AFI) 38-203, Commercial Activities Program, 20 Jun 08.
Air Force Instruction (AFI) 38-204, Programming USAF Manpower, 1 Aug 99.
Air Force Instruction (AFI) 38-205, Manpower & Quality Readiness and Contingency
Management, 18 Jun 02.
Air Force Instruction (AFI) 38-501, Air Force Survey Program, 12 May 10.
Air Force Instruction (AFI) 65-601 volume 1, Financial Management, Budget Guidance and
Procedures, 3 Mar 05.
Air Force Instruction (AFI) 65-601 volume 2, Financial Management, Budget Management for
Operations, 21 Oct 94.
Air Force Instruction 65-601, Volume 2. Budget Management for Operations, 21 Oct 94.
Air Force Instruction (AFI) 65-601 volume 3, Financial Management, The Air Force Budget
Corporate Process, 1 May 98.
216
Air Force General Memorandum (AFGM) 38-01, Airman Powered by Innovation Program, 28
Feb 14.
Air Force Manual (AFMAN) 38-208 volume 1, Air Force Management Engineering Program
(MEP) Processes, 29 Mar 02.
Air Force Manual (AFMAN) 38-208 volume 2, Air Force Management Engineering Program
(MEP)-Quantification Tools, 19 Nov 03.
Air Force Manual (AFMAN) 38-208 volume 3, Air Force Management Engineering ProgramLogistics Composite, 1 Mar 95.
Air Force Pamphlet (AFPAM) 38-102, Headquarters United States Air Force Organization and
Functions (chart book), 1 Jan 04.
Air Force Policy Directive (AFPD) 65-6, Financial Management, Budget, 1 May 98.
Kinicki-Kreitner, Organizational Behavior: Key Concepts, Skills, and Best Practices. Fourth
Edition, The McGraw-Hill Companies, 2009.
United States Air Force Fiscal Year (FY), Budget Overview, 2011.
US Department of Defense official website, Statement by Secretary of the Air Force Michael
Donley and Chief of Staff of the Air Force Gen. Norton Schwartz on Efficiencies (released 6
January 2011), http://www.defense.gov/releases /release.aspx?releaseid=14181 (accessed 5 Apr
11).
217
Formative Exercise
1. TSgt Caskey is the Cost Center Manager for an organization. She is very knowledgeable
about finance and ensures the organization has the funding required for operation. However,
she has an assignment and is training her replacement TSgt Griggs. At a training session,
Caskey said, Sergeant Griggs, its that time of the year when we have to submit a document
of how we are going to spend the upcoming fiscal year funding. To do that, we have to list
and justify all needed items and services, and the cost. Additionally, we have to identify and
justify items or services that cant be funded with the current budget. Because of her
extensive knowledge and preparation, the organization was able to execute a strong budget
and have the unfunded request on the top priority of the wing.
This Scenario BEST illustrates how a well-developed ________________ can impact
mission success.
a. Financial Execution Plan
b. Budget Execution Review
c. Budget Process
2. TSgt Brady is a team chief of an engine shop. He was just notified by his shop chief, MSgt
Thomas that they are projected to receive six more aircraft within a year. Brady states,
Sergeant Thomas, I cant see how were going to support six more aircraft. We already
have to work additional hours to support the aircraft we have now. Thomas replied, I share
your concern and voiced my opinion with the squadron superintendent, but he replied he has
confidence that we can work it out.
The mission of this squadron will MOST LIKELY:
a. succeed due to refocusing of Performance Management
b. fail due to lack of Requirement Determination
c. sustain due to Program Allocation and Control
218
f Financial
a Material
e Warfare
b Energy
219
5.
6. NCOs can monitor and align mission requirements with the budget cycle to ensure funding is
continuously available. Also to anticipate and prepare for shortfalls by requesting additional
funding early to minimize impact on the mission.
7. The first part requires every level of command to identify, validate, and prioritize its
unfunded requirements and then submit them to higher headquarters for funding
consideration. The second part requires each level of command to review and prioritize (rack
and stack) all subordinate command unfunded requirements.
8. To redistribute funds to meet unfunded requirements based on priority. Identifies unforeseen
or initially unanticipated mission-related expenses. To reallocate funds to support other
mission requirements in other locations throughout the wing. Ensures prudent use of limited
funds.
9. Used to balance available funding. Associated with O&M funds. Used by all levels of the
organization. Ensures funds provided by Presidential Budget are distributed in a manner that
supports Air Force objectives. Identifies and prioritizes current and next FY key
requirements.
10. NCOs are most concerned with the Budget Execution Review (BER) process, financial
execution plans, and hitting budget spending targets.
220
11. Both are authorized positions. Those that are funded will have actual people assigned and
working in the position. Those that are unfunded remain authorized but go unfilled.
12. The Unit Manpower Document would need to be changed. This requires a formal
Authorization Change Request (ACR), which must be signed by the appropriate commander.
13. Once the change has been approved, the Unit Personnel Management Roster (UPMR) is then
updated with the qualified person (the face) to match the attributes of the position.
14. NCOs can assist leadership in providing oversight in the management of available personnel
to authorized positions and assist in gaining these resources to meet mission requirements.
Useful as you prepare for SNCO responsibilities. These responsibilities may be delegated to
your level as you face reduced manning authorizations. Develops your skills as a resource
manager and steward. It is your responsibility to ensure mission success. Having the
manpower to complete your objectives is key to accomplishing this.
15. If necessary resources are misused and/or depleted, it may impact your organizational goals
and mission accomplishment in the present and possibly in the future.
16. Using resources "as directed" refers to the use of resources under your control as instructed
by existing rules and regulations, in accordance with laws and policies, and as specified in
orders issued by leadership as long as these orders are ethical and in the best interests of the
Air Force.
17. Using resources "as available" refers to the use of resources that are in-place and accessible
without violating law or regulation.
18. NCOs can promote an organizational culture that promotes a resource-conscious attitude.
NCOs can be role models who demonstrate the right attitude and behaviors that promote
resource stewardship.
221
222
2. CORRECT ANSWER: b
RATIONALE:
a. This answer is INCORRECT: There is no indication that Performance Management will
help in the scenario which, according to the Resource Stewardship chapter, is a
manpower competency that concentrates on programs such as Productivity Enhancement
Capital Investment, Fast Payback Capital Investment, Productivity Investment Fund, and
Air Force Innovative Development through Employee Awareness that increase workforce
efficiency and organization cost effectiveness. In the scenario, Requirement
Determination is needed to request ACR in order to increase manpower, but there is no
evidence of that by the squadron superintendent. Without the ACR request, the mission
of the squadron will suffer.
b. This answer is CORRECT: According to the Resource Stewardship chapter,
Requirement Determination is a competency that centers on the Authorization
Change Request (ACR) which is a multi-purpose instrument used to propose
adjustments to a Unit Manpower Document. ACRs are commonly used to request
increases, decreases, or realignments of manpower requirements and/or to change
attributes on the UMD. There is no evidence in the scenario that the squadron
superintendent is requesting a manpower increase to support the additional
aircraft. Without this request, the mission of the squadron will suffer.
c. This answer is INCORRECT: There is no indication that Program Allocation and
Control will help sustainment of the units mission effectiveness. According to the
Resource Stewardship chapter, it is a competency that centers on the Unit Manpower
Document and funded and unfunded position requirements. It has nothing to do with
requesting a manpower increase, but provides data needed to make decisions on manning.
In the scenario, Requirement Determination is needed to request manpower increase, but
there is no evidence of that by the squadron superintendent. Without the ACR request,
the mission of the squadron will suffer.
223
224
Attachment 1
CID
0J
POS NBR
003244340J
AFSC
91C0
Duty Title
Commander
0J
003244350J
2W271
0J
003287110J
0J
003287450J
0J
0J
SEI
C
E
C
P
R
P
Y
S
A
R
6
F
Y
1
0
1
F
Y
1
1
1
F
Y
1
2
1
CAT
Off
GRD
Major
SKL
PEC
84771A
Nuclear Weapons
ENL
SMSgt
84771A
1N371
Germanic Linguist
ENL
MSgt
84771A
2T151
Vehicle Operations
ENL
SSgt
84771A
003291890J
2S052
ENL
SSgt
84771A
003292000J
3C051
Supply Systems
Analyst
Communication
Sys Operations
ENL
SrA
84771A
POS NBR
AFSC
Duty Title
003244340J
91C0
Commander
003244350J
2W271
Nuclear Weapons
003287110J
1N371
003287450J
2T151
Germanic Cryptologic
Linguist
Vehicle Operations
003291890J
2S052
003292000J
3C051
CommunicationComputer Systems
Operations
Pr
Y
Y
Y
N
N
N
Name
Pondiff,
Karen W.
Suave,
Enrique L.
Smith, Peter
I.
Jasper,
Donald F.
Solara,
Jessica F.
Jordan,
Bernard S.
SSN
Rank
1124
Major
3458
SMSgt
9982
SKL
DAS
DOR
PRP
20080325
20000101
20080304
20051225
MSgt
20030102
20010701
6403
SSgt
19990213
19990101
3359
SSgt
200606199
20070501
5547
SrA
20091014
20090415
225
226
End Notes
1
U.S. Department of Defense official website, Statement by Secretary of the Air Force Michael
Donley and Chief of Staff of the Air Force Gen. Norton Schwartz on Efficiencies,
http://www.defense.gov/releases/release.aspx?releaseid=14181.
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 February 2009. p 14.
Air Force Instruction 65-601 volume 1, 3 March 2005, Financial Management, Budget
Guidance and Procedures, p 64.
Ibid.
Ibid., p 14.
Ibid, p 14.
Air Force Instruction 65-601 volume 2, 21 October 1994, Financial Management, Budget
management for Operations, p 15.
Ibid., p 14.
10
Air Force Instruction 65-601 volume 3, 21 October 1994, Financial Management, Budget
Management for Operations, p 6.
11
Ibid., p 14.
12
Ibid., p 14.
13
Air Force Instruction 65-601 volume 2, 21 October 1994, Financial Management, Budget
management for Operations, p 64.
14
15
Ibid., p 7.
Purpose of Discipline
Discipline Definitions
Considering these
statistics and
your personal
experience, does
the Air Force
lack discipline?
If so, what impact
do these
disciplinary
problems have on
the Air Force and
mission
accomplishment?
Treatment of Accused
Attachments
228
2.
3.
AFFECTIVE OBJECTIVE:
Value discipline and how it enhances
NCO, unit, and mission effectiveness.
Affective Samples of Behavior:
1.
2.
229
Definitions
Discipline in the Air Force
Take a moment to think back to the first time you raised your right hand and accepted the
following oath:
I _______ do solemnly swear (or affirm)
that I will support and defend the
Constitution of the United States against
all enemies, foreign or domestic; that I
will bear true faith and allegiance to the
same; and that I will obey the orders of
the President of the United States and the
orders of the officers appointed over me,
according to regulations and the Uniform
Code of Military Justice. So help me
God.
Purpose of Discipline
Given the nature of our business,
discipline is crucial. Orders may
not be popular, but there comes
a point where members must
carry them out without question.
If you do not enforce and
maintain good order and
discipline, youre guilty of
undermining the success of your
unit. In the face of adversity and
difficulty, discipline enables
individuals to pursue what is
best for those around them, their
unit, and the Air Force.
230
Individuals and units might have the desire, but they must also have discipline to accomplish the
most difficult tasks; therefore, unit discipline allows units to operate faster than the enemy,
gaining advantage, generating decisive force, and achieving decisive results. It also enables unit
leadership to stop undesirable behavior quickly and to maintain or increase the units mission
effectiveness.
Often we emphasize one type of discipline at the expense of another. For instance, you allow
yourself to become so task disciplined that you fail to recognize the necessity for discipline of
other types. The ultimate solution for the NCO is to create an environment that minimizes or
eliminates the necessity for imposed or forced discipline. However, eliminating imposed
discipline is not always possible; therefore, as a NCO, you must understand how to impose
discipline when necessary and why it is necessary.
NCOs are limited to the preventive and corrective approaches to discipline, since only
commanders may punish enlisted members. This fact alone creates the undeniable necessity for
you to understand discipline and fully employ the preventive and corrective actions available.
Lets begin with some definitions.
SELF-REFLECTION OPPORTUNITY: Considering the Air Force is a reflection of
American culture, do you feel the discipline standards have lowered in the American culture?
Why do you say that? How does that impact the Air Force? What impact does discipline or the
lack thereof, have on your job, unit, and the Air Force?
Discipline Definitions
General George Patton, a strong disciplinarian stated, If a leader does not enforce and maintain
perfect discipline, they are potential murderers.1 If discipline is so important, you need to
understand what discipline really is.
Discipline: Training expected to produce a specific character or pattern of behavior, especially
training that produces moral or mental improvement. It is a state of training, resulting in orderly
conduct.
Discipline is not meant to be negative; instead, it
is designed to train and guide an individual toward
improving performance or behavior. By this
definition, it is easy to see why discipline is an
important aspect of work center performance. If
you dont understand what discipline is, how can
you ensure it is maintained and enforced?
231
Military Discipline: Founded upon respect for and loyalty to properly constituted authority; it is
that mental attitude and state of training which renders obedience instinctive under all conditions.
Imposed Discipline: Imposed discipline refers to the enforced obedience to legal orders and
regulations. It is essential in combat or in emergencies when there is no time to explain or
discuss an order. Most Air Force training teaches you to carry out orders quickly and efficiently.
During peacetime, a continuation of this type of discipline provides the structure and good order
necessary throughout the organization to accomplish the mission or a task, regardless of the
situation.
Self-Discipline: A willing and instinctive sense of responsibility that leads you to do whatever
needs to be done; far above your acceptance of imposed discipline, self-discipline reflects your
personal commitment and sense of duty. Examples of self-discipline include getting to work on
time, knowing all aspects of the job, setting priorities, and denying some personal preferences for
more important values, duties, and missions. Self-discipline is exercised in the Human
Performance chapters.
Task Discipline: How well you meet the challenges of the job. First, you must recognize that
the job is important, and how well you perform will influence the effectiveness of your work
section and your unit. Task discipline requires a strong sense of responsibility in performing
your job to the best of your abilities, volunteering for the tough jobs, and working overtime, if
necessary, to accomplish your mission as it relates to the Air Force mission.
Group Discipline: Since most Air Force jobs require that several people work effectively as a
team, group discipline is very important. Just as you must have a sense of responsibility to your
job, you should also have a sense of group responsibility and effective team membership. You
must "pull your own weight," and at times you may have to deny some personal preferences for
the good of your group, section, and unit. Your Team Building chapter is a great area to use
Group Discipline.
Unit Discipline: A state of order and obedience
existing within a unit that involves the ready
subordination of an individuals will for the good
of the unit; it demands habitual but reasoned
obedience that preserves initiative and functions
even in the absence of the commander.
Remember, it is not about me but about we
and whatever is best for the institution.
Preventive/Prevention: Processes (or
models)/actions designed to keep somebody from doing something undesirable. For example,
initial feedback sessions are a mandatory process designed to inform subordinates of policies,
procedures, rules, to hopefully prevent potential infractions and UCMJ violations down the road.
232
Purpose of Adverse Administration and Punitive Actions: These are quality force
management tools available to supervisors, superiors, and commanders. These management
tools help instruct, correct, and improve those who depart from standards of performance,
conduct, bearing, integrity, and whose actions degrade the individual and units mission.
Administrative tools are corrective in nature, not punitive. Punitive actions are also considered
corrective tools, but in most cases, result in a permanent bad mark in the members service
record. When properly used, administrative and punitive actions contribute to unit discipline,
unit morale and enhance mission accomplishment.
Now that you understand what discipline is, what do you do with it? As you have read, without
discipline, the people, the unit, and the Air Force cannot be as effective as possible. Lets look at
the Discipline Model and the Progressive Discipline Process.
SELF-REFLECTION OPPORTUNITY: Consider the quote from General George Patton,
If a leader does not enforce and maintain perfect discipline, they are potential murderers.
How could a lack of discipline in your job, potentially cost someones life? How does
discipline help you, your unit, and your mission be more effective?
233
234
Progress Check
1. What is meant by discipline?
2. Explain at least four ways effective discipline positively impacts mission accomplishment in
the Air Force.
235
Set standard
where the standard is that the work center always checks each
other and holds each other accountable. You, the leader,
Establish rapport
should be the primary model of this. You should get to know
your people well enough that you know what will motivate
Create climate of
accountability
them.
Actions taken in the Prevention Arena are designed to stop
problems before they occur. The supervisor sets the stage for
appropriate behavior by promoting and enforcing standards
consistently. Your conduct in the duty section can be a deterrent to disciplinary problems.
When a subordinate sees a supervisor follow the standards, strive to incorporate the Air Force
Core Values into their daily activities, and demonstrate self-restraint and discipline in their own
behaviors, the subordinates are more likely to emulate those behaviors.
236
Communicate standards
Communicate expectations
Effectively mentor
Promote teamwork
Communicate effectively
Provide feedback
"The truth of the matter is that you always know the right thing to do.
The hard part is doing it.
Norman Schwarzkopf
237
Standards come from many sources, for example, Air Force Instructions, Joint Publications,
Technical Orders, Commanders Policy Letters, and so forth.
Standards also come from supervisors. As a supervisor, you often set duty hours, dress and
appearance standards, quality and quantity of work standards, customer service standards, and so
forth. Standards can also come from long-standing customs and courtesies and from traditions
developed within individual units.
One of the most important things a leader must do is provide subordinates with clear standards.
It is unreasonable to hold people accountable for standards they are confused about or are not
even aware exist. Creating accountability lets subordinates know that you as the NCO will
follow through if disciplinary actions need to be taken.
The Air Force requires supervisors to provide formal, written feedback to all subordinates at
specified times such as within 60 days of assuming supervision, mid-way through the rating
period and within 60 days of the close out of a performance report.
Formal feedback requirements are an extremely important and valuable mechanism for
informing subordinates of the standards and for keeping them apprised of changes. The
feedback form also provides documentation proving subordinates were informed of the
standards.
Informal feedback is just as
important as formal feedback and
some might even argue that it is
more important. Supervisors
should provide informal feedback
on a daily basis. Informal daily
feedback helps establish and build
rapport, which is the key to success
in preventing future problems, and
should problems arise, key to
helping resolve them. Only by
getting to know your people can
you provide the most effective
feedback possible.
Supervisors who spend time building and establishing rapport potentially have a very powerful
line at their disposal during counseling sessions, Im disappointed in your performance (or
behavior, or actions, or decisions). Of course the line does not mean much if subordinates do
not respect you!
Subordinates want to know how well they are doing in relation to the standards, whether they are
meeting, exceeding, or falling below standards. They want and deserve to know.
238
Progress Check
3. In the Prevention Arena what are the 3 key actions that must take place? Who must take
those actions?
239
DM Arena 2 Correction
Correction is designed to address
inappropriate behavior, and seek to
bring subordinates behavior back
within acceptable boundaries using the
least amount of force necessary. This is
accomplished by using the Progressive
Discipline Process or PDP which is
critical to the Correction Arena. The
PDP will be specifically addressed later.
Appropriate use of the Correction Arena
helps supervisors be more effective
leaders and better able to accomplish
the mission efficiently.
When Prevention fails, you must take the least amount of corrective action necessary to change
the behavior. Remember, the goal is to change the behavior NOT squash the individual. These
actions address those who violate standards, but are not deserving of formal punishment. The
goal is to bring the individual back above the standard or Line of Acceptability (LOA) that was
established in the Prevention Arena. There are several tools available to do this. As supervisors,
you must be familiar with and be willing to use or recommend all of the following
Administrative tools for maintaining discipline.
feedback (formal and informal)
verbal and written counseling, admonishment and reprimand (VWCAR)
recommendation to the commander to establish an unfavorable information file (UIF) on
an individual
recommendation to commander to place a member on the control rosters
administrative demotions (used when one cannot achieve grade appropriate skill level,
not fulfilling AFI 36-2618 responsibilities, not being fit)
non-recommendation for reenlistment (supervisor does not deny, only recommends
denial)
referral performance reports
240
Progress Check
4. When operating in the Correction Arena, NCOs must use the __________ Process.
5. When subordinates violate the rules, fall below standards, or commit infractions, list at least
two corrective actions NCOs can use to rehabilitate subordinates.
241
DM Arena 3 Punishment
Punishment is the third Arena in the Discipline Model. Punishments purpose is to correct and
rehabilitate those who repeatedly or grievously violate standards. Only officers on G-series
orders can punish enlisted members and only through Article 15 or courts-martial process.
Commander only discipline (Punishment) includes Articles 15, courts-martial, administrative
demotions, and discharge characterization/recommendations. A simple way to look at
Punishment is that something is being taken away. It can come in the form of extra duties, loss
of money, loss of freedom, reduction in rank, and less than honorable and dishonorable
discharges. You often hear the word punishment associated with LOCs, LOAs, LORs, UIFs, and
so forth. These are NOT punishment but adverse administrative actions. Although they
probably feel like punishment to the person receiving them, they are administrative actions only
and NCOs should NEVER refer to them as punishment.
The keys to effectively functioning in this Arena is for the supervisor to know the subordinate
well enough to be able to advise the commander on what will work best for their people; keeping
in mind prudence first and justice second.
Can NCOs punish? No, but they do carry out duties
associated with punishment. Because any
punishment requires careful consideration of all the
facts, NCOs must be prepared to answer questions
about such things as the subordinates on-duty
work performance and behaviors, and off-duty
issues including finances, family, education,
second job, etc. NCOs should never tell
commanders to take whatever action they deem
appropriate. NCOs are duty-bound to know
subordinates well enough to be able to provide
commanders and advise them of the information
they need to make fair and equitable punishment
decisions. They advise the commander on the best
actions to take to stop the sub-standard behavior.
In order to do that, NCOs must not only know their
people but ALWAYS consider the unintended
consequences of the punishment. Ask yourself if
taking money from that Airman is going to hurt their family? Will extra duty put them in a bind
with the family, only adding to the problem? If one recommends restricting them to base and
they are dependent on the income from their second job, are you really using the most effective
rehabilitative tool?
The bottom line is that you should know your people so you can effectively advise the
commander. Knowledge is great, but acted upon knowledge is power. Lets practice how you
use this knowledge in the following activity.
242
Progress Check
8. What is the difference between Corrective and Punitive actions?
9. What is the NCOs primary role when operating in the Punishment Arena?
243
SCENARIO 2:
When A1C Avid in-processed the unit, his supervisor,
SSgt Geidner, briefed him on dorm room standards,
specifically stating, I dont expect the room to be
spotless, but trash needs to taken out, all doors and
drawers closed, and the bed made daily.
One day, while Avid is on Quarters, Geidner stops by
the room to check on him. He finds an overflowing
trashcan and pizza boxes on the floor.
244
After ensuring that Avid is OK, Geidner turns to leave and says, I am glad you are feeling
better, but please make sure you empty the trash everyday and throw these pizza boxes away.
You dont want any unwanted visitors.
Several days later, while Avid is at work, Geidner inspects Avids room and finds pizza boxes
stacked to the ceiling, his trash can still overflowing, and the bed unmade. Later that day,
Geidner issues Avid a Letter of Counseling for failing to maintain dorm standards.
a. Which Arena does the scenario address?
SCENARIO 3:
A1C Zon, who is responsible for processing convalescent leave, stuffs
several unprocessed leave forms in his desk drawer as he hurries out
the door to start his vacation. During the next week, his supervisor,
TSgt Jumbo, receives a phone call from an irate first sergeant who has
been accused of being AWOL and now his records are flagged with
10 days of bad time. Jumbo investigates the situation, finds the
unprocessed leave forms, and discovers several other members facing
the same bad time problem.
After processing all of the leave forms, TSgt Jumbo finds himself in the commanders office
with the first sergeant discussing disciplinary action. Suddenly the commander asks, TSgt
Jumbo, if you were in my shoes, what would you do? Surprised by the question, Jumbo
responds, Whatever you think is best sir.
a. Which Arena does the scenario address?
245
SCENARIO 4:
A1C Capendi just returned from TDY. He has had multiple
finance issues in the past and has just crossed the line by
purchasing a 65 inch plasma TV with his government purchase
card.
TSgt Blisdum is discussing the issue with the shirt while waiting
to see the commander. The shirt asks Blisdum, Before the
commander brings Capendi in, she is going to want to know
what you think she should do? Blisdum responds with, I know
he definitely deserves severe action, but I also know that he has a
very stressful home life. He works a second job just to feed his
family including his mother-in-law, who helps him take care of
his special needs child. Therefore, I believe his punishment
needs to be something that wont interfere with his second job or
mess with his finances.
a. Which Arena does the scenario address?
SCENARIO 5:
During the running portion of his annual PT test, SSgt Jikes decides to take a
shortcut when he thinks the evaluator is not looking. At the finish line the
evaluator says, This PT test is invalid because you cheated. I saw you take a
shortcut on the last lap; therefore, you did not complete your full 1.5 miles.
Jikes responds, Cheated! I did not cheat!
The evaluator responds with, I saw what I saw, and I intend to inform your
supervisor.
Later that day, the evaluator calls Jikess supervisor and hears, Nothing new
for Jikes, I have been dealing with that guy far TOO long.
246
Frustrated, the supervisor hangs up, calls Jikes in, and says, I heard what you did, and I want
you to know that I am tired of your antics. The truth is. I am not wasting any more energy on
you; now get out of my office.
a. Which Arena does the scenario address?
SCENARIO 6:
During SSgt Chortols initial in-brief, TSgt Windee, who is concerned about
Chortols weight, lets him know about her concern and how important
fitness is to the Air Force and to her by explaining, The Air Force standard
is that you pass your annual test. I will do everything in my power to help
you be as fit as possible so that the test is not a problem. The squadron has
PT three times a week and I expect you to be at those sessions, as a
minimum. If there is a conflict let me know. Personally, I enjoy riding a
street bike for fitness. What is it that you enjoy doing?
Chortol responds with, Playing racing video games.
Windee says, Very cool. How does your family feel about that?
Chortol states, They enjoy it too. My wife enjoys the opportunity it gives
me to bond with my only child, Trevor.
Windee responds, It seems you have a great family dynamic, congratulations on that. Lets go
back to the PT issue again. Is it possible that your video gaming interferes with your exercise
time?
Chortol cautiously responds, Yes, maam, I guess it does.
Windee comes back with, I am glad you see that as a potential contributor. What is your plan to
address your weight issue?
Chortol responds with, I start coaching my sons soccer team next week which will cut down
my gaming time and definitely increase my activity level. Along with the squadron PT, I dont
think my weight will be an issue much longer.
247
Enthusiastically, Windee comes back with, Very good, I love that plan. Standards are there for
a reason, and the PT standard is just one example. Also, accountability is highly valued in this
section so we do all we can to help each other succeed. The expectation is that we keep each
other in check. We all work as a team to be the best we can be.
a. Which Arena does the scenario address?
Now that you have a good understanding of the Discipline Model, lets discuss what makes the
Discipline Model run, the Progressive Discipline Process (PDP).
248
249
You have set your standard in the Prevention Arena and the first step of the PDP. You have
monitored as required in the second step of PDP, and now it is time to apply the PDP. In
accordance with AFI 36-2907, Unfavorable Information File, commanders, supervisors, and
other persons in authority can issue administrative counseling, admonition, and reprimand.
These actions are intended to improve, correct, and instruct subordinates who depart from
standards of conduct or performance, on or off duty, and whose actions degrade the units
mission. It is Air Force policy that commanders and supervisors take the least amount of action
necessary to correct behavior and then progress from there as needed. Lets say that again, the
least amount of action necessary to correct behavior and then progress.
250
251
252
Starting MFRs with these words is important from an ADCs perspective because they eliminate
confusion over what occurred and they indicate you actually spoke to the member.
MFR Examples
A poor statement: Amn Smith was late for work for the third time
this week This leaves the JAG and ADC wondering if you actually
said anything to Amn Smith.
A better statement: Amn Smith was late for work for the third time
this week. I told him not to be late again This is better but it still
leaves room for debate over whether Amn Smith clearly understands
the standard.
The best statement: Amn Smith was late for work for the third time
this week. I verbally counseled him for being late and I reminded him
of duty hours and his responsibility for getting to work on time. He
indicated that he understood
This removes all doubt about what occurred during the verbal counseling
or reprimand session. There is no requirement for the counselee to sign or
even see the MFR; however, you should always sign and date it. If
subordinates continue breaking the rules after a verbal counseling, move
up the ladder of adverse administrative actions in the PDP with verbal or
letters of counseling, admonishment, and reprimand in that order.
253
If an individual refuses to acknowledge receipt, annotate above their signature block, Member
refused to acknowledge. initial, and date the entry. The person issuing the letter should sign
first, as the issuer. The 1st Ind. should have the member sign for receipt of the letter, within three
duty days, a second signature (2nd Ind.) by the member stating if they are or waive the right to
respond, and then the final signature is the person issuing the letter. See Attachment 2 for an
example.
Be very careful to write all letters for adverse administrative action as if they were going to be
used in court. Written in this meticulous manner, they will be able to serve as a usable tool if an
administrative discharge or court-martial becomes necessary.
Since individuals have three duty days to respond, you must wait the three duty days before
taking additional actions or forwarding the documentation for filing in the PIF. If members do
not respond within three duty days, indicate that on the document and forward for filing in the
members PIF. On the other hand, if members do respond, you must consider all matters
submitted and then decide to let the document stand as is, downgrade/upgrade the severity of the
action or in rare cases remove it altogether.
Attach any response to the original document and file in its
entirety in the individuals PIF or, if the member has an
Unfavorable Information File (UIF) or is on a Control Roster,
forward it to the first sergeant for appropriate actions
associated with adding documents to ones UIF/Control
Roster. Commanders are required to notify members in
writing when adding or removing documents to an
UIF/Control Roster.
Supervisors should be alert to the requirements of Article 31 before seeking information during a
counseling session. If the counseling session involves a suspect in a criminal matter, you must
advise the service member of his or her rights under Article 31 of the UCMJ before questioning.
Failure to do so will prevent use of the individuals statements or admissions in subsequent
judicial actions. The Rights of the Accused section later in this reading covers this in detail.
Contact the office of the staff judge advocate or your first sergeant for additional guidance on
Article 31 rights.
Referral counseling is used when a supervisor is aware of a problem a subordinate is
experiencing that goes beyond the scope of the subordinates and the supervisors abilities. In
this type of instance, the supervisor would appropriately refer the subordinate to one of the
following individuals or agencies that normally handle referral situations: first sergeant, military
personnel flight, legal office, area defense counsel, chaplain, family support center, military
equal opportunity, or base clinic/hospital. According to the PDP, after you have utilized the
counseling stage, you should progress to admonition or reprimand.
"If we do not discipline ourselves, the world will do it for us.
- William Feather
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Because the possibility exists for LOCs, LOAs, and LORs to be used in support of a discharge
process, they must contain certain content, meet all legal requirements, and be issued, signed,
and filed in accordance with specific timelines. For example, LOCs, LOAs, and LORs must
contain a privacy act statement, must clearly state what the member did or failed to do, where
and when the infraction occurred, expected future behavior, and the consequences of future
infractions. These letters must also include a place for the counselee to acknowledge receipt of
the letter and indicate that the counselee has three duty days to respond. Finally, the letters must
contain a statement indicating whether the counselee responded. See attachment 2 for an
example.
It is interesting to note that traditionally, enlisted members rarely receive an LOA. But,
according to the PDP they should be used to correct behavior if and LOC does not work and the
infraction does not warrant an LOR. On the other hand, LOAs are used almost exclusively for
officers because it falls below an LOR, which requires a referral performance report, and usually
ends an officers career.
SELF-REFLECTION OPPORTUNITY: Why should you not, in most cases, go from an
LOC to an LOR skipping the LOA?
Unfavorable Information File (UIF)
The Unfavorable Information File (UIF) is a folder
maintained by the Commanders Support Staff and once
established shows up on personnel reports for as long as it
exists. UIFs can exist for only one year or as long as several
years depending on the type of documents it contains and when
documents were placed in the folder.
The Unfavorable
Information File (UIF)
provides commanders with an
official repository of
substantiated derogatory data
concerning an Air Force
members personal conduct
and duty performance.
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Duty performance
Marital status
Financial status
Cultural background
Finally, one of the goals of the Article 15 process is to rehabilitate offenders. Because of the
focus on rehabilitation, it is unprofessional to continuously remind members of their infraction or
offense.
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Instead, NCOs should take the high road and consider the first day of a members punishment as
the first day of the members journey toward full recovery. Encourage that recovery by treating
the member as you wish to be treated.
The Area Defense Council (ADC) is a certified judge advocate performing
defense counsel duties. They are assigned outside the local chain of
command with the responsibility of vigorously and ethically representing
their client. Although NCOs do not have a significant role in the courtmartial process, the ADC may ask you to testify as a character witness. Just
as with the Article 15 process, you cannot provide honest testimony about
someones character if you do not know the person. You cant honestly
testify if you have not established the rapport you read about in the
Prevention step. Before agreeing to testify as a character witness, NCOs
should weigh carefully
many of the same issues
they considered before making a
recommendation for punishment during the
Article 15 process. NCOs are often tasked to
conduct informal investigations about potential
UCMJ infractions. Sometimes these
investigations lead to simple corrective actions
and other times the results may lead to Article
15 action and even court-martial. Now that
you have seen the Discipline Model and the
Progressive Discipline Process, lets see how
that they work together.
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This is the far right side, the Commanders Only side of the PDP. In the next section, you will
review what it is that the NCO may be required to do in the Punishment Arena of discipline.
Progress Check
10. Using the words below correctly label the PDP chart.
Word Bank
Article 15
Written
Admonition
Low
Verbal
Admonition
One-Way
Communication
Two-Way
Communication
Verbal
Counseling
Court Martial
Written
Reprimand
High
11. What should NCOs do before applying the PDP and when applying it?
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14. Match the correct term to the description as it applies to Discipline Model.
____ Punishment
____ Correction
____ Prevention
15. What are the 3 key actions that occur during the Prevention Arena in the DM and who bears
the responsibility for preventing disciplinary problems?
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16. Describe what is meant by the Progressive part of the Progressive Discipline Process Model.
17. Why are adverse administrative and punitive actions issued when an individual commits an
infraction or their behavior falls below the Line of Acceptability?
18. When applying the PDP, what factors are used to determine appropriate corrective actions?
19. Explain what is meant by the phrase, Prudence first, Justice second.
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NCO Authority is defined as the right to act and command.5 One of the three legal sources of
your NCO Authority is Article 91 of the UCMJ, Insubordinate conduct toward a warrant
officer, noncommissioned officer, or petty officer. This article ensures others obey NCOs
orders and protects NCOs from assault, insult, or disrespect. For example, if you are the NCOIC
of a section, and an airman is rude, vulgar, or makes inappropriate comments to you or about
you, he or she may have violated Article 91.
The second source of your legal authority from the UCMJ is Article 92 is entitled, Failure to
obey an order or regulation. This article covers anyone who 1) has a duty to obey an order; 2)
has knowledge of the order and 3) violates or fails to obey the lawful order or regulation. Before
flexing this muscle of the UCMJ, consider that if the accused attempted the task, but was
unable to complete it due to lack of training or ability, you should not pursue disciplinary or
punitive actions. Also, if the order was unlawful (Go make me a sandwich) the airman is not
guilty of Article 92. Remember that your spoken directions are orders, even if you dont say
This is a direct order.
One more article that will provide you legal authority as an
NCO is Article 7, Apprehension. As an NCO, the
UCMJ authorizes you to apprehend individuals in certain
situations. If you truly believe a crime is about to happen,
(drinking and driving, fighting, sexual assault, etc.) try and
stop it from happening without placing yourself into
jeopardy. Using your rank/authority, order the individual
to turn over the keys, go back to his or her room, or
separate the Airmen quarreling. If the Airmen disobey
your direct order, you have the authority to quell quarrels,
frays, and disorders among persons subject to [the UCMJ]
and to apprehend persons subject to [the UCMJ] who take
part therein.6 To apprehend someone, you must verbally
inform the person you are apprehending him or her, and
clearly inform the individual why you are doing so.
Earned authority is another source of NCO authority. While legal authority holds airmen
accountable when they fail to meet standards, earned authority encourages airmen to trust you
and want to follow you, based on your referent power. Some of your earned authority will come
as you progress through the ranks; some of it will come when you build a solid reputation with
your subordinates. While this type of authority takes time to build, you will find its benefits
outweigh the amount of dedication, integrity, excellence, and sincerity you must display to earn
it. NCO rank and authority are important to maintaining discipline of your subordinates and
understanding their basic rights is also important.
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At any time, if the individual elects to seek legal advice, cease all questioning and have
the individual contact ADC.
If, after completing the rights advisement, the individual elects to answer questions:
- First, highly encourage the individual not to answer questions and to seek the advice
of ADC. (Once again, this protects the individual and the government).
- If after encouraging the individual to seek legal advice, he/she still decides to answer
questions, feel free to ask questions. Be sure to take detailed notes.
- Again, if at any time the individual decides to stop answering questions, you must
stop the interview and refer the individual to the ADC.
After completing the interview, immediately inform the chain of command.
3. Pretrial Investigation
When people are accused of a crime and been given the Rights Advisement, a pre-trial
investigation usually follows. The Pretrial Investigation is the third basic right and is covered by
Article 32 of the UCMJ. A Pretrial Investigation is always held before a General Court-Martial
and is similar to a civilian grand jury process. Article 32 entitles the accused to full participation
during the pre-trial investigation to include:
Full disclosure and advisement of the charge(s)
Right to cross-examine witnesses
Right to present anything in defense or mitigation
Fair & Impartial Inquiry (Investigating Officer cannot be
in defendants chain of command)
Right to representation by counsel during the investigation
4. Representation by Counsel
The fourth Basic Right of the Accused is for the individual to have Representation by Counsel.
Military Counsel is ALWAYS FREE, but the member does have the option to hire a civilian
attorney at his or her own expense. If the accused elects to hire a civilian counsel, the military
counsel acts as associate counsel unless excused by the accused.
5. Fair and Impartial Trial
Whether represented by military or civilian counsel, the accused has the right to a Fair and
Impartial Trial, which is our fifth Right of the Accused. In order to guarantee a fair and impartial
trial, Area Defense Councils are always a tenant unit on military installations. This allows them
to have a separate chain of command from the ADC and base authorities.
In addition to a separate chain of command requirement, three articles of the UCMJ also help
guarantee a fair and impartial trial.
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Article 27 requires the Trial Counsel and Defense Council to have similar qualifications
whenever possible.
Article 37 prohibits unlawful influence. No convening authority or commander can
censure or reprimand the court or any court member in an attempt to influence his or her
decisions. No one can coerce or influence the actions of the court-martial.
Article 41 allows the accused to challenge the Judge and Members of the court-martial
for cause. That is if the accused has reason to believe the judge or the members of the
court-martial will not act in good faith.
If the court-martials findings result in a guilty verdict, the accused becomes the convicted;
however, they still have two very important rights; the Right of Appeal and protection from
Former Jeopardy
6. Right of Appeal
When dealing with judicial proceedings, the convicted have the Right to Appeal the findings and
sentence of any military court. Although the convicted can choose to waive the appeal process,
some sentences (i.e., death penalty) require an automatic appeal regardless of the convicted
wishes to waive the appeal.
If military counsel is used, all military appeals are at NO EXPENSE to the convicted and the
member has a right to file a petition for review with a civilian federal appellate court after all
military appeals are exhausted. The government pays for the cost of the court except when the
convicted elects to use civilian counsel.
Members who accept non-judicial (Article 15) proceedings have the Right to Appeal the
punishment only, not the Article 15 itself. A person punished under this article who considers
his punishment unjust or disproportionate to the offense may, through proper channels, appeal to
the next superior authority. The appeal shall be promptly forwarded, and decided, but the person
punished may in the meantime be required to undergo the punishment adjudged.
Accepting an Article 15 is not an admission of guilt but a choice of forum. Members are simply
choosing the Article 15 process in lieu of court-martial. Although adverse administrative actions
are not judicial or non-judicial in nature, Air Force members still have the right to appeal or rebut
most adverse administrative actions. Members can appeal demotions, but the appeal authority
depends on members rank.
Members have three duty days to submit rebuttal documents for consideration under the
following situations:
Optional entries only in unfavorable information files (UIF). Rebuttal is NOT an option
on mandatory UIF documents such as a courts-martial conviction or Article 15s where
the punishment exceeds one month.
Placement on a Control Roster
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SCENARIO 2:
NCOIC to A1C Jax: I called you in to discuss an issue that the Flight
Chief and I are very concerned about.
A1C Jax to NCOIC: Before you go any further, I need to let you know
that Im aware of the rumor going around that I smoked dope while on
leave.
NCOIC to A1C Jax: Oh, Im glad you know about that because thats
what I wanted to talk about. Is it true?
a. Are the NCOICs actions appropriate or inappropriate? Why?
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SCENARIO 3:
NCOIC to A1C King: I called you in to discuss an issue
that the Flight Chief and I are very concerned about. SSgt
Wickle is going to sit in with us while we talk.
A1C King to NCOIC: If it is about me being with A1C Jax,
yes I was with him; we grew up in the same town, so we went
on leave together. I was with him the entire time. We had a
blast.
NCOIC to A1C King: Let me go ahead and stop you there.
Please dont say anything else. Because of what you just said and the fact that you may have,
even unintentionally, participated in criminal activity, I need to read you your rights.
A1C King to NCOIC: Rights!? I did not do anything wrong.
NCOIC to A1C King: A1C King, please settle down. Because you stated that you were with
Amn Jax the entire time, I now suspect you may have either committed or participated in a
crime. Therefore, to protect you, I need to read you your rights. Please listen carefully,
You have the right to remain silent, that is, say nothing at all.
Any statements you make may be used against you.
You have the right to consult a lawyer.
You have the right to military legal counsel free of charge.
In addition to military counsel, you are entitled to civilian counsel of your own choosing, at
your own expense.
Do you understand your rights?
A1C King to NCOIC: Yes, I understand my rights.
NCOIC to A1C King: Do you want a lawyer?
A1C King to NCOIC: Yes, I would like a lawyer
NCOIC to A1C King: Here you go sir; the ADC is on the line.
a. Are the NCOICs actions appropriate or inappropriate? Why?
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SCENARIO 4:
NCOIC to A1C King: I called you in to discuss an
issue that the Flight Chief and I are very concerned about.
SSgt Wickle is going to sit in with us while we talk.
A1C King to NCOIC: If it is about me being with A1C
Jax, yes I was with him; we grew up in the same town, so
we went on leave together. I was with him the entire
time. We had a blast.
NCOIC to A1C King: Let me go ahead and stop you
there. Please dont say anything else. Because of what
you just said and the fact that you may have, even
unintentionally, participated in criminal activity, I need to
read you your rights.
A1C King to NCOIC: Rights!? I did not do anything wrong.
NCOIC to A1C King: A1C King, please settle down. Because you stated that you were with
Amn Jax the entire time, I now suspect you may have either committed or participated in a
crime. Therefore, to protect you, I need to read you your rights. Please listen carefully,
You have the right to remain silent, that is, say nothing at all.
Any statements you make may be used against you.
You have the right to consult a lawyer.
You have the right to military legal counsel free of charge.
In addition to military counsel, you are entitled to civilian counsel of your own choosing, at
your own expense.
Do you understand your rights?
A1C King to NCOIC: Yes, I understand my rights.
NCOIC to A1C King: Do you want a lawyer?
A1C King to NCOIC: No, I dont need a lawyer.
NCOIC to A1C King: You are willing to answer questions?
A1C King to NCOIC: Yes, sir, I will answer questions.
NCOIC to A1C King: Amn King, you said you were with Amn Jax the ENTIRE time, correct?
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A1C King to NCOIC: Yes, sir, I was with Jax the whole time
NCOIC to A1C King: Did you at any time witness Amn Jax smoking marijuana?
A1C King to NCOIC: Yes, sir.
NCOIC to A1C King: Did you smoke marijuana with him?
A1C King to NCOIC: Uhhhh, sir, I am not comfortable answering that question. Can we just
talk off the record?
NCOIC to A1C King: Sorry sir that is not an option.
A1C King to NCOIC: I think I need a lawyer.
NCOIC to A1C King: OK, no more questions. Here you go sir; the ADC is on the line.
a. Are the NCOICs actions appropriate or inappropriate? Why?
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Knowing the rights of the accused, and knowing your own limits are important; however,
members accused of crimes often continue working in the same unit. When this happens, it is
very important to remember Innocent until Proven Guilty because some crimes such as child
molestation/rape can quickly polarize a unit.
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There is a difference between punishment and administrative action. They both help to maintain
good order and discipline and their purpose is rehabilitative.
Discipline Impacts NCO, Unit, Mission Effectiveness
As an NCO, your leadership, your Air Force, and more importantly your subordinates are
counting on you to do what is best and to put Prudence over Justice. From this chapter, you are
now better equipped to deal with the situation. You may not have all the answers, but at least
you know where to go to get answers and you know that it is your responsibility to help protect
the rights of the accused. Even in the face of direct evidence indicating guilt, valuing and
protecting the rights of your people is vital to mission success!
Discipline is essential for our US Air Force to be the premiere Air Force in the world. Unless
you as a supervisor take this seriously, you will not be able to provide the best people to our Air
Force. You must know your people; understand discipline and its processes; and finally your
roles and responsibilities. If you take the time to Prevent discipline issues, you may never have
to worry about correcting or punishing. You as an NCO have a direct impact on that.
Discipline is our SOUL, says George Washington. Therefore, without it we cannot function.
Let us make it a priorityDiscipline.7
SELF-REFLECTION OPPORTUNITY: Have you been in a unit where the accused
remained in the unit throughout the investigation and trial? How did other members of the
unit react? Did you treat the accused with dignity and respect? Did you ensure others did so
as well?
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Progress Check
20. List three things a NCO must ensure while engaged in a disciplinary action involving a
subordinate.
a.
b.
c.
21. Explain the NCOs role when a subordinate, who has been accused of a crime, returns to the
unit pending his/her trial?
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Attachments
You can see that the accused being treated inappropriately effects discipline, which can have an
effect on your responsibility of effectively accomplishing your mission. The other Discipline
elements you read about were definitions of different elements of discipline: the Discipline
Model, Progressive Discipline Process, and lastly, supervisors roles and responsibilities to
include rights of the accused. Before we close the chapter, lets look at some examples of
documents that will be useful when handling disciplinary actions.
Included in the Appendix section at the end of the chapter are examples of applicable documents
that you may find useful while working through the Discipline Model and Progressive Discipline
Process.
Attachments 1 and 2 are examples of MFR/LOC/LOA/LORs to allow quick modification to
cover most types of improper conduct. In many cases, you may want to modify verbiage to
provide a more precise statement of facts as basis for the action. Tailor language to the grade
and position of the person being counseled, admonished, or reprimanded.
Just because there is an allegation for a given situation does not necessarily mean that
LOCs/LOAs/LORs are the best way to handle such cases. For example, driving under the
influence (DUI) and drug abuse cases usually merit Article 15 punishment or court martial.
Since each case is different, consider each on an individual basis to determine the appropriate
level of action. When in doubt, consult the first sergeant, commander, legal office, SFS or OSI.
Some incidents may be severe enough to require the supervisor to contact the first sergeant
immediately. In these situations, the first sergeant or commander will decide what course of
action to follow, develop, and present any non judicial actions required. The attached samples
are not all-inclusive, but address frequently occurring incidents. Use or discard any of the
sample language as your needs dictate.
Attachment 3 is the AF IMT 1168, Statement of Suspect/Witness/Complainant referred to in the
Rights of the Accused section.
Attachment 4 is the Advisement of Rights. Included are samples of both Rights which are
presented to military or civilian personnel.
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Attachment1
EXAMPLE
MEMO FOR RECORD
(Date)
MEMO FOR RECORD
SUBJECT: Informal CounselingA1C Joe Citizen
1. On this date, I counseled A1C Citizen on (identify the problem that required counseling).
2. (Identify the members explanation, disposition, demeanor, etc.)
3. I reminded A1C Citizen of the standard and of the consequences of future misconduct.
(Signature block)
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Attachment 2
The following provided by the 42ABW Legal Office, Maxwell AFB, AL.
5 March 2015
MEMORANDUM FOR
FROM:
SUBJECT: Letter of Counseling/Reprimand/Admonition
1. (Describe misconduct or substandard performance using examples from Attachment 4. Use
additional paragraphs if necessary).
2. You are hereby reprimanded/admonished! (Tailor language to match allegations using
examples from Attachment 5. Explain why actions were unacceptable. Also state expectations,
especially in cases of substandard performance. Explain that any further instances of
misconduct or substandard performance could result in more severe action).
3. The following information is provided IAW AFI 36-2907, paragraph 3.1., Authority: 10 U.
S. C.8013. PURPOSE: To obtain any comments or documents you desire to submit (on a
voluntary basis) for consideration concerning this action. ROUTINE USES: Provides you an
opportunity to submit comments or documents for consideration. If provided, the comments or
documents you submit become a part of the action. DISCLOSURE: Your written
acknowledgement of receipt and signature are mandatory. Any other comment or document you
provide is voluntary.
4. You will acknowledge receipt of this letter. You have three duty days to respond to this
letter. If you choose to respond, any comments or documents you wish to be considered
concerning this letter of counseling/reprimand/ admonishment will be included with your
response.
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Attachment 3
Attachment 4
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286
Key Terms
Control Roster, 255
Progressive Discipline Process, 248
Standards, 229
Unfavorable Information File, 249
References
Air Force Instruction (AFI) 31-205. The Air Force Corrections System, Certified current 17 May
2010.
Air Force Instruction (AFI) 36-2406. The Officer and Enlisted Evaluation System (EES), 15
April 2005.
Air Force Instruction (AFI) 36-2502. Airman Promotion Program, 31 December 2009.
Air Force Instruction (AFI) 36-2503. Administrative Demotion of Airmen, 20 July 1994.
Air Force Instruction (AFI) 36-2606. Reenlistment in the United States Air Force, 21 November
2001.
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 February 2009.
Air Force Instruction (AFI) 36-2626. Airman Retraining Program, 1 July 1999.
Air Force Instruction (AFI) 36-2907. Unfavorable Information File (UIF) Program, 17 June
2005.
Air Force Instruction (AFI) 36-3208. Administrative Separation of Airmen, 9 July 2004. (with
14 September 2010 changes).
Air Force Instruction (AFI) 51-201: Administration of Military Justice. December 21, 2007.
Air Force Instruction (AFI) 51-502: Nonjudicial Punishment. November 7, 2003 (incorporating
through change 2, May 16, 2007).
Air Force Pamphlet (AFPAM) 36-2627. Airman and NCO Performance Feedback System
(EES), 1 August 1997.
Air Force Policy Directive (AFPD) 36-29. Military Standards, 1 June 1996. Applewhite,
Ashton, William R. Evans III, and Andrew Frothingham. And I Quote (Revised Edition): The
Definitive Collection of Quotes, Sayings, and Jokes for the Contemporary Speechmaker. New
York: St Martins Press/Thomas Dunne Books, 2003.
287
Department of the Air Force. United States Air Force Core Values, 1 January 1997.
HQ AFPC/DPSOAE. Reenlistment Continuity Book, 17 Jun 2009.
The Air Force Judge Advocate General School, Air Force Operations and the Law, 2nd Edition,
Maxwell AFB AL, 2009.
The Air Force Judge Advocate General School. Letters of Counseling, Admonition and
Reprimand, Maxwell AFB AL, 7 July 2005.
Manual for Courts-Martial, 2008 edition. Retrieved on September 8, 2009 from:
http://www.au.af.mil/au/awc/awcgate/awc-law.htm#mcm.
McBride, Loyd W., Chief Master Sergeant USAF, Discipline Air University Review, May-June
1981. Retrieved on August 31, 2009from:
http://www.airpower.maxwell.af.mil/airchronicles/aureview/1981/May- Jun/mcbride.htm.
Uniform Code of Military Justice. Retrieved on September 8, 2009 from:
www.au.af.mil/au/awc/awcgate/ucmj.htm.
42Air Base Wing Legal Office, Reprimands and Admonitions Guide, Maxwell AFB, AL April
2010.
288
Formative Exercise
1. TSgt Smith is preparing to conduct a performance counseling session with A1C Green for
being late to roll call. Smith had verbally counseled him twice before for the similar
behavior. When Green arrived, he sat him down and told him how valuable he was to the
squadron and appreciated his work. However, he told him that being late to roll call is
unacceptable and gave him a stern warning and dismissed him. A week later, Green arrived
late for roll call again and missed the mission briefing.
Smiths actions concerning A1C Green BEST illustrate ineffective use of
________________ and its negative impact on his effectiveness.
a. punishment
b. imposed discipline
c. progressive discipline
2. TSgt Marble, the base dining facility NCOIC, believes that the dining facility personnel are here to
support and provide a good quality of life for Airmen. She expects the dining facility to operate in
flexible, efficient, and customer oriented way. TSgt Marble met with her dining facility Airmen and
like a good supervisor, established rapport with them. She did not discuss much of her expectations
because she thought doing the right thing and maintaining standards are common knowledge in the
Air Force. They are drilled into Airmen Basic Military Training and Technical school.
TSgt Marbles use of _______________ will MOST LIKELY result in _______________.
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290
8. Corrective actions are administrative in nature, punitive actions are legal sanctions designed
to take something away from the member, (e.g. time in the form of extra duties, loss of
money, loss of freedom, reduction in rank, and loss of career via less than honorable and
dishonorable discharges).
9. The NCOs primary role is to provide the commander with facts concerning the member (e.g.
duty performance, previous violations, family/financial situation and so forth), and, if asked,
recommend actions that would be most effective in rehabilitating the member.
10. 1, Verbal Counseling; 2, Verbal Admonition; 3, Written Admonition; 4, Written Reprimand;
5, Article 15; 6, Court Martial; 7, Low; 8, High; 9, One-Way Communication; 10, Two-Way
Communication.
11. A NCO should establish standards to clearly explain to the subordinates each standard and
Line of Acceptability, and monitor subordinate behavior to ensure compliance and reinforce
as needed.
12. Establish Standards, Monitor, Apply the PDP
13. The three Arenas of the Discipline Model are: Prevention, Correction, and Punishment.
14. b, Punishment; c, Correction; a, Prevention.
15. The key actions that occur during the Prevention Arena in the DM are: Set standards,
establish rapport, and create a climate of accountability. Supervisors, First sergeants, and
commanders are responsible for preventing disciplinary problems from occurring.
16. The Progressive part of the PDP Model means using the least force necessary to modify a
behavior that is progressing in severity by imposing an infraction that also increases or
progresses in severity, i.e. verbal counseling to LOC.
17. Adverse administrative and punitive actions help to maintain good order and discipline.
MFRs, LOCs, LOAs, and LORs serve as written documentation of actions taken to correct
behavior when more severe actions such as an Article 15, Court-Martial, or Discharge.
18. Severity of the infraction and judgment of the supervisor.
19. Prudence first, Justice second means it is always prudent to consider the facts and
extenuating circumstances surrounding a situation. This will ensure people are treated in a
fair and equitable manner while still ensuring the correction/punishment fits the crime.
Although one can legally, throw the book at someone that is almost never the prudent thing
to do.
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292
b. This answer is INCORRECT. The scenario does not best illustrate imposed discipline, which,
according to the Discipline chapter, is enforced obedience to the legal orders and the regulation.
Imposed Discipline is evident in that Green must be at roll call, but the real issue is Smith failing
to use the Progressive Discipline Process to correct the substandard behavior.
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2. CORRECT ANSWER: c
RATIONALE:
a. This answer is INCORRECT. There is nothing in the scenario to indicate there is an
issue with task discipline, which, according to the Discipline chapter, is how well we
meet the challenges of our job and having a strong sense of the responsibility in
performing our jobs to the best of our abilities. Even though the Airmen had training in
complying with the standards, the supervisor has to reinforce that clearly through regular
feedback. Marble assumes the Airmen understands and does not comply with the
prevention concept.
b. This answer is INCORRECT. There is nothing in the scenario to indicate there is an
issue with task discipline, which, according to the Discipline chapter, is how well we
meet the challenges of our job and having a strong sense of the responsibility in
performing our jobs to the best of our abilities. Even though the Airmen had training in
complying with the standards, the supervisor has to reinforce that clearly through regular
feedback. Marble assumes the Airmen understands and does not comply with the
prevention concept.
c. This answer is CORRECT. According to the Discipline chapter, prevention is the
first and most important step to prevent behaviors that are detrimental to personnel
or productivity of a work center. Additionally, the supervisor must communicate
standards and expectation clearly. Marble assumes the Airmen understand and
does not communicate it to them, which will more than likely result in substandard
performance.
d. This answer is INCORRECT. Marble is using prevention but using it ineffectively which
will likely not result in stellar performance from her Airmen. According to the lesson,
the supervisor must communicate standards and expectation clearly. Personnel are less
likely to perform in a substandard manner if they have a clear understanding of where
their supervisor stands on standards, desired performance, and supervisor expectations.
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Cease questioning
Tell them to STOP TALKING
Get a witness.
Tell them, From what you have just told me, I believe you may have committed a crime.
To protect your rights, let me read you your rights. My advice is for you to go see ADC
and not to answer my QUESTIONS.
- Advise the individual of his or her rights.
- Immediately inform the chain of command
NOTE: If you SUSPECT a crime has been committed and you are investigating and intend to
ask the suspect questions, you MUST advise him/her of his/her rights.
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End Notes
1
Loyd W. McBride, Chief Master Sergeant USAF, Discipline Air University Review, May-June
1981. Retrieved on August 31, 2009 from:
http://www.airpower.maxwell.af.mil/airchronicles/aureview/1981/May- Jun/mcbride.htm.
Air Force Instruction (AFI) 36-3208, Administrative Separation of Airmen, 9 July 2004. (With
14 September 2010 changes), Para. 5.1.1.
Air Force Instruction (AFI) 36-2907, Unfavorable Information File (UIF) Program, 17 June
2005. Para. 2.2.1.1 and 2.3.
AFI 36-2618, The Enlisted Force Structure, 27 February 2009. Para. 6.1.7.
Ashton Applewhite, William R. Evans III, and Andrew Frothingham, And I Quote (Revised
Edition): The Definitive Collection of Quotes, Sayings, and Jokes for the Contemporary
Speechmaker, New York: St Martins Press/Thomas Dunne Books, 2003. 15.
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Stress Management
Workplace Violence
It has been a long Monday, and you are at the end of your
shift. You are just about to log off your computer for the
day when your top Airman enters your office and says she
was sexually assaulted over the weekend. She explains
this is not first time it happened and now it has happened
again! Do you know what to say to her? Do you know
what to do for her?
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The above quote epitomizes the meaning and importance of the Wingman Concept. The current
operations tempo in todays Air Force increases the need for Wingmen. One of the wars you
fight today is the war within yourself. With the increase of suicides due to various stressful
situations, a good reliable Wingman is imperative. The term Wingman can be synonymous
with such terms as friend, caring co-worker or supervisor, loving family member, and mentor. It
is not a secret that suicide is a major issue in the Air Force today. It is claiming the lives of
many Airmen that are a vital asset to the mission. It is hard to say how many of those Airmen
could have been saved, but you can say a good Wingman may be able to prevent another suicide
in the future. Being a good Wingman is as easy as asking the age-old question Are you feeling
ok? Asking someone how he or she is doing could go a long way.
The history of a Wingman comes from an old
Air Force flying tradition where a lead pilot
would never lose his or her Wingman. It was
and is a strong and serious commitment
between Airmen who fly. The Wingman
Concept is setting out to cultivate that same
culture and mentality into all Airmen and Air
Force civilians in all specialties and career
fields. The mentality is to emphasize that
every person is a vital asset to accomplishing
the Air Force mission. The Wingman Concept
should be incorporated into various unit
teambuilding activities that are encouraged by
commanders.
Another concept borrowed by the flying
community is the Bold Face concept. Pilots
memorized this in order to deal with in-flight
emergencies. Wingman can use these same
principles in dealing with emergencies as they
relate to any stressors in their lives. There is
evidence that these same indicators were
present but not addressed in suicide incidents.
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Assess the means for self-harm. Does this person have a plan? Are there guns or
weapons in the home?
Stay with the fellow Wingman until a positive handoff is completed. Dont leave the
member alone until the Airman has been handed off to supervisor, 1st Sgt, company
commander and/or helping agency.
Appropriately intervene.
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Philosophy
Just remember, you are someones Wingman. Wingmen always operate as a pairwatching
each others back. As part of the unique Air Force flying culture, you should always take
responsibility for each other, you should always seek help from your Wingmen when needed,
and you should always be alert for other Airmen in distress; acting when they need help and
staying with them through a crisis until you can ensure a safe hand-off to a supervisor or other
competent individual.
The Wingman philosophy impacts a wide range of Air Force issues including effective:
financial management
4-Dimensions of Wellness
In this chapter, you will look at the four states of wellness
as they apply to Airmen, their families and others. As a
manager, supervisor, and NCO, you will have to know how
to deal with these issues when they affect your Airmen
(including civilians) and their families.
Are you and your Airmen happy and healthy? Are you
achieving the goals you set for yourself? If not, what is
affecting your progress? In order to meet the Air Force
standards, you should have a vision of being the best you
can be physically, emotionally, socially, and professionally.
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Yet, many Airmen continue to struggle in reaching these aspirations. To have complete control
of your life, you need to maintain a balance. This is why total human wellness encompasses four
dimensions: physical, emotional, social, and spiritual.
Your happiness is a product of your personal well-being. Being physically healthy, emotionally
sound, spiritually reinforced, and socially supported, are all critical components that positively
affect your quality of life and assist in effectively coping with emotional and physical hardships
enabling you to return to your happy place.
Physical Health
The physical dimension includes expanding your knowledge about your lifestyle and how
food, good nutrition, and physical activity can be an integral part of your lifestyle. This
dimension also includes any issues dealing with physical well-being such as diseases, alcohol
and tobacco use, regular exercise, and a healthy diet.
Physical activity enhances psychological fitness and relieves symptoms of distress including
depression and anxiety. Being active in physical fitness activities promotes an individuals
wellness and, for many, is a great
way to relax. Regular exercise
contributes to higher levels of
self-esteem and confidence and
maintains a sense of discipline,
which can also enhance the
emotional dimension of wellness.
What does it mean to be
physically ready? Physical
fitness is defined as, a set of
attributes that people have or
achieve that relates to the ability to
perform physical activity. In
other words, it is more than being
able to run a mile and a half or lift
a lot of weight. Being fit physically requires one to focus on five specific components: cardio
respiratory endurance, muscular endurance, muscular strength, body composition, and flexibility.
You and all NCOs have a tremendous responsibility of defending the United States and its
Constitution against all enemies, foreign and domestic, therefore it is obvious that all
Airmen must maintain a constant state of complete readiness. The Enlisted Force Structure
explains that all NCOs remain, physically ready to accomplish the mission and attain and
maintain excellent physical conditioning. NCOs must also, set a positive example for
subordinates and lead by promoting, supporting, and participating in unit physical training
activities and the Air Force fitness program.
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The Human Performance chapter covered the five components of physical fitness; therefore, they
will not be addressed in this chapter. Please refer back to the Human Performance chapter for
more information on the physical health dimension of wellness.
Emotional Health
Another important part of personal wellness is emotional
health. The emotional dimension includes finding ways to
encourage positive thinking and acceptance of yourself. The
emotional dimension also deals with those issues that affect
and detract from your ability to accomplish the mission.
Maintaining a healthy emotional dimension can sometimes
feel like a repetitive balancing act. AFI 36-2618, The
Enlisted Force Structure, requires that each NCO must, Be
mentally ready to accomplish the mission. Life offers many
challenges and circumstances that affect ones ability to
effectively manage thoughts and feelings. Relationship and
financial problems, family crisis, grief and loss, experiencing
failure, illness or injury, difficulty adjusting to a new life
changes, Post Traumatic Stress Disorder (PTSD), career
problems, and low self-esteem are a few of the many issues
faced every day that disrupt peoples lives and threaten their
emotional stability.
A sense of contentment
A zest for living and the ability to laugh and have fun
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The ability to deal with stress and bounce back from adversity
As good Wingman, you must remain cognizant of your organizational climate and be willing to
help your fellow Airmen in times of emotional distress, no matter if it is on or off duty. Working
closely with both junior and senior ranking members of your organization, you are in the best
position to detect the early warning signs of depression, discrimination, PTSD, sexual
harassment, sexual assault, substance misuse, and the potentially suicidal. Therefore, it is
imperative to know what the warning signs are. You are obligated to support and assist by
effectively using the chain of command, chaplain, Sexual Assault Response Coordinator and
other appropriate referral agencies.
Spiritual Health
Spiritual strength is an integral part of leadership. Our greatest leaders are able to
elevate the human spirit and inspire extraordinary performance. Spiritual strength is
what drives us to make sacrifices for others, for our Nation, and for the greater good.
For some, a commitment to a specific religious faith is a source for that spiritual
strength, but not for all. For some, it is their heritage and the experience of a community
of people within our human family. For others, it is the way they were touched as
individuals by a family member, teacher, or leaders work of faith or charity. As we
stress our Core Value of Service before Self, we see spiritual strength as its foundation,
whether or not an individual sees himself or herself as religious.
- General John P. Jumper, Former Chief of Staff of the Air Force
The spiritual dimension of wellness addresses questions such as meaning, purpose, values, selfworth, dignity, and hope. In other words, your Spiritual health equips you with a particular
strength during troubled times.
During these distressful situations, people often experience spiritual pain that is as real and
agonizing as physical or emotional pain. Spiritual pain occurs when one has difficulty finding
meaning and purpose to life, experiences loss or guilt, or when suffering with a serious illness.
Ones spiritual health determines their ability to find comfort, meaning, and hope when faced
with these difficult and often tragic circumstances allowing them to return to a state of
psychological well-being.
For many, spiritual support is the personal
relationship one has with a higher power (a
God or other transcendent force). Spirituality
is an important coping mechanism. The base
chaplaincy is one of the Air Forces spiritual
health and wellness centers that provide
services, counseling and lead spiritual fitness
functions to include spiritual fitness concerts,
runs, walks, and so forth.
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However, spiritual wellness does not necessarily pertain to religious activities. Family, friends,
and coworkers also offer an important element of spiritual support.
NCOs can assist those who are hurting spiritually by simply spending time with them and
offering support when needed. Oftentimes, the greatest gift to give someone is your time,
patience, and comfort. The sheer willingness to listen and care is a powerful statement in and of
itself.
Social Health
Social interactions can be the source of much
happiness in life. The social dimension includes
having positive interactions with other individuals.
Very few people in the Air Force go about
accomplishing their daily tasks alone.
The mission gets done because of professionals
interacting with and relying on other professionals to
provide them with information or a service. It is no
surprise that surrounding yourself with people who
genuinely care about you can have a positive effect
on your well-being. Having a social support network
consisting of family, friends, and coworkers offers
tremendous benefits for your health and wellness
especially when dealing with difficult situations.
Some of these benefits include:
Having a Sense of Belonging among people who truly care and accept you for who you
are is important. Knowing you are not alone can go a long way toward coping with
stress.
Increased Sense of Self-Worth means having people who consider you a friend reinforces
the idea that you're a good person to be around.
Feeling of Security happens when your social network gives you access to information,
advice, guidance and other types of assistance should you need them. It's comforting to
know that you have people you can turn to in time of need.
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Chaplain Services
Family Advocacy
Organization Consulting
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Be a Wingman! Changing the culture starts with leadership, but that depends upon you! Being
a true Wingman can help when dealing with certain issues. One of those major issues is dealing
with suicide. Now, see how you can use your wingman skills to help.
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Progress Check
1. How would you summarize the wingman concept/philosophy?
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Leadership involvement
Integrated delivery system (IDS) and community action information board (CAIB)
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It is important to be aware of the prevalence of suicide across the military as the services
transition more fully into joint operations and mindset. The individuals you supervise can come
from any branch of the service as well as coalition forces.
Being aware of the culture, underlying stressors, and missions of those sister-service personnel
will help you be more effective at recognizing individuals at risk.
In the next few pages, per AFI 90-505, the chapter will define a few terms, examine trend data,
look at protective factors, risk factors, and advanced warning signs. After that, the chapter
covers some Dos and Donts of communicating with individuals considering suicide, and
explores leadership skills.
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Male E1-E4s between the ages of 21 and 25 are at the highest risk for suicide
Members receiving care from multiple clinics/agencies are at risk for poor hand-off care
Airmen appear most at risk to commit suicide between Friday and Sunday
On average, 1 out of every 3 Airmen (includes military and civilian employees of all
ranks) is having a major life problem right now, but are not currently getting help for it.
Fear that the chain of command will be contacted (i.e., breach of privacy and
confidentiality
Suicide represents a failure to find other more effective ways to cope with problems that seem
insoluble. Some problems seem insurmountable to individuals in the middle of their situations.
Open communication, support systems, and easy access to referral agencies may help the person
see another option.
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In order to help reduce this type of failure, you must not only know and promote protective
factors, but you must recognize warning signs of suicide and be willing to take appropriate action
to be good a Wingman. Everyone must help themselves and others in trouble find more effective
ways to cope.
As an NCO, you must instill and support a culture that believes asking for help is a strength NOT
a weakness, and you must expose and eliminate the myths surrounding the implications of seeing
mental health providers. It is the leaders responsibility to ensure the Airmen understand: (1)
that seeking help is encouraged and not a statement that they are somehow incompetent; and (2)
that negative career impact for seeking counseling is unlikely when Airmen seek help on their
own and when it occurs before any misconduct. Recognizing risk factors are important and just
as important is recognizing protective factors and then creating an environment that promotes
these factors. Below are some of the most common factors.
Protective Factors
Basic
Peer support
Relationship problems
Substance misuse
Financial problems
Optimistic outlook
Significant loss
Marriage
Physical activity
Although being able to recognize basic and protective factors is important, its critical that you
recognize the following advanced warning signs associated with suicide.
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Behaves in a manner which would lead you to conclude that there was imminent risk of
this harm
Thoughts of suicide
A suicide plan
Recognizing advanced warning signs goes hand in hand with knowing the type of help,
resources, and referral agencies available for managing risk factors associated with suicide.
Though services vary by installation, typical offerings include:
Financial counseling
Employment assistance
Couples group
Parenting groups
Respite Care
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Helplessness: I cant do
anything to help
Hopelessness: Nothing I do
matters
Anxiety
Over-protectiveness: Reduce
autonomy
Under-protectiveness: Casual
avoidance
Anger
Criticism: Blaming
Recognizing and acknowledging these common reactions can help you be more effective when
helping your Airmen. However, despite recognizing these common reactions, many find it
difficult to communicate with someone who appears to be experiencing one or more of the basic
risk factors or who is exhibiting advanced warning signs. With that in mind, lets explore some
Dos and Donts when communicating with others who appear to need help.
DO NOT
DO
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Keep secrets
Get help.
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As stated earlier, of those who commit suicide over sixty percent had relationship problems.
Though the respective Services do not expect NCOs to be marriage or mental health counselors
or solve their subordinates problems for them, they do expect NCOs to recognize when
problems exist, listen if needed, and be able to recommend referrals. The respective Services
also expect NCOs to model the same behavior if they are having trouble.
Disaster Mental Health (DMH) teams or services exist on each base to help individuals recover
from or remain functioning despite the potential negative effects of critical incidents. DMH
enables people to understand the normal reactions to traumatic events and to promote use of
effective coping skills. This is accomplished through peer counseling, education, group
meetings, command consultation, and on-scene supportive services.
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Ensure that the basic needs of survivors are met (i.e., shelter, food, safety, and security)
Minimize exposure to environmental stressors (e.g., heat, cold, noise, disturbing visual
scenes)
Continuously evaluate the environment for additional threats; ensure that needs
continued to be met.
Foster resilience and recovery through social support mechanisms (e.g., friends, family, and
religious organizations).
When a unit members dies, it is important for the entire base community to work together to
provide reassurance and a sense of security for those experiencing the loss.
Support to help unit members cope with feelings of loss is very important at this critical time.
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Guilt/blame.
Helplessness.
Sleep difficulty.
Nightmares.
Depression.
Anxiety.
In some cases, surviving members may experience distress associated with shock and guilt and
the belief that something could have been done to prevent the death. This most commonly
occurs following suicides and accidental deaths.
Role of Leadership
There is no simple way to deal with the death of a unit member. Leaders should enlist help from
a variety of sources such as the chaplains office, Life Skills Support Center (LSSC), and
Casualty Affairs. Consult with the DMH team chief as to what services may be appropriate.
In the case of a suicide, the grief experienced by people close to the victim can be especially
complex. The general goals of post-suicide intervention are to help friends and colleagues
understand and begin the grieving process, to help maintain mission readiness, full functioning
and morale, and to identify/refer individuals who are at increased risk for distress.
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Progress Check
3. Why do people commit suicide?
5. According to trend data, what are the most prevalent problems associated with suicide?
7. How can NCOs/leaders/supervisors help themselves and others seek help to prevent suicide?
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9. What are some Dos and Donts when dealing with actual or potential suicide situations?
DO NOT
DO
10. How would you explain the confidentiality and privacy rules as it relates to suicide?
11. What are some responsibilities of leaders in the aftermath of a critical incident such as
suicide?
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c. Narcotics are any opiates or cocaine to include any compound containing cocaine or its
synthetic equivalents, derivatives, or products (heroin, methadone, morphine, crack, coca
de mate, Health Inca Tea, etc.).
d. Anabolic Steroids are any synthetic derivatives of testosterone that build muscle mass.
*Note: According to AFI 44-121, Alcohol and Drug Abuse Prevention and Treatment
(ADAPT) Program, studies have shown that products made with hemp seed and hemp
seed oil may contain varying levels of tetrahydrocannabinol (THC), an active ingredient
of marijuana, which is detectable under the Air Force Drug Testing Program.
In order to ensure military readiness, the ingestion of hemp seed or hemp seed oil or products
made with hemp seed or hemp seed oil is prohibited.
Drug paraphernalia is any equipment, product, or
material that is used, intended to be used, or designed
to be used in planting, propagating, cultivating,
manufacturing, growing, harvesting, compounding,
converting, producing, processing, preparing, testing,
analyzing, packaging, repackaging, storing,
containing, concealing, or introducing a controlled
substance into a human body by injection, inhalation,
ingestion, or otherwise.
A substance is alcohol and other mind-controlling or mood-altering drugs. This includes illicit
drugs, prescribed medications, and over-the-counter medications.
An intervention is the processes of helping the member recognize at the earliest possible
moment that he or she needs treatment for self-destructive drinking or drug abuse. This
professionally structured event includes significant others in the members life.
Abuse has two distinct definitions 1) The physical, psychological, or sexual maltreatment of a
person or animal and 2) A diagnosis of substance or alcohol abuse; requires that the individual
not meet the criteria for substance or alcohol dependence and meet one or more of the following
criteria occurring at any time in the same 12-month period: 1) Failure to fulfill major role
obligations at work, school, or home because of recurrent drinking; 2) Recurrent drinking in
hazardous situations; 3) Recurrent legal problems related to alcohol; 4) Continued use despite
recurrent interpersonal or social problems.
Substance Misuse is the use of any illicit drug or the misuse of any prescribed medication or the
abuse of alcohol.
Alcoholism is a primary, chronic disease with genetic, psychosocial, and environmental factors
influencing its development and manifestations. The disease is often progressive and fatal. It is
characterized by 1) Impaired control over drinking, 2) Preoccupation with the drug alcohol, 3)
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Use of alcohol despite adverse consequences, and 4) Distortions in thinking, most notably denial.
(Note: Each of these symptoms may be continuous or periodic).
Alcohol-Related Misconduct (ARM) includes driving while intoxicated, public incidents of
intoxication and misconduct, under-age drinking, or similar offenses and is a breach of discipline
Drug Abuse is the illegal, wrongful, or improper use, possession, sale, transfer, or introduction
onto a military installation of any drug defined
in AFI 44-121.
You may be surprised to learn that substandard behavior that occurs while drinking is labeled
alcohol abuse.
Many people would just consider that acting drunk or making fools of themselves. However, the
abuse of alcohol, on the other hand, has many different levels, and the career impact can vary.
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Intoxicated driving
Under-age drinking
Why do you think the Air Force makes this distinction in their definition? Because they want to
increase awareness of how a members drinking habits are viewed and make sure members are
aware of the impact of their behaviors. Also, they want to ensure members know that
inappropriate behavior isnt excused because they were drunk and to encompass a broader range
of offenses to ensure intervention occurs before alcohol use get worse.
The term also includes problem drinker, alcohol abuser, or diagnosed alcohol dependent
categories. It is important for you to know how the Air Force defines substance misuse because
you will recognize substandard-behavior in others and enforce the standards in your duty
sections or squadrons.
Impact of Substance Misuse
Mission and Readiness: Substance misuse adversely affects or impairs mood, coordination,
judgment, safety, and it increases impulsive behavior. Members under the influence do not
perform effectively in leadership roles, areas of substantial responsibility, and technical
knowledge. Additionally, members are in a higher risk of Drunk Driving (a leading cause of
death among 18-24 year olds - DUI is a serious breach of discipline. Also, there is a higher risk
of suicide (1/3 of all suicides involve alcohol use) and there is increased risk of accidents, falls,
burns and drowning.
Morale: Members who misuse substances are in a higher risk of relationship problems, both
personal and professional.
Health and Wellness: Substance misuse causes increased risk of high blood pressure, stroke,
heart disease, birth defects, addiction, gastritis (ulcers), diseases of the liver (fatty liver, hepatitis,
and cirrhosis), pancreatitis, malnutrition and overall high mortality etc. In addition, substance
misuse tends to lead to risky sexual behavior, which increases the risk of contracting a variety of
sexually transmitted diseases.
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0 = Number of underage
individuals drinking
0 = Number of individuals
driving under the influence
(DUI) of alcohol
1 = Maximum number of
alcoholic drinks per hour
3 = Maximum number of
alcoholic drinks per night
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The second 0 means no DUIs are allowed. The 1 refers to the standard of having no more
than one drink per hour. The 3 sets the cap for maximum drinks per evening. This formula
aims to reduce alcohol use issues in the Air Force, to include sexual assaults, loss of duty time,
mission degradation, and alcohol-related fatalities. When organizational events or activities
include alcohol, ensure that subordinates are aware that the 0-0-1-3 guideline is to be followed
by all members. In other words, this policy promotes thought instead of mindless drinking.
Lead by Example
Work center leaders and supervisors must support Air Force
policy on substance misuse by employing appropriate measures
to prevent occurrence in their areas of responsibility.
Supervisors must realize that the example they set will go a long
way toward younger Airmens compliance with policy. Senior
NCOs, supervisors, commanders and first sergeants who enforce
rules they dont follow themselves set the squadron up for
serious discipline problems.
Glamorizing alcohol use, exceeding limits at squadron functions, or bragging about weekend
binges undermines good order and discipline. Supervisors must demonstrate and promote zero
tolerance for drug misuse of any kind. Supervisors should also ensure compliance with all
applicable Air Force, DOD, and other governing instructions and directives.
Education
One way you can implement
prevention is by continuously
educating your Airmen. As a
leader, you should effectively
educate subordinates about
substance misuse issues. This
will help incorporate personal,
or at least relevant, examples
of substance misuse incidents
into safety briefings.
In these briefings, you could
also describe and detail
expenses incurred from
substance misuse incidents, and ensure new personnel receive these thorough briefings upon
arrival to your unit. It may also help to post visual aids in the work center explaining Air Force
policy on substance misuse and conduct periodic discussions on the harmful effects of substance
misuse impacting the work center environment.
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Deglamorization
Deglamorizing alcohol is another method supervisors can employ to minimize the impact of
substance misuse on the mission. Some examples explaining how you can practice and advocate
the de-glamorization of substance misuse include being responsible
about drinking at social outings. When sponsoring a social event,
ensure nonalcoholic drinks are also available and share the
consequences of risky behavior. Be responsible for your guests by
not serving intoxicating drinks after a specific time. Never promote
alcohol-drinking contests; in fact, dont promote drinking at all!
Leading by example is an effective way to minimize the impact of
substance misuse in your work center. Your subordinates are
constantly observing, evaluating, and imitating your lifestyle.
Demonstrating discipline and self-control by avoiding the excessive
consumption of alcohol is a right place to start.5 Educating, de-glamorization, and leading by
example are prevention steps that can have far-reaching effects.
Documentation
You are responsible for documenting behavior or conduct that is outside established military
standards. Failure to do so is a critical misstep that often occurs because the supervisor is trying
to be nice. At times, you may feel that if you document things you are contributing to
problems when, in reality, documentation and early intervention can often curb problems before
they get out of control.
An important question to ask is, How many times should this behavior go unchecked before
documentation is necessary? Its hard to document a first incident when subsequent incidents
have occurred (backdating, pencil-whipping). You should document behavior associated with
substance misuse after the first incident in order to:
Alleviate regrets
How might delaying or failing to document substance misuse behavior associated with substance
misuse affect the work center?
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Actions
If you suspect that alcohol is having an impact on one of
your subordinates, early counseling is a valuable tool.
Outlining concerns, asking questions, and listening in a
nonthreatening environment may be just the thing needed
to propel them toward getting help. At this early stage,
options for self-identification are still available to the
member, thus reducing the disciplinary impact on the
members career and stress on the unit.
If there has been an incident, such as alcohol-related
tardiness to work, DUI, or drunkenness on duty,
immediate referral, documentation, and action are
required. Any suspected drug abuse requires immediate
action by the supervisor.
Self-identification
Commander referrals
Medical identification
Substance-related incidents
Drug-testing
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Responsible behavioral
patterns
Environment of open
communication
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However, supervisors armed with substance misuse identification skills make the best
identifications and can better help their subordinates get treatment as well as keep the mission of
the work center on track.
Supervisors must be aware of signs that may signal a problem with alcohol or drugs. By
knowing your personnel, you have the most important supervisory tool for detecting problems.
Outward signs of substance misuse may include:
Promote readiness and health and wellness through the prevention and treatment of
substance misuse
Minimize the negative consequences of substance misuse to the individual, family, and
organization
Return identified substance misusers to unrestricted duty status or to assist them in their
transition to civilian life, as appropriate
The ADAPT program is designed to identify and help individuals before their alcohol or drug
problem causes significant damage to their health and career.8
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These behaviors can have a negative effect not only on the individual, but also on the unit as a
whole. They can also lead to other issues, such as increased misuse behaviors, family
disturbances, and suicide.
So far, you have identified prevention and identification as vital methods supervisors must use to
minimize the impact of substance misuse on work center effectiveness. Next, you will examine
another method that will help minimize the impact of substance misuse on your subordinates.
Intervention
You have the responsibility to intervene when you suspect substance misuse. As defined above,
intervention is the processes of helping the member recognize, at the earliest possible moment,
that he or she needs treatment for self-destructive drinking or drug abuse. This professionally
structured event includes significant others in the members life. To borrow from a phrase,
intervention is where the rubber meets the road when it comes to combating substance misuse.
Intervention is an active process to minimize the impact of substance misuse. The process
includes effective communication, referral, and treatment.
Roles and Responsibilities of Leaders in the Intervention Process
The ADAPT program refers all service members for assessment when substance use is suspected
to be a contributing factor in any incident, e.g., DUI, public
intoxication, drunk and disorderly, spouse/child abuse and
maltreatment, under-age drinking, positive drug test, or when
notified by medical personnel.
Direct drug testing is done within 24 hours of suspected alcohol
related incidents of misconduct, episodes of aberrant or bizarre
behavior, or where there is reasonable suspicion of drug use and
the member refuses to provide consent for testing. Commanders
are also encouraged to ensure Blood Alcohol Tests (BAT) is taken as soon after the incident as
possible to determine the level and intensity of alcohol involvement.
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Progress Check
13. How does the Air Force define substance misuse?
14. Why is it important for Air Force members to know how the Air Force defines substance
misuse?
15. Why do you think the Air Force makes this distinction between those that exhibit
substandard behavior that occurs while drinking is labeled alcohol abuse, when many people
would just consider that acting drunk or making fools of themselves?
16. What are your responsibilities in the intervention process as it relates to substance misuse?
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18. How can this guideline help you prevent possible alcohol problems in your work center?
19. How would you describe the Air Forces approach to preventing substance misuse?
20. How can leaders effectively educate subordinates about substance misuse issues?
21. What are some examples of how enlisted leaders can practice and advocate the deglamorization of substance misuse?
23. What are the five methods used by the Air Force to identify substance misuse?
24. What are some observable behaviors that may help to identify substance misuse issues
affecting your subordinates?
25. What signs of substance misuse have you heard about or observed in your work center?
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27. Why should you document behavior associated with substance misuse after the first incident?
28. How might delaying, or failing to document behavior associated with substance misuse affect
the work center?
29. How might identifying substance misuse affect work center performance?
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32. As an NCO/leader, what are effective methods to communicate your observations concerning
substance misuse issues with a suspected misuser?
33. What are the primary objectives of the Air Force ADAPT Program?
35. What factors might a commander consider when deciding whether to let someone continue
service?
36. What is the positive impact of substance misuse intervention on work center effectiveness?
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37. What are some possible negative impacts of substance misuse intervention on work center
effectiveness?
38. How would you summarize the impact of substance misuse on:
Mission and Readiness
Morale
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39. One way supervisors can implement prevention is by continuously Educating their Airmen.
Deglamorizing alcohol is another method supervisors can employ to minimize substance
misuses impact on the mission. Also, Leading by example is an effective way to minimize
the impact of substance misuse in your work center. Categorize each example using E, D, or
L.
______ Incorporate personal, or at least relevant, examples of substance misuse incidents
into safety briefings
______ Be responsible for your guests by not serving alcoholic drinks after a specific
time
______ Conduct periodic discussions on harmful effects of substance misuse impacting
the work center environment.
______ Describe and detail expenses incurred from a substance misuse incident
______ Dont promote alcohol-drinking contests
______ Dont promote drinking at all
______ Ensure new personnel receive thorough briefings upon arrival to the unit
______ Less time spent on administrative actions
______ Post visual aids in the work center explaining Air Force policy on substance
misuse
______ Promote responsible behavioral patterns
______ Provide an environment of open communication
______ Responsible drinking at social outings
______ Share consequences of risky behavior
______ When sponsoring a social event, ensure nonalcoholic drinks are also available
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Stress Management
Stress is defined as the reaction peoples bodies experience
to an external demand by the continually changing
environment. It has physical and emotional effects on
people and can create positive or negative feelings or
behaviors.
As a positive influence, stress can compel people to action; it
can result in a new awareness and an exciting new
perspective. As a negative influence, it can result in feelings
of distrust, rejection, anger, and depression, which can lead to health problems such as
headaches, upset stomach, rashes, insomnia, ulcers, high blood pressure, heart disease, and
stroke.
With the death of a loved one, the birth of a child, a job promotion, a new relationship, or even
winning the lottery, people experience stress as they adjust their lives. In adjusting to different
circumstances, stress will help or hinder you depending on how you react to it.
The word eustress describes positive stress. Eustress results from
exhilarating experiences. Eustress is the stress of winning and
achievingfor instance, inheriting a large amount of money or
receiving an unexpected promotion. On the contrast, negative
stress is distress. Distress is the stress of losing, failing,
overworking, and not coping. Distress affects people in a
negative and often harmful manner. Everyone experiences
distress from time to time; its a normal, unavoidable part of
living.
Eustress describes
positive or healthy stress.
Distress describes
negative stress.
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In todays fast-paced world, stress is a common factor in most peoples lives. Unfortunately,
comments such as, Im all stressed out, Boy, am I stressing today! and the like are frequently
heard both on and off duty. Because of the prevalence of stress and the negative impact it can
have on people and organizations, stress management must be a major concern of all leaders.
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Task demands
Role demands
Interpersonal demands
Organizational structure
Organizational leadership
Individual factors are another category that makes up an individuals personal life. Primarily,
this focuses on family and personal economic problems. National surveys consistently indicate
that family and personal relationships are very important to people. Marital difficulties,
relationship problems, financial worries, and discipline troubles with children are examples of
personal problems that create stress for individuals and problems that most people cannot just
leave at the front door of their work centers.
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Although organizational and personal factors cause enormous amounts of stress, not everybody
reacts to them the same. The typical individual works about 40 hours a week. The experiences
and problems that people encounter in those other 128 non-work hours each week can spill over
to the job.
National surveys consistently show that people hold family and personal relationships dear.
Marital difficulties, the breaking off of a relationship, and discipline troubles with children are
examples of relationship problems that create stress for individuals when problems arent left at
the front door when they arrive at work.
Another set of personal troubles that can create stress for individuals and distract their attention
from their work is economic problems created by overextending financial resources. Regardless
of income levelpeople who make $50,000 a year seem to have as much trouble handling their
finances as those who earn $15,000some people are poor money managers or have wants that
always seem to exceed their earning capacity.13
Why do people react differently to various stressors? You should understand that stress will not
occur if the individual does not perceive a situation as a stressor. People perceive things as more
or less stressful based on personal experience, values, temperaments, etc. Some people believe
they can control a situation, where others feel the outcome is out of their control. Although
people all react differently to various stressors, the stress itself shows up as Physiological,
Psychological and Behavioral Symptoms.
Physiological Symptoms
Most of the early concerns with stress were directed at physiological symptoms. This was
predominately because the topic was researched by specialists in the health and medical sciences.
This research led to the conclusion that stress
could create changes in metabolism, increase
heart and breathing rates, increase blood
pressure, bring on headaches, and induce
heart attacks.
The link between stress and particular
physiological symptoms is not clear. There
are few, if any, consistent relationships. This
is attributed to the complexity of the
symptoms and the difficulty of objectively
measuring them.
Psychological Symptoms
Stress can cause dissatisfaction. Job-related stress can cause job-related dissatisfaction. Job
dissatisfaction, in fact, is the simplest and most obvious psychological effect from stress.
However, stress shows itself in other psychological states, such as tension, anxiety, irritability,
boredom, and procrastination.
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Individual Approaches
An individual can take personal responsibility for reducing his or her stress level. Individual
strategies that have proven effective include implementing time management techniques,
increasing physical exercise, relaxation training, and expanding the social support network.
Time Management
Many people manage their time poorly. The things they
have to accomplish in any given day or week are not
necessarily beyond completionif they manage their time
properly.
The well-organized individual can often accomplish twice as
much as the person who is poorly organized. Therefore, an
understanding and utilization of basic time management
principles can help individuals better cope with job demands.
A few of the more well-known time management principles
are:
1. Make daily lists of activities to be accomplished.
2. Prioritize activities by importance and urgency.
3. Schedule activities according to the priorities set.
4. Know your daily cycle and handle the most demanding parts of your job during the high part
of your cycle when you are most alert and productive.
Physical Exercise
Noncompetitive physical exercise, like aerobics,
power walking, jogging, swimming, and bicycle
riding have long been recommended by physicians
as ways to deal with excessive stress levels. These
forms of exercise increase heart capacity, lower atrest heart rate, provide a mental diversion from
work pressures, and offer a means to let off
steam.
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Relaxation Training
Individuals can teach themselves to relax through techniques such as meditation, hypnosis, and
biofeedback. The objective is to reach a state of deep relaxation where one feels physically
relaxed, somewhat detached from the
immediate environment and detached from
body sensation.
Deep relaxation for 15 to 20 minutes a day
releases tension and provides a pronounced
sense of peacefulness. More importantly,
significant changes in heart rate, blood
pressure, and other physiological factors result
from achieving the deep relaxation condition.
Social Support
Having friends, family, or work colleagues to talk to provides an outlet when stress levels
become excessive. Expanding your social support network, therefore, can be a means of tension
reduction. It provides you with someone to hear your problems and provide a more objective
perspective on the situation. Research also demonstrates that social support moderates the stressburnout relationship. That is, high support reduces the likelihood that heavy work stress will
result in job burnout.15
Organizational Approaches
Several of the factors that cause stressparticular task and role demands and organizational
structureare controlled by management. As such, they can be modified or changed. Strategies
that management might want to consider include improved personnel selection and job
placement, use of realistic goal setting, job redesign, improved organizational communication,
and establishment of corporate wellness programs.
Selection and Placement
While certain jobs are more stressful than others, individuals often differ in their responses to
stressful situations. It is known, for example, that people with little experience, an external locus
of control, or Type A behavior tend to be more prone to stress. These facts should be taken into
consideration when making decisions concerning personnel selection and placement. While
management should not restrict hiring to only experienced individuals with an internal locus of
control who exhibit Type B behavior, such individuals may adapt better to high-stress jobs and
perform them more effectively.
Goal Setting
Based on an extensive amount of research, individuals perform better when they have specific
and challenging goals and receive feedback on how well they are progressing toward these goals.
The use of goals can reduce stress as well as provide motivation.
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Feedback related to specific goals reduces uncertainties concerning actual job performance. The
result is less individual frustration, role ambiguity, and stress.
Job Redesign
Redesigning jobs to give individuals more responsibility, greater participation in decision
making, more meaningful work, more autonomy, and increased feedback can reduce stress,
because these factors provide greater control over work activities and lessen dependence on
others. However, as noted in the discussion of job design, not all individuals want enriched jobs.
The right job redesign for individuals with a low need for growth might be less responsibility and
increased division of labor. If individuals prefer structure and routine, reducing skill variety
should also reduce uncertainties and stress levels.
Organizational Communication
Increasing formal communication reduces uncertainty by lessening role ambiguity and role
conflict. Given the importance perceptions play in moderating the stress-response relationship,
management can also use effective communications as a means to shape individual perceptions.
Remember that what individuals categorize as demands, threats, or opportunities are merely an
interpretation, and that interpretation can be affected by the symbols and actions communicated
by management.
Wellness Programs
The final suggestion is to offer organizationally sanctioned and supported wellness programs.
These programs focus on the individuals total physical and mental condition. For example, they
typically provide workshops to help people quit smoking, control alcohol use, lose weight,
improve diet, and develop a regular exercise program. The assumption underlying most wellness
programs is that individuals need to take personal responsibility for their physical and mental
health. The organization is merely a vehicle to facilitate this end.
Not all organizations, of course, are devoted to the welfare of others. They expect a payoff from
their investment in wellness programs. A number of large corporations, including Campbells
Soup, General Motors, Burlington Industries, and Johnson & Johnson, report substantial
reductions in stress-related illnesses and associated health problems because of their wellness
programs.16
Many things can cause stress in peoples everyday lives. While at home station, Airmen deal
with the many stressors discussed above. If those stressors are not handled properly, they can
lead to unproductive work within the organization as well as serious health problems. Another
type of stress unique to military members is stress that comes from the current operations tempo
that requires frequent deployments. These deployments have the potential to involve direct
combat. It is important to know, understand and be able recognize combat and operation stress
and the effects it could have on Airmen and their families.
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Being responsible for the death of serious injury of a non-combatant or allied combatant
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These risk factors can lead to behaviors that are a direct result of various stressors experienced
while deployed. The reaction to these risk factors may vary depending on the person and the
situation. Combat Stress Reactions (CSR) are a natural result of exposure to combat conditions.
Air Force leaders need to be familiar with these potential reactions to stress. Some of these
reactions include:
Anxiety
Appetite changes
Irritability
Unclear thinking
Sleep troubles
Warning Signs
As a leader, it is important to recognize any warning signs that Airmen may display when
experiencing combat/operational stress. When a leader recognizes the following warning signs,
they have a better chance of preventing or at least minimizing CSRs. Some of those warning
signs are as follows:
Hyperactivity
Hallucinations
Reckless behavior
Memory loss
Misconduct
Poor hygiene
Loss of feelings
in limbs
Significant mood
changes
Trembling or cowering
Loss of mobility
Withdrawal
Inability to sleep or
fear of sleep
Spaced out
appearance
Depression
Apathy
Emotional Outbursts
Irritable or angry
outburst
Confusion
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Sadness
Anger
Anxiety
Depression
Nervousness
Children of deployed members may show various reactions, such as changes in:
Sleep habits
Eating habits
Interests
Behaviors
Energy
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They also may act out in school, show withdrawal from various activities, or show signs of
depression. If these reactions are evident in either the adults or children, leaders should refer the
members to Life Skills or a Chaplain. Other situations that may be potential sources of problems
at home for deployed Airmen and their families are as follows:
Poor communication
Dissolution of marriage
Medical problems
Leaders play a huge role in minimizing the amount of combat and operational stress Airmen and
their families incur. Preventive measures are best way to deal with the stressors caused by
deployments. It is important for leaders to keep the lines of communication open to ensure
Airmen are comfortable to share what may be causing them to stress. Another common problem
caused by combat and operational stress is posttraumatic stress disorder (PTSD).
PTSD is an anxiety disorder that may occur in an individual following exposure to a traumatic
event. A traumatic event is anything the individual deems scary or horrible where they feel their
or others lives are in danger. The person may feel they have no control over the outcome of the
situation. Some events that may cause PTSD include:
Terrorist attack
An individual may feel scared, angry, or confused following any of these events and if these
feelings persist over time, they may have PTSD. Only some people exposed to such events
develop PTSD.
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PTSD sufferers usually re-experience the event in some way, usually avoid people, places, or
things that may remind them of the event and are usually very sensitive to normal life
experiences. Obtaining PTSD depends on several factors:
How much help and support you got after the event
Leaders are responsible to recognize when Airmen show warning signs or symptoms of PTSD.
The US Department of Veteran Affairs National Center for PTSD lists four types of PTSD signs
and symptoms:
Reliving the Event (Also Called Re-experiencing Symptoms):
An individual may have bad memories of the event at any time. They may feel the same horror
or fear felt when the event first occurred. It may involve nightmares, feeling as if you are
repeating the event again (flashback), or something may trigger the event. Some triggers
include:
Seeing a car accident reminding them of a crash survivor or their own accident
Seeing a news report of sexual assault bringing back memories of assault for a woman
who was raped.
A person who was in an earthquake may avoid watching television shows or movies in
which there are earthquakes.
A person who was robbed at gunpoint while ordering a hamburger drive-in may avoid
fast-food restaurants.
Some people may keep very busy or avoid seeking help. This keeps them from having to
think or talk about the event.
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Feeling Numb:
You may find it hard to express feelings. This is another
way to avoid memories.
Feeling numb
Hyperarousal
In addition to the signs and symptoms listed above, PTSD can cause many other common
problems in individuals. Some of those problems include drinking and drug problems, feeling
hopeless, shame or despair, employment problems, relationship problems to include divorce and
violence, and various physical symptoms.
Supervisors are to be very familiar with these symptoms. The only way to truly know if any of
your Airmen are experiencing any of these
problems is to get to know them and ensure
you create an atmosphere of open
communication. If you suspect your
Airmen of having PTSD, encourage them
to seek assistance with the various
appropriate referral agencies listed under
the basic support sources section of this
student guide.
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Leaders and supervisors should offer to accompany their Airmen to these agencies if they show
any signs of reluctance due to embarrassment or shame. Deployment stress is a growing concern
in the Air Force with the high operations tempo and frequent deployments. These deployments
can also lead to possible substance misuse issues.
SELF-REFLECTION OPPORTUNITY: Todays Airmen are faced with many difficult
situations, with wars on multiple fronts, deployments, and reduction in force, as well as
personal issues it has caused. How can you use the training on suicide awareness, substance
abuse, and stress management enhance your effectiveness as an NCO?
Progress Check
40. From your reading, how would you define stress?
Task demands
Role demands
Interpersonal demands
Organizational structure
Organizational leadership
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43. Although people all react differently to various stressors, the stress itself shows up as
Physiological, Psychological and Behavioral Symptoms. Identify the symptom based on
these choices.
Type of Stressor
Symptom
_________________________ anxiety
_________________________ boredom
_________________________ changes in eating
_________________________ changes in metabolism
_________________________ changes in productivity
_________________________ dissatisfaction (job, relationships, etc)
_________________________ headaches/backaches
_________________________ increased blood pressure/heart attacks
_________________________ increased heart and breathing rates
_________________________ irritability
_________________________ procrastination
_________________________ rapid speech
_________________________ tension
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44. How would you explain the differences among risk factors, behaviors associated with
combat/operational stressors, and warning signs? Identify the following as risk, behaviors
and warning signs.
Type of Behavior
Stressor Examples
________________
________________
________________
Anxiety
________________
Appetite changes
________________
________________
Diminished confidence
________________
________________
Handling remains
________________
Hyperactivity
________________
Irritability
________________
________________
Memory loss
________________
Misconduct
________________
Poor hygiene
________________
Reckless behavior
________________
________________
Sleep troubles
________________
Withdrawal
________________
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45. It is also important for leaders to recognize warning signs or symptoms of Post Traumatic
Stress Disorder or PTSD. The US Department of Veteran Affairs National Center for PTSD
lists four types of PTSD signs and symptoms. Categorize the following examples based on
these four types.
Type of PTSD
PTSD Examples
______________
______________
Easily startled
______________
______________
______________
______________
______________
______________
______________
______________
______________
______________
______________
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Human Relations
The basic definition of human relations is very simple: the relations
between two or more people. In the Air Force, the goal of every
supervisor is for human relations to have a positive connotation.
Indications of appropriate human relations include:
1.Genuine concern for people
2.Acquiring knowledge about, and respect for, the backgrounds,
values, goals, needs, and skills of subordinates
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7.Setting a personal example that will generate a sense of pride and commitment to the Air
Force
8.Exercising the level of authority necessary to accomplish the mission, but always with
respect for the people who are the objects of your leadership
An absence of these indicators should cause military professionals to examine their work centers
for potentially harmful human relations issues, like discrimination and sexual harassment.
includes
discrimination based
on color, national
origin, race, religion,
or sex.
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Sexual Harassment
Sexual harassment is a form of sex discrimination that violates Title VII of the Civil Rights Act
of 1964, as amended, and AFI 36-2706, Military Equal Opportunity Program.
Sexual harassment can occur in a variety of circumstances including but not limited to the
following:
1.The victim, as well as the harasser, may be a woman or a man. The victim does not have to
be of the opposite sex.
2.The harasser can be the victims supervisor, an agent of the employer, a supervisor in another
area, a coworker, or a nonemployee.
3.The victim does not have to be the person harassed but could be anyone affected by the
offensive conduct.
4.The harassers conduct must be unwelcome.
It is helpful for the victim to inform the harasser directly and swiftly that the conduct is
unwelcome and must stop. The victim should use the chain of command, military equal
opportunity, or other available grievance system to resolve sexual harassment.
Prevention is the best tool to eliminate sexual harassment in the workplace. Supervisors are
encouraged to take steps necessary to prevent sexual harassment from occurring.
They should clearly communicate to subordinates that the Air Force will not tolerate sexual
harassment. They can do so by establishing an effective complaint or grievance process and
taking immediate and appropriate
action when a subordinate complains.
Almost every task required to
accomplish the mission requires some
kind of interaction between people.
Understanding EO/Human Relations
Issues is essential to managing units
effectively. The interaction between
personnelthe way you relate to your
subordinates, the way they relate to
you, and the way they relate to one
anothercan make or break a team. Hopefully, this chapter has provided some information
about the types of issues NCOs must be able and willing to handle if they expect to successfully
meet their organizational objectives.
Progress Check
46. What are some ways the Air Force practices lawful discrimination?
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53. Why should NCOs scrutinize policies and procedures before implementing and/or enforcing
them?
54. Sexual harassment is a form of sex discrimination that involves unwelcome sexual advances,
requests for sexual favors, and other verbal or physical conduct of a sexual nature when three
specific things occur. List and describe those three things.
55. What are some verbal, nonverbal, and physical behaviors associated with sexual harassment?
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56. The first column contains a statement that could be substantiated as sexual harassment. Place
the statement under the correct heading of It could be, if or It probably isnt, if.
Sexual Harassment?
It could be, if
It probably isnt, if
Repetitive
Single incident
One-sided
Mutual
Unwanted
Acceptable
Intimidating
Agreeable
Cant get offender to stop
Person says stop, and
offender stops
57. Why must you be concerned with sexual harassment in your organization?
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58. How have you seen human relations incidents impact work centers throughout your career?
59. Concerning human relations issues, what must be your primary focus as a supervisor and
leader?
60. How would you explain the complaint process when dealing with unlawful discrimination
and/or harassment?
61. What are your responsibilities as a supervisor/leader as it relates to equal opportunity and
treatment?
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Success: Airmen are winners when they are at their best and take care of each other.
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Set a climate in which all Air Force members are treated with respect. Watch for warning signs
of a potential sexual assault and intervene early especially where alcohol is present. Let the
safety of your Airmen, the efficiency of your unit, and the integrity of the Air Force motivate
you to take action.
Who is at fault? While there are things one can do to reduce the risk of sexual assault,
most of which are the same things done to ensure ones physical safety, the victim is
never to blame.
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Alcohol impairment may mean different things to different people. There is no specific blood
alcohol content level to establish that someone is incapacitated by alcohol to the point where
they cannot consent to sexual activity like there is for driving under the influence (DUI). So,
sometimes it is not clear whether someone who is drinking is incapacitated. In these cases,
assume that they are, and act responsibly and intervene.
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Your role in preventing sexual assault is three-fold: modeling appropriate behavior, dealing with
inappropriate behavior when it is brought to your attention, and teaching your subordinate
supervisors proper prevention and response.
The perpetrator is the criminal who assaults the victim. Often perpetrators calculate
carefully and their intentions are camouflaged by what seems like common social
behavior. In other words, they blend in. They groom their victims looking for
vulnerability and accessibility.
The bystander (witness) is a person who sees the potential for a sexual assault. The
bystander may want to act, but may not know what to do. Or perhaps he or she doesnt
feel responsible for the actions of others. However, everyone is responsible for each
others safety.
The victim is the person assaulted by the perpetrator. A victim of sexual assault doesnt
expect this kind of criminal act to take place. The victim is never at fault; no one asks to
be assaulted. This is the one crime in which society often blames the victim for her or
his behavior due to lack of understanding about the true nature of this crime and those
who perpetrate it.
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There is a difference. For example, risk reduction messages involve specific strategies:
women, dont leave your drinks unattended, while prevention messages refer more broadly to
changing social norms: both men and women, challenge rape-supportive attitudes and
behaviors that have the potential to harm fellow Airmen.
The truth is that both men and women, as leaders in the Air Force, have an important role to play
in the prevention of sexual assault. Men, in particular, can foster a climate among peers that
does not allow perpetrators to hide or to commit repeat offenses.
As a leader in the Air Force, you are responsible for preventing sexual assault by setting an
example with your own behavior and guiding the behavior of your subordinates as well. How
can you prevent sexual assault? First, set an example with your own behavior: refrain from
sexist and gender-biased comments and actions; coach and redirect when you hear or see this
behavior in others; and, if a situation seems dangerous to you, trust your intuition and intervene.
Second, actively encourage your subordinate supervisors to do the same.
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Once the immediate needs are taken care of, you should also be prepared for ongoing support of
the victim. Seek input from the victim about time-off for counseling or medical appointments
and any other issues that may impact her or his ability to perform military duties. Work with
your supervisor to support the victim through the recovery process.
Consider this list of Dos and Donts as a guide for you and your subordinate supervisors:
DONT:
DO:
Judge
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5. A victim can change their mind and elect to change a Restricted Report to an Unrestricted
Report.
*Family Advocacy provides Restricted and Unrestricted reports for victims of sexual assault
UNRESTRICTED
Confidential
Eligibility
Law enforcement
investigation
No
Yes
Command involvement
No
Yes
Medical exam
Forensic exam
Yes
Medical services
Available
Counseling services
Available
Available
Available
Available
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Sexual Assault
Response Coordinator
(SARC)
Victim Advocate
Victim Witness
Assistance Program
(VWAP) Liaison
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Sexual assault affects everyone: individuals, the unit, and the Air Force itself. This is why an
assault on any Airman is an assault on all Airmen. Perpetrators are more likely to carry out a
sexual assault in a climate that condones sexist jokes, sexist gender expectations, and other
disrespectful or harmful behavior. Be aware of the risk factors by staying informed of the
current trends/statistics from around the Air Force and at your base. You can find the most up to
date reports at www.sapr.mil. Your local base SARC is also a great resource, but dont forget
you can always reference DoDI 6495.02 for the most current SAPR Program procedures.
If you become aware of a sexual assault, respond sensitively to the victim, whether female or
male. Listen and suspend judgment. Take a stand against any disrespectful behavior toward
others, and coach your subordinate supervisors to do the same. We are responsible for
preventing sexual assault, and for responding sensitively and appropriately when it occurs. This
is a leadership issue.
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Progress Check
62. How does sexual, suggestive, or demeaning language and behaviors influence the climate of
a work center or a unit?
63. What skills and knowledge do subordinate supervisors need to help prevent sexual assault?
Respond to sexual assault?
64. As a leader, how can you support a climate that helps prevent sexual assault?
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67. With unrestricted and restricted reporting, the victim is entitled to medical treatment and
counseling. What are the important differences between the two?
69. How might trust and unit cohesion break down while a sexual assault is being investigated?
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Workplace Violence
Imagine a violent situation escalates in your work area. Would you be prepared to handle it
appropriately? These types of events are becoming more common in todays working
environment. While many of these events seemingly happen in the civilian sector, workplace
violence is a current issue in the Air Force.
Incidents involving fatalities in Myrtle Beach,
McGuire, Fairchild, and the Air Force Academy
illustrate that you, as supervisors, play a vital
role in recognizing potentially violent situations.
You should also know how to take proactive
measures in reducing the negative impact such
incidents might create.
While most incidents are limited to threats, the
Air Force must be prepared to react to the worst
case scenario. If the proper strategies are used,
many acts of violence can be prevented. One
major element in combating workplace violence
is good leadership. When good leadership
exists, it creates a healthy, productive workplace.
Leaders know the importance of keeping in
touch with their subordinates, ensuring they have
the proper skills necessary to accomplish their
jobs, assisting with any obstacles preventing task accomplishment, and showing concern and
fairness across the board. It is vital that leaders set clear standards, promptly address subordinate
issues, conduct timely performance counseling, and use discipline and other management tools
appropriately. All Air Force Airmen and civilians are obligated to provide a safe and healthy
working environment for the work force under the Occupational Safety and Health Act (OSHA).
Violence in the workplace sabotages morale, cohesion, and productivity, while even more
significantly it often results in a tragic loss of personnel. The Bureau of Labor Statistics offers
some chilling information about the private sector workforce; homicide is the leading cause of
death for women at work (42%). Today, more and more violence is occurring in Federal settings
as well.
Most fatalities occurring as a result of violence on Air Force installations were determined to be
extensions of domestic disputes. This points out that you can no longer assume individual duty
performance is somehow insulated from off duty behavior/problems.
These fatalities occurred at the employees work site or at public service offices (e.g., base legal
office). Examples of less lethal but equally disruptive incidents of workplace violence consisted
of shouting matches, sexual harassment, fist fights, bomb threats, sabotage, vandalism, stalking,
computer viruses, and assaults with a deadly weapon.
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Psychological research has consistently shown that change, even positive change, produces
discomfort that is stressful, which can cause emotional and physical illness. The pace and
intensity of change, combined with an uncertain economy, the downsizing of the work force and
the threat of possible job loss, and the impact of these events on the individual and family
indirectly translates into an undercurrent of anxiety, doubt, and even despair.
To compensate for these feelings, and compensate for very real feelings of helplessness in the
midst of these changes, some individuals resort to acts of intimidation often escalating to
violence. Everyone needs to be aware of their actions and the impact of those actions on their
Air Force coworkers.
Awareness and understanding will make people more sensitive to possible volatile situations.
Recognizing the warning signs, knowing how and where to obtain assistance, and taking
proactive steps will reduce incidents and make the Air Force an even more effective, efficient,
and caring place to serve the country. It is exactly now, during this time of intense change that
Air Force people need to know and see the concern for them.
With that in mind, this section will begin by defining common terms associated with workplace
violence then cover common factors and triggers that foster workplace violence. After that,
youll look at threat assessment protocol, methods for dealing with difficult people, and
observable behaviors of a potentially violent person. Next, the chapter will examine the theory
of negligent supervision, supervisor actions following a threat allegation, proactive steps to
prevent violence in the workplace, and wrap up with how to respond to violent acts in the
workplace.
Definitions
Definition of Workplace Violence:18
Workplace violence can be any act of violence, against persons or property, threats,
intimidation, harassment, or other inappropriate, disruptive behavior that cause fear for
personal safety and/or involve a substantial risk of physical or emotional harm to
individuals, or damage to government resources or capabilities.
Workplace violence most often involves aggressive behavior toward peers, subordinates,
supervisors, and other members of the workforce. This can range from verbal abuse to physical
violence.
Aggression may occur as a response to many situations. Common examples are when
individuals face the loss of a job, are passed over for promotion, or perceive favoritism toward
others in the work environment.
According to 2002 U.S. Department of Justice, Federal Bureau of Investigation report, specialists
have come to a consensus that workplace violence falls into the following four broad
categories:19
388
TYPE 1: Violent acts by criminals who have no other connection with the workplace but enter to
commit robbery or another crime.
TYPE 2: Violence directed at employees by customers, clients, patients, students, inmates, or
any others for whom an organization provides services.
TYPE 3: Violence directed against coworkers, supervisors, or managers by a present or former
employee.
TYPE 4: Violence committed in the workplace by someone who doesnt work there but has a
personal relationship with an employeean abusive spouse or domestic partner.
Assault is a violent physical or verbal attack, an unlawful threat, or an attempt to do violence or
harm to somebody else.
Aggravated Assault causes serious physical injury to another; using a deadly weapon or
dangerous instrument; committing an assault by any means of force that causes temporary but
substantial disfigurement, temporary but substantial loss or impairment of any body organ or part
or a fracture of any body part; committing an assault while the victim is bound or otherwise
physically restrained or while the victim's capacity to resist is substantially impaired.
Inaction means not taking action associated with workplace violence when warning signs are
evident.
Overconfidence happens when one responds to a workplace violence incident with an I can
handle it attitude when the right thing to do is consult with professional help.
Zero Tolerance Policy places all employees on notice that threats, assaults, or other acts of
violence, made directly or indirectly, even in jest, toward other employees or customers will
result in severe disciplinary action. Employees subjected to a threat or assault must immediately
report the incident to their commander. Employees are also encouraged to report any unusual
situation that has the potential to cause workplace violence.
Workplace Bullying is the repeated, unreasonable, and unwanted actions by individuals or groups
directed at individuals or groups with the intent to intimidate, harass, degrade, or offend.20 With
terms and definitions covered, there are factors and common triggers that foster workplace
violence.
Alcohol or drugs
Sleep deprivation.
Discrimination
Financial difficulties
Retirement concerns
389
390
391
392
DeBeckers JACA is a useful tool for predicting the likelihood of future violence.21 It is a
strong indication that future violence is likely whenever one or more of the letters (JACA) in the
model describe the subject (threatener). See the following table to understand what each letter
means.
(J) Perceived Justification:
Given the primary goal of preventing workplace violence, its important to recognize how and
why certain situations result in violence. In daily contact with subordinates, peers, supervisors,
customers, and so forth, you should anticipate confronting difficult situations from time to time.
By anticipating these situations, you can be proactive in preparing yourself and your
subordinates to deal with difficult situations. There are a number of actions you can take to keep
such encounters from escalating.
Workplace Bullying
Workplace Bullying is, in simple terms,
abuse or misuse of power and is
considered psychological violence. It
includes actions, decisions, and
behaviors such as unwarranted or invalid
criticism or blame without factual
justification, treating some members
differently than others, and excluding
certain members from events to isolate
them socially. It also includes physical
intimidation (proximal), shouting,
swearing and taking actions that
embarrass or humiliate the target.
Workplace bullying shows up in the form of practical jokes, micro-management, and/or
purposely withholding vital information, setting impossible goals for subordinates, blocking
potential training and/or promotion, and even tampering with a targets belongings. Some
examples of bullying are:
393
Excessive monitoring/micromanaging
Workplace bullying happens four times more often than illegal harassment yet many
employers/supervisors ignore it. Perhaps if more supervisors realized the impact bullying has on
their mission (absenteeism/high turnover, decreased productivity/morale, increased
physical/mental illnesses, increased accidents on the job, and even violence) they would take
action to stop workplace bullying.
Unfortunately, bullying in general is not illegal in the United States unless it involves harassment
based on race/color, creed (religion), national origin, sex, age (40+), disability, HIV/AIDS, or
Hepatitis C status. Workplace bullying is not the same thing as illegal harassment, which is
defined as offensive and unwelcome conduct serious enough to adversely affect the terms and
conditions of a persons employment. Its also not
about retaliation, which typically occurs only after
some adverse employment action.
Workplace bullying is all about control. The real
problem lies in identifying and stopping it. Bullies are
experts at looking innocent or being able to rationalize
(explain away) their behavior. Because bullying is not illegal, and because bullies are so clever,
its important for NCOs to know how to combat this particular kind of workplace violence.
Stopping workplace bullying begins with recognizing the behavior for what it is and then
documenting the behavior. Best practices include establishing a zero tolerance policy, clearly
defining acceptable/unacceptable workplace behavior, taking all complaints seriously, and
immediately addressing unacceptable behavior. Despite all the above, bullying and workplace
violence still occurs. When it does, its important to have a plan for dealing with difficult
people.
394
395
An individual who has threatened that some violent act or confrontation could happen
Just as in suicide, there is often plenty of warning that violence is about to erupt. Unfortunately,
too many supervisors or coworkers are intimidated by this type of individual and do not
appropriately confront him (almost always male), which only serves to reinforce the sense of
power through intimidation the avenger feels.
Another common but equally dangerous reaction of others is to downplay the likelihood of
violence with such armchair psychology as, thats just the way _____ is; he would never do
anything.
Research suggests that an individual with the propensity to commit homicides in the workplace
is typically a male in his 40s who is distrustful, paranoid, unable to accept alternative viewpoints,
and does not take responsibility for his shortcomings.
Generally seen as a loner, this person is obsessed by weapons, paramilitary gear and magazines,
and has made threats or otherwise expressed an intention to use violence to solve a problem at
work. However, they often do not have a history of actual mental illness or violent outbursts.22
Those who commit assaults in the workplace, but who do not hunt others down with intent to
inflict death tend to be younger males with a history of violence and who are possibly drug
involved.
A second, very real growing threat for workplace violence is not the aggrieved, terminated
employee described above, but the angry lover. A recent survey of security directors for 248
companies in 27 states found that 93% rated domestic violence as an increasing security problem
relative to other security issues. In addition, the Labor Departments Bureau of Labor Statistics
reports that slightly more than 10% of the men killed at work die of murder, but more than 40%
of women are murdered. Inaction by supervisors in these personal problems can prove fatal.23
396
397
398
Diversity Training and Conflict Resolution: Differences are critical if new ideas and new
procedures are to be generated in this ever-changing society. However, some workplace
violence stems from misunderstanding or outright prejudice. Leaders must tap into the myriad of
training available to educate the work force on diversity and conflict resolution.
Reducing Risk When Taking Disciplinary Action: Discipline often becomes a trigger event to
violence or retaliation. Always use effective counseling principles when taking disciplinary
action. It is especially important to remember that the true purpose of disciplinary action is
rehabilitative rather than punitive. Nevertheless, there are times when termination of
employment becomes necessary.
In light of the increasing threat of employment-related violence, consider the following when
dealing with members being involuntarily separated:
Be sensitive to the fact that involuntary separation is highly stressful to most people
Escort individuals from the location of the termination meeting to the exit of the
installation
If members are allowed to clean out their desk, room, office, etc, ensure they do so in
your presence
Recommend restriction from the installation when probable cause indicates terminated
members potential for violence
Evaluation
Units should have a mechanism in place to evaluate incidences and determine if everything was
done that could have been done to prevent the incident and to determine what can be done to
prevent it from happening again. Always include threat assessment and emergency response
teams as part of this process. Recognizing workplace violence and handling the actual event and
the aftermath are very important leadership responsibilities. Handling the process effectively
requires training, education, and the diligent application of the concepts discussed above.
Progress Check
71. Reflecting on what you have learned, develop an outline/draft workplace violence
intervention and prevention plan.
Section I: Prevention
399
400
Included in your response may be the three stages of crisis reaction following a violent
incident:
Stage One
Stage Two
Stage Three
401
402
q
Abuse, 327
Alcoholism, 327
Alcohol-Related Misconduct, 328
Anabolic Steroids, 327
Bold Face, 303
Combat Stress, 354
Commander Referrals, 334
Conflict Resolution, 398
Consent, 376
Depressant, 326
Distress, 346
Diversity Training, 398
Drug, 326
Drug Abuse, 328
Drug Paraphernalia, 327
Drug Testing, 334
Emotional Dimension, 307
Eustress, 346
Give Members a Voice, 397
Human Relations, 365
Interpersonal Demands, 347
Intervention, 327
Marijuana, 326
Marital Relationship/Counseling, 397
Medical Identification, 334
Narcotics, 327
Operational Stress, 354
References
AFMC Inspector General Handbook (1997). AF Wingman Its A Concept, Ch. 2
Air Force Instruction (AFI) 36-1201. Discrimination Complaints, 25 July 1994.
AFI 36-2618. The Enlisted Force Structure, 27 February 2009.
AFI 36-2706. Equal Opportunity Program, Military and Civilian, 5 October 2010.
AFI 36-6001, Sexual Assault Prevention, and Response (SAPR) Program, 14 October 2010
403
AFI 44-109 Mental Health, Confidential, and Military Law, 1 March 2000.
AFI 44-121. Alcohol and Drug Abuse Prevention and Treatment (ADAPT) Program, 8 July
2014.
AFI 44-154, Suicide and Violence Prevention, Education and Training. (2003)
Air Force Material Command. Inspector Handbook, 1 August 2007.
Air Force Medical Service (AFMS) Public Site. A Leaders Guide for Managing Personnel in
Distress. http://airforcemedicine.afms.mil.
AFMS Public Site. Critical Incidents/Death Unit Member/Pre-Exposure Preparation.
http://airforcemedicine.afms.mil/idc/groups/public/documents/webcontent/knowledgejunction.hc
st?functionalarea=LeadersGuideDistress&doctype=subpage&docname=CTB_030793&incbanne
r=0
AFMS Public Site. Deployment and Operational Stressors.
http://airforcemedicine.afms.mil/idc/groups/public/documents/webcontent/knowledgejunction.hc
st?functionalarea=LeadersGuideDistress&doctype=subpage&docname=CTB_030796&incbanne
r=0
AFMS Public Site. Stand Down 2010.
http://airforcemedicine.afms.mil/idc/groups/public/documents/afms/ctb_136078.pdf
Air Force Pamphlet (AFPAM) 36-2705. Discrimination and Sexual Harassment, 28 February
1995.
AFPAM 44-160 Air Force Suicide Prevention Program (2001).
afspp.afms.mil/idc/groups/public/documents/afms/ctb_056459.pdf
Air Force Policy Directive (AFPD) 36-27. Social Actions, 3 September 1993.
Air Force Portal. Violence in the Workplace. https://www.my.af.mil/gcss
af/USAF/ep/contentView.do?contentId=c6925EC17C5C10FB5E044080020E329A9&channelPa
geId=s6925EC13569D0FB5E044080020E329A9 As quoted by Captain Chad E Morrow, 42
MDOS/SGOMH (Thomas Joiner is author of this theory)
Budd, Frank., Lt Col (Dr.) Behavioral Sciences Flight Commander. Violence in the workplace; A
handbook for prevention and response. Developed by 437th Medical Operations Squadron
Charleston AFB, SC.
DeBecker, Gavin (1997). The Gift of Fear: Survival signals that protect us from violence. Little,
Brown and Co.
Department of Defense (DOD) Directive 1350.2. The Department of Defense Military Equal
Opportunity Program, 18 August 1995.
404
Department of Defense (DOD) Directive 6495.01. Sexual Assault Prevention and Response
(SAPR) Program, 6 October 2005.
Department of Labor and Industries (2008), Workplace bullying: What everyone needs to know.
Report # 87-2-2008. http://www.lni.wa.gov/safety/research/files/bullying.pdf
Department of the Air Force. United States Air Force Core Values. 1 January 1997.
Deployment Health Clinic Center. Air Force Combat Wingman Program Airmen Taking Care
of Airmen. http://www.pdhealth.mil/wingman_program.asp
Greenberg, Jerrold S. Comprehensive Stress Management. New York, McGraw-Hill, 2002.
Henshall, Joy, and Bernard Keys. Supervision: Concepts, Skills, and Assessment. New York,
John Wiley & Sons, 1990.
Internal Media Working Group, Air Force Strives to Raise Drug Abuse Awareness.
http://www.defense.gov/specials/drugawareness/usafnews01a.html
MedicineNet. Posttraumatic Stress Disorder
http://www.medicinenet.com/posttraumatic_stress_disorder/page4.htm
Miner, John B. Organizational Behavior: Performance and Productivity. New York,
Random House Inc., 1988.
National Institute for Occupational Safety and Health, StressAt Work,
http://www.cdc.gov/niosh/stresswk.html.
Robbins, Stephen P. Organizational Behavior: Concepts, Controversies, and Applications.
New Jersey, Prentice Hall, 1989.
United States Air Force Leaders Guide for Managing Personnel in Distress.
http://airforcemedicine.afms.mil/idc/groups/public/documents/webcontent/knowledgejunction.hc
st?functionalarea=LeadersGuideDistress&doctype=subpage&docname=CTB_030813&incbanne
r=0
United States Army Web site. Sexual Assault Prevention and Response Program.
http://www.sexualassault.army.mil.
United States Department of Defense Web site. Sexual Assault Prevention and Response.
http://www.sapr.mil/Homepage.aspx?Topic=Sexual%20Assault&SubTopic+Reporting%
20Options&PageName+reporting.htm.
United States Department of Veterans Affairs. What is PTSD?
http://www.ptsd.va.gov/public/pages/what-is-ptsd.asp
405
406
Formative Exercise
1. Although she has been extremely irritable as of late, most people enjoy being around SSgt
Hightower because of her outgoing personality. Normally a very successful AF recruiter,
Hightower missed her quota last month and now it looks like she will miss it again this
month. At a flight meeting, her flight chief MSgt Taylor, says, I am not happy with our
production! Taylor then points at Hightower and says, You have the worst record of
allnot only will you miss your quota again, youve lost two from the Delayed Enlistment
Program and are in danger of losing one more. Jumping to her feet, Hightower yells, I
dont appreciate you calling me out in front of othersI dont need thisI quit!
The scenario BEST illustrates ________ and their impact on NCO effectiveness.
a. organizational factors of stress
b. some of the warning signs of stress
c. individual factors of stress
2. TSgt Wyatt is the NCOIC of the Structural Repair training section. On Wednesday morning,
he overhears SrA Thornton loudly discussing how he had been drinking the night before.
Wyatt knows Thornton drinks but until now, he has never heard of him doing it on a
weeknight. Wyatt calls Thornton into his office and asks, Thornton, I overheard your story.
Is everything ok? Thornton responds, Yes sir, everything is fine. I went out drinking last
night, but I only had a few. Wyatt says, It sounded like you had more than a few.
Thornton replies, Its OK sir, Ive got it under control. Wyatt then says Just be careful,
and call me if you need anything Thornton comes to work the next morning and goes to
Wyatts office, hangs his head and says, Sir, I went out drinking again last night. I dont
know how much I had to drink, and dont remember how I got home. Its getting a little out
of control, but I dont know what to do. Can you help me?
Due to ___________, the MOST LIKELY outcome of this scenario is ______________.
a. a self-identification; the prevention of an alcohol related incident
b. a failure to self-identify; an alcohol related incident
c. an intervention; the prevention of an alcohol related incident
d. a failure to intervene; an alcohol related incident
407
3. On the way to her office, MSgt Brock hears sobbing coming from the womens restroom.
She enters to find SSgt Noble. Whats wrong? Ive never seen you behave like this
before, Brock asks. Noble responds, Nothing I do is ever enough. The more I try, the
worse things get. I cant seem to make ends meet since my husband left me. Shaking
uncontrollably, Noble removes a prescription bottle from her pocket and swallows a couple
of pills. I want to just go to sleep and never wake up, she says. I understand why youd
feel that way, Brock says. Im concerned about you. Are you thinking about hurting
yourself? Lets go to my office and talk. There are lots of support programs and services
that can help us work this out.
This scenario BEST illustrates ______________________and its impact on NCO
effectiveness.
a. warning signs of suicide
b. improper or illegal use of drugs
c. behavioral symptoms of stress
4. At this weeks Roll Call Chief Jordan briefs that there has been a recent incident of
harassment in the workplace. The Chief emphasizes that all Airmen should be treated the
same irrespective of their color, national origin, race, religion, or sex. Additionally, he states
that no members should be excluded from events and activities, and that all work center
members should come forward with complaints without fear of retaliation. The Chief closes
by stressing that the way team members relate to one another can make or break a unit.
The Chiefs briefing BEST explains __________________ and its impact on unit
effectiveness.
a. workplace bullying
b. unlawful discrimination
c. sexual harassment
408
Spiritual
Social
Physical
409
410
- Know and promote protective factors, recognize warning signs of suicide and be willing to
take appropriate action to be good a Wingman
- Must instill and support a culture that believes asking for help is a strength NOT a
weakness, and you must expose and eliminate the myths surrounding the implications of
seeing mental health providers
- Ensure Airmen understand: (1) that seeking help is encouraged and not a statement that
they are somehow incompetent; and (2) that negative career impact for seeking counseling
is unlikely when Airmen seek help on their own and when it occurs before any misconduct
8. Your response should center on:
Fear
- Helplessness: I cant do anything to help
- Hopelessness: Nothing I do matters
Anxiety
- Over-protectiveness: Reduce autonomy
- Under-protectiveness: Casual avoidance
Anger
- Lack of compassion: Inability to care
- Criticism: Blaming
9.
DO NOT
DO
Keep secrets
Get help.
411
412
413
- Provide pertinent information to the ADAPT office on patients duty performance, on and
off duty behavior, drinking patterns or other incidents
- Report all slips and relapses so the treatment team can assist the member to get back on
track before an incident occurs
414
415
416
417
418
419
420
Be responsible for your guests by not serving alcoholic drinks after a specific
time
Ensure new personnel receive thorough briefings upon arrival to the unit
Post visual aids in the work center explaining Air Force policy on substance
misuse
When sponsoring a social event, ensure nonalcoholic drinks are also available
421
422
Symptom
psychological
anxiety
psychological
boredom
behavioral
changes in eating
physiological
changes in metabolism
behavioral
changes in productivity
psychological
physiological
headaches/backaches
physiological
physiological
psychological
irritability
psychological
procrastination
behavioral
rapid speech
psychological
tension
423
44.
Type of Behavior
Stressor Examples
Risk Factors
Warning Signs
Behaviors
Anxiety
Behaviors
Appetite changes
Risk Factors
Behaviors
Diminished confidence
Behaviors
Risk Factors
Handling remains
Warning Signs
Hyperactivity
Behaviors
Irritability
Behaviors
Warning Signs
Memory loss
Warning Signs
Misconduct
Warning Signs
Poor hygiene
424
Warning Signs
Reckless behavior
Warning Signs
Behaviors
Sleep troubles
Warning Signs
Withdrawal
Risk Factors
45.
Type of PTSD
PTSD Examples
Hyperarousal
Easily startled
Hyperarousal
Hyperarousal
Feeling Numb
Feeling Numb
Feeling Numb
Avoiding Situations
Avoiding Situations
425
Feeling Numb
426
- Treating members of one particular religious group better or worse than members of a
different religious group
- Providing less support (e.g. on-the-job-training) to individuals of a particular group, and
thus setting them up for failure by limiting their ability to progress in training
- Placing targeted group members in jobs that do not provide progression, recognition, or
increased levels of responsibility.
- Purposely withholding critical information from a targeted individual, resulting in the
individual looking bad in the eyes of others, especially superiors
50. Your response should center on:
Actions by an institution (or system) that through its policies or procedures, deprive a person
or group of a right because of (that persons or groups) color, national origin, race, religion,
or sex. Such Discrimination can occur overtly, intentionally, or unintentionally.
51. Your response should center on:
- Base chapel prohibits use of its facilities by all religious groups except Jewish, Protestant,
and Catholic.
- Squadron policy prohibiting women from operate heavy equipment.
52. Your response should center on:
By helping to establish, implement, and enforce policies, procedures, rules, and laws that
unlawfully discriminate
53. Your response should center on:
- Because you represent the system and as such, you must ensure the system does not
discriminate either intentionally or unintentionally.
- In addition, others may perceive an NCO as practicing discrimination via association with
the institution if the NCO fails to scrutinize and correct unlawful policies or procedures.
427
It could be, if
It probably isnt, if
Repetitive
Repetitive
Single incident
Single incident
One-sided
Mutual
One-sided
Unwanted
Acceptable
Mutual
Intimidating
Agreeable
Unwanted
Acceptable
Intimidating
Agreeable
Cant get offender to
stop
428
429
430
431
432
433
434
Stage Three. This is the reconciliation stage in which employees try to make sense out of
the event, understand its impact, and through trial and error, reach closure of the event so it
does not interfere with their ability to function and grow. This stage may be a long-term
process.
Section IV: Follow-up / Evaluation
Comprehensive workplace violence intervention and prevention plans include a mechanism:
- To evaluate what took place to determine if everything was done that could have been done
to have prevented the incident and to determine what can be done to prevent it from
happening again
- That requires regular evaluation and updating of the plan
- To identify lessons learned and procedures for debriefing participants
- To review policies on troubled employees and crisis response actions
435
436
3. CORRECT ANSWER: a
RATIONALE:
a. This answer is CORRECT. This scenario best illustrates the warning signs of
suicide, which according to the Emergent Leadership chapter, include thoughts of
suicide, a suicide plan, and access to the method of suicide described. Brock
recognizes these warning signs and offers to help Noble, as every good Wingman
should.
b. This answer is INCORRECT. There is no indication of substance misuse, which
according to the Emergent Leadership chapter, refers to any pattern of unconventional
misuse of any substance for nonmedical purposes that produces a known health risk or
constitutes a danger to self or others. Noble has prescription medication and has shown
no signs of misuse as yet. See rationale for correct answer for additional information.
c. This answer is INCORRECT. Although Brock mentions Nobles behavior has changed,
nothing in the scenario indicates behavioral symptoms , which according to the Emergent
Leadership chapter, include changes in productivity, absence, and turnover, as well as
changes in eating habits, increased smoking or consumption of alcohol, rapid speech,
fidgeting, and sleep disorders. See rationale for correct answer for additional
information.
4. CORRECT ANSWER: b
RATIONALE:
a. This answer is INCORRECT. According to the Emergent Leadership chapter, workplace
bullying includes actions, decisions, and behaviors such as unwarranted or invalid
criticism or blame without factual justification; treating some members differently than
others, and excluding certain members from events to isolate them socially. It also
includes physical intimidation (proximal), shouting, swearing and taking actions that
embarrass or humiliate the target. Workplace bullying, in general, is not illegal.
b. This answer is CORRECT. The briefing BEST explains unlawful discrimination,
which according to the Emergent Leadership chapter, includes discrimination based
on color, national origin, race, religion, or sex.
c. This answer is INCORRECT. According to the Emergent Leadership chapter, sexual
harassment is a form of sex discrimination that involves unwelcome sexual advances,
requests for sexual favors, and other verbal or physical conduct of a sexual nature in
certain circumstances (listed in the chapter). The harasser may be a man or a woman, and
the victim does not have to be of the opposite sex.
437
Definition
ADAPT
Chaplain Services
Family Advocacy
438
439
440
441
End Notes
1
As quoted by Captain Chad E Morrow, 42 MDOS/SGOMH (Note: Thomas Joiner is the author
of this Theory)
Ibid., 3-5.
Air Force Instruction (AFI) 36-2618, The Enlisted Force Structure, 6-8.
Ibid.,
AFI 44-121, Alcohol and Drug Abuse Prevention and Treatment (ADAPT) Program, 14.
Ibid., 14
Air Force Medical Service Public Site, A Leaders Guide for Managing Personnel in Distress,
1-3.
Air Force Instruction (AFI) 44-121, Alcohol and Drug Abuse Prevention and Treatment
(ADAPT) Program, 12.
10
http://www.defense.gov/specials/drugawareness/usafnews01a.html
11
12
13
Ibid., 507.
14
Ibid., 511-512.
15
Ibid., 515-516.
16
Ibid., 516-518.
17
United States Department of Defense Web site, Remarks by Secretary Cohen at U.S. Air
Force Academy Graduation, http://www.defenselink.mil/releases/1997/b053097_bt27797.html.
18
As no official definition exists, this definition was compiled from several DOD sources, and
approved through the 42 ABW mental health clinic (Captain Chad E Morrow, 42
MDOS/SGOMH)
442
19
http://www.fbi.gov/publications/violence.pdf
20
http://www.lni.wa.gov/safety/research/files/bullying.pdf
24
DeBecker, Gavin (1997). The Gift of Fear: Survival signals that protect us from violence.
Little, Brown and Co.
22
Budd, Frank., Lt Col (Dr.) Behavioral Sciences Flight Commander. Violence in the
workplace; A handbook for prevention and response. Developed by 437th Medical
Operations Squadron Charleston AFB, SC.
23
Ibid.,
444
Adaptability Evaluation
Defining Adaptability
Developing Flexibility
Change Management
Definition of Change
Management
Reactions to Change
Scenario
445
446
447
448
Take some time to think about the things in life that bring you real joy and satisfaction. If it is
difficult to identify these, think about the times in life you have been most content and work out
what made you happy then. There may be some clues for the present.
40 - 50 - Struggling!
You may find external help particularly useful. Coming back to a more optimistic outlook may
not be difficult from this point, with help, but you are in danger of slipping into a negative frame
of mind from which recovery will be longer and more difficult.
40 or under - Seek help!
No "ifs" or "buts"! Problems, stresses, and pressures have assumed a proportion well above the
level they warrant. Get help. Life can and will improve if you are assisted to re-focus on what is
important to you.
As you may have already concluded, not everyone is capable of adapting and responding to
change in the same way. Lets begin the chapter by looking at adaptability a little closer,
Defining Adaptability
Before you can explore the three elements of adaptability, you need a working definition of
adaptability.
Adaptability is the ability to adjust to changed, unexpected, or ambiguous
situations by actively seeking information and by demonstrating openness and
support of different and innovative change ideas.
The definition was developed with NCOs in mind
because NCOs, now more than ever, must have
the ability to adapt to rapidly changing situations
in deployed and in-garrison environments.
Anyone who has deployed knows all too well the
importance of adaptability. One day you are
sitting comfortably at a desk with heat and air
conditioning, and the next day youre sitting in a
bunker with your entire battle rattle on, sand
blowing in your face, waiting for the all clear to
sound so you can return to your tent!
When an NCO actively seeks information, they should be proactive in finding out as much as
they can about a pending or in-progress change initiative. This information should be
communicated in a style that is open to different and innovative approaches to change ideas, and
then, when people bring ideas forward, you should suspend judgment in order to fully explore
and examine all ideas.
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By keeping subordinates informed about a change initiative, NCOs can eliminate problems
associated with the change, especially when it involves unexpected or unclear situations. Lets
explore three elements that allow some to adjust quicker and better than others when unexpected
change occurs.
Develop understanding
Create strategies
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An example of cognitive flexibility is having a working Plan A; while having a Plan B, C, and D
or, in other words, having the ability to have multiple scenarios in mind so that changes can be
made due to changed, unexpected, or unclear situations. Cognitive flexibility indicates: nimble
and divergent (different) thinking, an interest in developing new approaches, the ability to see
and leverage new connections, and the ability to work well across an organization.
NCOs with cognitive flexibility do three things habitually: 1) They scan the environment, 2)
develop an understanding, and 3) create strategies. Lets explore these next.
Scanning the environment refers to the ability to identify changes as they occur and to
see the changes coming. An effective leader knows how critical it is to identify new
trends and opportunities so theyre never caught off guard. Just being able to identify or
recognize change is not enough. Saying, I knew this was going to happen does not
help anyone. Effective leaders act!
Create strategies involves developing several possible plans for responding to change.
Sitting back and waiting for somebody else to make a decision that may or may not come
is not a strategy. NCOs who possess adaptability develop several strategies because they
recognize the impracticality of predicting exactly how any given situation will play out.
Cognitive adapters move past strategies that are comfortable and that have worked in the
past, because they understand the old methods will not work in the current situation.
Cognitive adapters seek out and test new approaches, invent various strategies for
leading, find different ways to communicate their
interpretation of changing events. An effective
leader convinces subordinates by combining their
cognitive flexibility with emotional flexibility
NCOs with Emotional Flexibility
when addressing the emotional parts of change.
habitually:
Emotional Flexibility
Emotional flexibility is the ability to change your
approach to deal with your own and others emotions.
This is an area that many leaders often fail to consider.
An emotionally flexible leader is comfortable with the
process of transition, including grieving, complaining,
and resistance, which often are associated with change.
Emotional engagement
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Adapting to change requires give-and-take between the leader and those experiencing the
change. Leaders who do not possess emotional flexibility are dismissive of others concerns and
emotions, and shut down such discussions. On the other hand, leaders who possess emotional
flexibility deal effectively with emotions and concerns, to move the change agenda forward.
They do not give in to emotions or get pulled off course by concerns.
NCOs with emotional flexibility habitually do four things: understand and manage emotions,
connect with and address the emotions of others, emotional engagement, and balance emotions
and actions. Being emotionally flexible requires you to first demonstrate an awareness of your
own emotions. This means acknowledging and presenting your emotional responses in a
genuine way, thereby helping others to do the same.
Leading is emotionally difficult work. A leader who ignores the emotional element and deals
with only the reality element will be less effective and will eventually suffer from the strain.
Leaders need energy and the strength to deal with change; taking care of your emotional self
helps maintain the energy necessary to deal with the change.
Emotionally flexible leaders are aware of what subordinates, peers, and even supervisors are
feeling. They consider the emotional aspect and respond to it in helpful and positive ways. A
leader who provides a safe environment for people to express their emotions and is open and
forthright generally gains commitment from those affected by the change.
While youre emotionally helping others to get on board, be careful not to push so hard that you
find yourself tangled up in the emotional aspects of the change. Often in the midst of change, a
leader assumes that people are automatically motivated and engaged. What they fail to realize is
that while they may be committed to the initiative, others may be in denial or resistance. By
acknowledging the truth of the situation with emotion and support, leaders encourage
subordinates to connect to the change and stay engaged. It is impossible to move through a
change with indifferent, confused subordinates.
The NCO who maintains professionalism finds and maintains a balance between emotion and
action. Compassion and listening is key in finding a good balance between allowing enough
time for the struggle and helping to resolve a situation so
that they can move on. A supervisor should allow the
expression of negative emotions, but discourage
wallowing in those emotions. A more effective message
Dispositional Flexible NCOs can
is one that recognizes the emotion while at the same time
be seen in:
offers optimism grounded in realism and openness.
Dispositional Flexibility
A leader who displays dispositional flexibility operates
from a place of optimism grounded in realism and
openness. They acknowledge bad situations while
imaging a better future, at the same time.
Optimism
Support
Self Identification of
Tendencies
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These leaders figure out what they need to be hopeful in the current situation, no matter what
difficulties and challenges they face. When being hopeful or optimistic, leaders can neither be
overly positive or pessimistic. A leader who displays dispositional flexibility sees change as an
opportunity rather than as a threat or danger. Dispositional flexibility can be seen in: optimism,
support, and self identification of tendencies.
This type of leader is truly optimistic about all members being effective in the new environment.
They identify what is positive about the new experience or situation, and build on it through
effective communication. Effective communication occurs when the leader balances common
sense and a willingness to give voice to uncertainty, while focusing on the positive. This leader
allows others to understand the questions and issues behind their concerns and doubts. This
often leads to constructive brainstorming and conversations, and uncovers new approaches and
solutions.
A leader who is skilled at the dispositional part of flexibility encourages others in the
organization or team to go with the flow of change. They recognize and commend others for
their contributions, and introduce those who are new to the organization or team.
A dispositional flexibility leader is aware of their preferences and tendencies, and is able to
modify their behaviors as needed. They are comfortable experiencing new things, trying new
approaches, and working through uncertainty. Since effective leaders possess adaptability, lets
explore some things you can do to improve your own adaptability.
In order to change an attitude, it is presumably necessary to modify the information on
which that attitude rests. It is generally necessary, therefore, to change a persons
beliefs, eliminate old beliefs or introduce new beliefs.
Richard Petty & John Cacioppo
Developing Flexibility
Skills are abilities to perform the basic steps of a task. Skills do not naturally exist within you;
they must be acquired through formal and/or informal training. The good news is, with some
effort, you can develop your adaptability skills and see improvement almost instantly.
Cognitive Development
The following steps are methods you can employ to develop your cognitive flexibility.
Be curious: Curiosity killed the cat, but it kept the organization alive!
Accept the difference: Face it, things are different, it does not mean it is right or
wrong, it just means it is different. Too many times you become comfortable with
things that always stay the same. That isnt adaptability, its just the opposite!
Observe: Get out and see for yourself what is going on. During difficult, changing
times, subordinates need to see leadership leading from the front.
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Have a plan: Know ahead of time your approach and procedures for dealing with
resistant employees, managing a crisis, or making a quick decision in the face of
uncertainty. But dont get too attached to a single plan or strategy. Always have a plan
B and C.
Be resilient: Resiliency is the ability to adapt or recover from difficult conditions. The
best way to adapt and recover is to understand and identify underlying concerns and
issues that may account for peoples resistance during change.
Remember, as a leader, all eyes are on you: the way you handle yourself, the way you react, even
the way you communicate has a huge impact on your subordinates and on your organizations. It
often means the difference between a successful and failed change effort.
Emotional Development
NCOs with emotional flexibility have the ability to change their approach to dealing with their
own and others emotions. An emotionally flexible leader is comfortable with the process of
transition, including the grieving, complaining, and resistance. The following methods help
develop and improve emotional flexibility.
Feedback: Provide prompt feedback, both positive and negative, to employees. This
gives you practice in dealing with the emotional reactions of others while facing your
own emotions, or resistance, or both. Remember to always be specific and avoid using
vague responses, not giving an answer or feedback in many cases IS STILL
FEEDBACK!
Motivation: Find ways to motivate. Consistently interact with staff in a way that is
motivating and encouraging.
Triage: Confront problem employees. Move quickly to address them. Otherwise, you
hurt morale, foster resentment, and stifle change.
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Listen: Learn to use effective listening skills to gain clarification from others. This
helps identify resistance and concerns while modeling preferred behavior.
Collaborate: Involve others in the beginning stages of an initiative. This way you are
more likely to take into account other peoples concerns, as well as their ideas. It also
helps gain their commitment.
Change your approach: Get comfortable using a broad range of methods and techniques
so that you can adjust your style to changing situations.
Face reality: Adapt to changing situations with realism, openness, and optimism.
Dispositional Development
The following methods are ways you can develop or improve dispositional flexibility:
Accept change as positive: Find ways to see the benefits of change, not just for the
organization, but also for yourself, your coworkers, and subordinates.
Adapt your plans: Accept that you cannot know or control everything. Be prepared to
shift according to changing external pressures or internal dynamics.
Cast a wide net: Involve key people in the design and implementation of change. This
requires building good networks and relationships as a matter of course.
Rehearse: Give yourself a chance to practice new skills and new behaviors, or to learn
about a new situation. Rehearsing can quickly make the unfamiliar familiar.
Immerse yourself in the new environment: Jump right in and meet the people and learn
the ropes in a new situation. Join activities, take a tour, and invite people for lunch or
coffee.
Be a mentor or coach: Make it a practice to mentor and teach employees. This allows
you to set clear expectations and guide employees in how to meet those expectations. It
also provides a venue in which to deal effectively with resistant employees.
Pay attention to life beyond work: Shifting between work, family, and other interests
and obligations is a form of adaptability. Attend to life and work issues, and use the
interaction as opportunities to practice flexibility.
Seek feedback: Keep a clear perspective on what you are doing. Find ways to receive
feedback (both positive and negative) from a variety of sources.
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Change is ever present and often occurs quickly. For leaders, the implications are both personal
and organizational, and the consequences of not adapting to change can be severe. By learning
and deepening your cognitive, emotional, and dispositional flexibility, you can be more effective
for yourself, your people, and your organization. The key is to embrace change and use it as an
opportunity to grow and learn. The more positive experiences you have with change, the more
you become comfortable with and skilled at adaptability. Now that you have an understanding
of adaptability, lets take a look at change management.
SELF-REFLECTION OPPORTUNITY: Reflecting back on your own experiences how
successful have you been in adapting to change? What elements of adaptability did you use
to adjust to the change you experienced?
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Progress Check
1. Define Adaptability.
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Change Management
History has shown there is more to success than simply recognizing the need to adapt. In many
cases adapting is not enough; a complete change may be required. You know that change
means to make different or to transfer from one state to another. But what is change
management?
It became clear to me that at the age of 58 I would have to learn new tricks that were
not taught in the military manuals or on the battlefield. In this position I am a political
soldier and will have to put my training in rapping-out orders and making snap decisions
on the back burner, and have to learn the arts of persuasion and guile. I must become an
expert in a whole new set of skills.
- Gen George C. Marshall
AFDD 1-1
AFI 36-2618
NCOs often act as the
change agent, and
sometimes as the change
sponsor. With that
thought in mind, lets
examine roles in the
change process.
Change is a fact of life! Whether you choose to be fearful, hopeful, or confident, change is
inevitable, and how you deal with change is up to you. However, the better you cope with
change, the easier it will be for you to make the transition when the time for change arrives.
NCOs Responsibilities Involving Change Management
Obviously, not all change is smooth. Have you ever wondered why some changes succeed while
others fail? As a unit manager, you are often tasked with implementing and promoting change
within your work centers. Both AFDD 1-1 and AFI 36-2618 charge all NCOs with supporting
and explaining leaders decisions, while at the same time, embracing change and transformation,
regardless of the level of supervision driving change.
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Change Agents
Change Agents are responsible for implementing change
initiated by the change sponsor. Remember your definition of
change management? This is where the rubber meets the road.
As the change agent, you are responsible for proactively
coordinating the transition using a systematic approach. You
must plan for the change, implement, monitor, and control the
change effort, and minimize resistance by involving key
players and stakeholders. If youre successful, you achieve
lasting change within your organization.
Change Targets
Change Targets are those key players and stakeholders who
actually undergo the change, the ones most affected by the
new policies, procedures, etc. They are usually involved in
helping to implement the change itself.
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Understanding your reactions to change will help you manage change more effectively and
efficiently by enabling you to understand not only yourself, but also your people. This efficiency
will allow you to focus the bulk of your energies on positively managing and leading rather than
negatively dealing with personalities.
SELF-REFLECTION OPPORTUNITY: Think about the level of change you experienced
moving to a new unit. How did you feel when you first arrived? What was your initial
reaction to doing things the way your new unit does things as compared to your old unit?
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Group Behavior
Changing individual behavior is not easy, but its certainly easier than changing an entire group
of people. You may be attempting to change many customs and traditions that have developed
over many years. The old saying, Weve always
done it this way! may be deeply ingrained.
As you can gather, a change that you choose
yourself is the easiest kind to experience. This is
true whether it happens to be an organizational
change or a personal change. Think of a time
when you chose to change something about
yourself. Perhaps you wanted to quit smoking, eat
healthier, or cross-train into another career field.
Although the change process may have been
difficult, your commitment to that process probably ensured a successful change. When you
make the conscious decision to go through some kind of change, you usually understand that it
may involve some discomfort. However, in making the decision, you also decide to make the
best of any stress or unpleasantness the change may bring. It is your choice. You probably
weighed the pluses and minuses and decided to go ahead with the change anyway.
On the other hand, change that is not of your own doing or choosing is more difficult to deal
with. Your reaction to imposed change is typically resistance. You choose to see only the
disadvantages while ignoring the advantages. Now that you know about Janssens Model of
Change and Mayos four levels of change, lets build on this knowledge by examining change
cycles and the three phases in the change process.
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Uniform changes
APRs to EPRs
Directive Change is
change thats
implemented by an
authority figure (i.e.,
commander,
superintendent, or
supervisor).
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While it is understood that this type of change is not frequently used in a military environment, it
is widely held that acceptance of the change by the group is significantly increased if they are
allowed to participate, when feasible, in the decisionmaking process.
Re-accomplishing operating
instructions
Reorganization
The ideal situation is for the subordinates to take the information and develop goals to reach
behavioral changes. It is one thing to be concerned (attitude) about a situation, but quite another
to actually get involved (behavior) with the issue.
By now, you may be wondering, Should I use directive change or participative change? Well,
the simple answer would be that it depends on the situation. Directive change comes from
position power, and is usually effective when change must be implemented quickly and leaders
are not seeking subordinates input. Using the directive method is also effective with those who
are late and lag behind, needing some form of prodding to acknowledge and accept change.
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Although the directive method can be effective in the short term, it tends to lose its effectiveness
as time progresses. The directive method can also lose some of its effect if there is a change in
the sponsors position power. In other words, change will often lose its impact, especially
unpopular change, if the change sponsor loses position power because of a physical and/or
positional (title/authority) move.
Participative change, on the other hand, relies on personal power and takes longer to implement
than directive change. However, involving subordinates in the change process tends to make
participative change last longer than change brought about through the directive method. This
method is most effective on innovators and early adopters, since most of these individuals are
self-starters who welcome a challenge.
Once again, the method you use to implement change will depend on the situation and the people
involved. Both methods have their strengths and weaknesses, and both can be highly effective
when used correctly. Using the participation change cycle affects organizational performance
and can have positive effects. When subordinates buy-in on the change, change is more likely to
be popular. On the other hand, participation change can negatively affect the mission when the
proposed change requires a great deal of time to implement.
As a unit manager, you will be tasked to initiate and/or implement change at some point in your
career. Understanding the change process and appropriately using your leadership skills will
contribute to successful change implementation within your work centers and organizations
wherever you go.
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Unfreezing (phase 1)
No matter what aspect of your organization needs changing, the first
step is to recognize the need for change. This is often the most
neglected, yet essential element of any organizational change.
Change is required when there is a perceived gap between what the
norms are and what they should be. This perception sets the stage
for the first stage of the change process: unfreezing.
As stated previously, some individuals refuse any attempts at change. As a result, some of these
Airmen may be left behind. Even if this is the case, you must never forget that people are your
greatest asset, and they directly influence the success of any change. Make every effort to
convince everyone of the need for change; however, balance bringing everyone over to your side
with knowing when to give up on those who absolutely refuse to change. As an NCO, you will
discover multiple ways to persuade or deal with people who refuse to adapt.
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Changing (phase 2)
Changing involves the actual modification of
technology, tasks, structure, or people. This is the
movement from the old state, or previous norms, to a
The changing phase
new state. It is here that new equipment is installed,
is the movement from
organizational restructuring happens, new
the old way of doing
performance appraisal systems are implemented, and
things to the new way
so on. In some instances, there may be a need to go
of doing business.
back to the unfreezing stage and
reeducate/facilitate/support those people who have
trouble completing the transition. Your role in this
phase is to monitor the change as it occurs, pay close
attention to those most affected by it, and adjust as necessary to keep the change
moving forward. In this stage, you ensure that your plan unfolds as intended.
Even the best plans go awry for one reason or another, so its important for you
to be there as the change is implemented to deal with problems as they arise.
Refreezing (phase 3)
The final phase in the change process is refreezing.
Just because the change has been implemented and
appears to be going smoothly, doesnt mean your job
is done. Your job now is to lock in or put down
roots and establish a new place of stability, to
refreeze the desired outcomes and new norms so they
become a permanent fixture in your daily operations.
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This can be a bold move when you are not sure whether what you are doing will succeed. It
does, however force individuals to concentrate or focus more on the new, and encourage
individuals who may be not fully committed to the change to become a bit more motivated.
Evidence stream: Get people to accept that a change is real by providing a steady stream of
evidence to demonstrate that the change has happened and is successful. Plan for change
projects to reach milestones and deliver real results in a regular and predictable stream of
communications that is delivered on a well-managed timetable.
Keep everyone updated regularly to show progress, demonstrating either solid progress against
plan or robust action to address any slippage. Evidence can be a powerful tool for persuasion,
particularly when people are doubtful whether something is real. This is particularly powerful
when presented by people who are trusted by the audience for the information. Lack of evidence
is evidence of nothing happening. Aging charts and posters will be seen as evidence of change
projects that have either died or are quietly fading away. When people hear nothing, they
assume nothing is happening.
Institutionalization: Make changes stick by building them into the formal fabric of the
organization. The formal systems and structures within the organization are those which are not
optional. People do them because they are business as usual and because they will be
criticized or otherwise punished if they fail to do them.
After a while, institutionalized items become so entrenched that people forget to resist and just
do what is required, even if they did not agree with the change. Build the changes into peoples
personal objectives and ensure they are assessed in personal reviews. Make the change an
organizational standard, building it into the systems of standards.
New Challenge: Get people to maintain interest in a change by giving them new challenges that
stimulate them and keep them looking to the future. If you look at the Four Lenses chapter, the
temperament of orange: something different means excitement and engagement!
Regardless of your individual temperaments, challenges seem to make most people get involved.
In particular, people get hooked on the buzz and fall into the psychological flow of getting
deeply engaged. Challenge is a future-based motivator that focuses people on new and different
things, rather than basic motivations such as control and safety that may lead people to resist
change.
Rationalization: People have a deep need for consistency, and when they do something they
need to have consistency and alignment between their actions and their beliefs. When there is
inconsistency, they must either change what they are doing or what they believe in order to
restore consistency.
If they have already started doing something, then they cannot change what has been done, the
question then becomes why I am doing this?
468
It is important that the person is able to rationalize why they acted in a particular way or
performed a particular task. When a person is paid or commanded to act, they may rationalize
that they did it for the money or the Commander, not because they really believed it was the right
thing to do.
Socializing: Seal changes by building them into the social structures. Give social leaders
prominent positions in the change. When they feel ownership for it, they will talk about it and
sell it to others. Social or sociality is almost an invisible quality where people accept its rules
without even noticing that they are doing so. A change that is socialized becomes normal and
the way things are. If you dont believe this, walk around any Air Force installation and see
how many variations of uniform violations you see. People see others doing it and accept it as
authorized. When something becomes a social norm, people will be far more unlikely to
oppose it, as to do so is to oppose the group and its leaders.
These are just a few techniques NCOs can use to refreeze. There are many other ways to
accomplish refreezing that may depend on particular elements and circumstances. The most
important thing to remember is that telling subordinates to shut up and color is not an effective
way to refreeze!
Without refreezing, the old ways of doing business may reassert themselves. As an NCO,
hopefully you want to apply yourself and have aspirations to use your new skills in the future in
your work centers. However, it seems easier for some to simply revert to the old ways instead of
making waves. Therefore, old behaviors may take over, and nothing will change. You might
feel that this is aimed at you, and it is in a way; but maybe its also referring to your
subordinates. They will attend different levels of PME, and it only makes sense that you expect
to see a change for the better upon their return in exchange for their extended absence from the
work center.
During refreezing, ensure that you evaluate the results of the change: Did you obtain the desired
results? Are people still supporting the change process? Are they reverting to the old ways of
doing things? Since old behaviors may resurface, it may be necessary to evaluate the results of
your change periodically. Remember, the change process is not complete until the change is in
place and has become the norm.
Its necessary to know the three phases of change and the techniques for moving from a state of
transition to a stable and productive state. Things like burning bridges, providing evidence of the
change, rationalizing, and socializing. However, knowledge of the three phases and the
techniques do you no good without a solid plan to manage the change. In fact, one could argue
that having a solid change management plan is perhaps the most important step in the change
process. With that in mind, lets focus on developing a plan to manage individual reactions to
change.
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Reactions to Change
As you have already read, getting people to change is difficult, and getting an entire organization
to change can seem impossible. If you are to succeed in moving your organizations forward, you
must obtain buy-in from those affected by the change. According to Cynthia Scott, author of
Managing Change at Work, when 5% of the people in a
group adopt a change, the change is embedded within
the organization. When 20% adopt it, the change is
unstoppable.3
To push change to an unstoppable level, you need to
understand how people accept and adapt to change.
Ever notice how some people are always trying to shake
things up, while others avoid change as if it were a disease. Your ability and willingness to
accept change is based entirely on your personality.
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Unlike the early adopters, the early majority are seldom looked to as opinion leaders because
they tend to get involved only after something has become big or successful.
The late majority is the other large group in the middle of the curve. Most people in this
category are hampered by feelings of insecurity and skepticism, which prevent them from taking
risks. As a result, members of the late majority usually wait too long to adopt change by looking
for guarantees before getting involved.
Laggards are the last people to embrace new ideas, and they influence no one! They are usually
less educated and uninformed, which tends to make them close-minded and afraid of change.
They rely mainly on neighbors and friends as their main sources of information, and have no
desire for new ideas or personal success.3
So what does all this mean to you? Who would you want on your side if you were implementing
change in your work center, the innovators and early adopters, or the laggards and late majority?
Do you want people who embrace and even initiate change, or do you want people who run and
hide at the first sign that something is changing? As an NCO, you should place very little effort
on either the late majority or laggards. Neither group is very receptive to change and usually will
follow the lead of others.
Before you move on, lets take a moment to think about how all these adaptability and change
concepts could be affected by your temperaments or strengths. Take a moment and consider
which category you belong too and reflect on the following. How do you think your
temperaments and strengths could possibly hinder or help you deal with the reactions of change?
Having a solid change management plans impacts the NCO, unit, and mission effectiveness. A
solid change management plan reduces or eliminates resistance to change among the Airmen
and, when implemented, the NCO comes off as very effective leader. Units gain effectiveness
and efficiency as individuals are more willing to trust the process and the organization. As a
result of the unit willingness to trust, missions gain better quality/quantity and become more cost
effective. People tend to be less likely to revert to the old behaviors and methods, once a change
has been implemented, and future changes will likely be accepted, possibly even embraced, by
all.
Individual members involved in the change process share the ownership, and will begin to feel as
if they are truly valued; playing an integral part in the organization. This reaction to a successful
change encourages the stakeholder to research and seek out new and improved ways of doing
things.
As you already know, people and organizations handle change differently. Some individuals and
organizations readily accept change, while others seem to avoid accepting change in any form.
Whether change is imposed from the top brass or by you, you need to understand your role(s)
in the change process. Your leadership and dedication to the mission are vital to ensure change
is implemented successfully.
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Progress Check
7. Match the roles in the change process with their purpose.
a. Change Sponsor
b. Change Agent
c. Change Target
b. Attitude
c. Individual Behavior
d. Knowledge
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Adaptability Exercises
This exercise is divided into two sections. In the first couple of questions, reflect on the times
you have experienced change in your Air Force career. These changes may have come from an
individual or group level. They could have affected knowledge, attitudes, individual behavior, or
group behavior. Answer the following question about your specific experience and then explain
why the changes were either successful or unsuccessful.
1. Give an example of when you demonstrated adaptability to a change.
Using your example above:
a. Describe whether the changes were at the knowledge, attitudinal, or behavioral level.
b. Were they directive or participative?
c. Explain why the change succeeded (or failed).
d.
How well did the change agent(s) and/or change sponsor(s) fulfill their roles?
How well did the change agent(s) and/or change sponsor(s) fulfill their roles?
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Consider the information presented in the chapter to answer the remaining questions. Using the
strategies and knowledge you have learned, decide how you the NCO would respond and react to
situations that would benefit from Change Management strategies.
1. When attempting to develop a change plan, which of the group(s) associated with the five
reactions to change should you plan to target first? Why?
2. If you have been assigned the role of a change agent, what actions can you take to motivate
innovators and early adopters?
3. When attempting to develop a change plan, which of the following reactions to change groups
should an NCO focus on most: Early Majority, Late Majority, or Laggards? Why?
Considering all that you have learned lets put your knowledge to work to see how you would
respond with a change management scenario.
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Scenario
Read the following scenario and identify
components of the Directive Change Cycle,
Janssens Model of Change, Three Phases in the
Change Process, and Adaptability. Focus on the
major concepts presented in the scenario and
then use the EPME Structured Thinking [IDDP]
Process as you assess and answer the following
questions.
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This is not a debate. I recognize this will be tough for everybodybut we have no choice.
I want the schedule and list by close of business tomorrow!
5. A week later Johnson implements the new schedule and conflict soon follows. Guard mount
is chaotic. Some people spend hours on remote posts without relief, others miss chow
breaks, and some posts go unmanned. Everywhere he goes Johnson hears people
complaining. Walking toward the Armory he overhears one Airman say, These shifts are
stupid and hears another Airman respond, Yeah we work for a bunch of idiotslast night
it was two hours after my shift ended before anyone came to relieve me.
6. Three weeks later, the Chief calls Johnson and asks, How are things going? Johnson
replies, It was a bumpy ride for awhile, but were doing better nowwere manning all post
properly and relieving people for meals and although its not for their normal 30 minutes,
everyone agrees that 20 minutes is better than nothing. Although some people jumped on
board right away, others are still adjusting and grumbling about the shifts so I continue to
help them understand the importance of supporting the unit. A few of us have managed to
squeeze out time for off-duty stuff and most of us meet at the gym on our day off for little
basketball and weightlifting. We have a few lagging behind, but eventually well get
everyone on board. The Chief smiles, pats Johnson on the back, and says, Youre doing a
good jobkeep it up. Afterwards, Johnson smiles to himself as he thinks about how good it
feels to know hes doing a good job.
Use the EPME Structured Thinking [IDDP] Process as you assess the scenario.
1. Identify change management concepts in this scenario.
2. Identify text in the scenario that reflects Directive Change. Justify your answer.
3. Identify text in the scenario that reflects each stage of the Janssens Model of Change. Justify
your answers.
a. Comfort
b. Denial
c. Confusion
d. Renewal
4. Identify text in the scenario that reflects each phase of the Change Process. Justify your
answers.
a. Unfreeze
b. Change
c. Refreeze
477
5. Differentiate if TSgt Johnsons actions, decisions, and behaviors associated with the three
steps of the change process, were effective or ineffective.
6. If ineffective, determine what TSgt Johnson should have done. Justify your answer.
478
479
Key Terms
Change agents, 458
Change sponsors, 458
Change targets, 458
Changing, 466
References
Air Force Doctrine Document (AFDD) 1-1, Leadership and Force Development,1 February
2009.
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 27 February 2009.
Ang, S. Handbook of Cultural Intelligence: Theory, Measurement, and Applications. Armonk,
NY: M.E. Sharpe, Inc., 2008.
Carl Rogers Personality Theory and Analysis.
http://www.talentscout.biz/more_opportunities.htm.
Diffusion of Innovations. http://en.wikipidia.org/wiki/Diffusion_of_innovatons.
Fossum, Lynn. Understanding Organizational Change: Converting Theory to Practice. Menlo
Park, CA: Crisp Publications, 1989.
Calarco, A., Gurvis, J., Adaptability: Responding Effectively to Change. Center for Creative
Leadership, Greensboro, N.C., 2006
Hatano, G., & Inagaki, K. (1986). Two courses of expertise. In H. Stevenson, H. Azuma, & K.
Hakuta (Eds.), Child Development and Education in Japan (pp. 262-272). New York: W.H.
Freeman.
Hersey, Paul, Kenneth H. Blanchard, and Dewey E. Johnson. Management of Organizational
Behavior: Utilizing Human Resources. 6th ed. Upper Saddle River, NJ: Prentice Hall Publishers,
1996.
Holyoak, K. J. Symbolic Connectionism: Toward third-generation theories of expertise. In, K.
A.
Ericsson & J. Smith (Eds.), Toward a General Theory of Expertise (pp. 301-335). Cambridge,
England: Cambridge University Press. 1991.
Scott, Cynthia, D., and Dennis T. Jaffe. Managing Change at Work, revised ed. Menlo Park, CA:
Crisp Publications, 1995.
Straker, David. Changing Minds, London, EN: Syque Press, 2008.
480
Formative Exercise
1. Effective NCOs respond by identifying new trends and opportunities, so they are never
caught off guard and can make sense out of a situation in order to turn obstacles into
opportunities and ideas into innovative practices. In addition, effective NCOs develop plan
A and plans B and C just in case.
This paragraph BEST explains:
a. Cognitive Flexibility
b. Dispositional Flexibility
c. Emotional Flexibility
2. TSgt Perez, a senior analyst for an intelligence Squadron was recently informed that his team
will deploy as convoy operators. Upon receiving the news, TSgt Perez first planned how to
tell his team and then after gathering everyone for the announcement and implementation, he
said, We have been tasked to deploy as convoy operators. Although this is not in our job
description, it is a critical need that must be filled to support the war effort. We will receive
all required training to be successful. I will not allow this tasking to affect our current
duties. After answering several questions, Perez encouraged his team members to see him if
they had any additional concerns.
TSgt Perezs ___________________ will MOST LIKELY result in ____________ to
mission effectiveness.
a. Ineffective use of the Directive Change Cycle; a decrease
b. Effective use of the Participative Change Cycle; an increase
c. Ineffective use of the Changing Phase; a decrease
d. d. Effective use of the Unfreezing Phase; an increase
481
7. Change Sponsor
Change Agent
Change Target
8. Change Management
9. Directive Change Cycle and the Participative Change Cycle
10. Unfreezing, Changing, Refreezing
482
Attitude
Individual Behavior
Knowledge
483
484
2. CORRECT ANSWER: d
a. This answer is INCORRECT. Perez is effectively using the steps of directive change in
this scenario. According to Change Management lesson, Directive Change Cycle is a
change imposed upon the group or organization. As the group is forced to comply,
individual behavior is affected through compliance within the group. The application of
Perezs position power is being used to change group behavior, then individual behavior,
which causes an increase in knowledge, and ultimately a change in attitude. See the
rationale for the correct answer for additional guidance.
b. This answer is INCORRECT. The change was directed from a higher authority, thus
TSgt Perez is simply attempting to implement the change rather than ask for team
members input and participation, which is part of the Participative Change Cycle
according to Change Management lesson. See the rationale for the correct answer for
additional guidance.
c. This answer is INCORRECT. Nothing in the scenario indicates the Changing Phase
which, according to Change Management lesson, involves the actual modification of
technology, tasks, structure, or people.
This is the movement from the old state, or previous norms, to a new state. Therefore,
there is not enough information to determine effective or ineffective use of the Changing
Phase. See the rationale for the correct answer for additional guidance.
d. This answer is CORRECT. TSgt Perez used the Unfreezing Phase of Change
Management, which according to that lesson there are three phases of change:
unfreezing, changing, and refreezing. During the Unfreezing (phase 1) the first step
is to recognize the need for change (was recently informed), next create a felt need
for the change, that is sell the importance of the change (planned how to tell his
team), then deal with resistance to change by developing a plan to calm fears, to put
them at ease by informing them how their new responsibilities can positively
influence change (After answering several questions), and talk with personnel
directly affected by the changes (gathering everyone for the announcement and
implementation). All of this will increase the likelihood of a successful change.
485
486
487
4. The text in the scenario that reflects each phase of the Change Process:
Unfreeze- Paragraph 2: without warning, commander says two flights will begin deploying
(no felt need), Chief tells Johnson his flight will cover for other flights (no felt need),
Johnson wonders how to break the news to his team and how to decide who to send to the
other flight (no felt need)
Paragraph 3: Johnson is hoping everything can remain the same (no felt need, resistance),
Chief runs numbers and without Johnsons flights support, mission will fail (the felt need).
Paragraph 4: Johnson still has no list, complains about not having enough people, and wants
to talk about what used to be (resistance and still has no felt need), Chief says get it done!
(use of force).
According to the chapter, during the unfreezing step of the change process, you often see
resistance to the change, usually because people have no felt need for the change. In worst
case scenarios, a leader must use force to force people to change. These points are all
examples of resistance, lack of felt need, and force.
Change- Paragraph 5: Johnson implements the new schedule, Conflict soon follows, there is
confusion, people go unrelieved, miss meals and some posts go unmanned causing people to
complain.
According to the chapter, the Change step of the change process is where the actual change
takes place and its where you often see confusion and complaining as people attempt to
learn whats expected of them. Its also where monitoring must take place in order to ensure
people actually make the change.
Refreeze- Paragraph 6: Things are better, all posts are properly manned, and people are being
relieved for meals and have accepted 20 minutes for meals as better than nothing.
According to the chapter, the Refreeze step of the change process is where people begin to
put down roots, to lock in the new norms. Refreezing is usually a slow process, never
stopping cleanly, but going in bits and pieces.
5. TSgt Johnsons actions were initially ineffective because he resisted the change, did not
create a felt need, and had no real plan and ultimately effective because the change occurred.
6. TSgt Johnson should have created a felt need by involving his team early in order to develop
a plan to implement the change and to overcome resistance. In the chapter you learned:
Many people fear the unknown, developing a plan will normally calm many of the fears and
will increase the likelihood of a successful change, some individuals feel they could lose
power due to a proposed change, and put them at ease by informing them how their new
responsibilities can positively influence change
7. If TSgt Johnson had created a felt need and developed a change management plan, the
change process would have created a calmer atmosphere and allowed Johnson the
opportunity to initiate the change with less stress. Johnsons flight would have accepted the
change, even though they may not agree with it, they would have been more understanding
and prepared.
488
8. The adaptability concepts are shown were: Cognitive Flexibility, Emotional Flexibility and
Dispositional Flexibility.
The text in the scenario that reflects Emotional Flexibility:
Paragraph 4: now hes angry about the whole thing.
Paragraph 6: others are still adjusting and grumbling about the shifts so I continue to help
them understand the importance of supporting the unit.
Initially, Johnson failed to control his emotions in paragraph 4 and according to the chapter;
NCOs with emotional flexibility do not give in to emotions or get pulled off course by
concerns. Later, he got his emotions under control and even began helping others who were
still grumbling and according to the chapter, NCOs with emotional flexibility 1) understand
and manage emotions, 2) connect and address the emotions of others, 3) and 4) balance
emotions and actions.
TSgt Johnsons overall adaptability was ineffective because, although he employed emotional
flexibility, he failed to employ cognitive and dispositional flexibility to address the change
from the beginning.
According to the chapter, Cognitive Flexibility is using different thinking strategies and
mental frameworks and Dispositional Flexibility is the ability to remain optimistic and at the
same time realistic. In this situation, Johnson did neither of these and although he displayed
emotional flexibility, even that was not as effective as it could be.
9. TSgt Johnson should have used all three elements of adaptability: cognitive, emotional, and
dispositional flexibility because according to the chapter, it takes employing all three to be
truly effective.
If TSgt Johnson had employed all three elements of adaptability he would have:
Cognitive Flexibility-He would have incorporated different thinking strategies and mental
frameworks into his planning and decision making and thus would have developed several
possible plans for responding to change. These plans would have included ways to deal with
resistance and to reduce the confusion during the Change step in the process.
Emotional Flexibility-Had he dealt effectively with his own emotions from the beginning, he
might have been able to mitigate the complaining and emotions displayed by workers during
the process.
Dispositional Flexibility-Had he been optimistic from the beginning, he would have been
able to obtain buy-in sooner, and thus develop a better implementation plan that would
reduce resistance and confusion.
489
End Notes
1
Elton Mayo, The Social Problems of an Industrial Civilization (Routledge & Kegan Paul Ltd),
369.
Cynthia D. Scott and Dennis T. Jaffe, Managing Change at Work: Leading People Through
Organizational Transitions (Menlo Park, CA: Crisp Publications), 4.
490
Decision Analysis
Problem Solving
Stop for a moment and think about all the things that you
have today because someone felt that there could be a
better way. Take transportation for example. If Henry
Ford had looked at the horse and buggy and said to
himself ehthat is good enough or if Orville and
Wilbur Wright had given up and said nopeman is just
not meant to fly, where would you be today? It is
because these individuals refused to accept the norm
the average the way its always been that you have
the things you have today. In this scenario, how big of a
role do you think the continuous improvement process
played in the development of the transportation
examples?
OODA Loop
Scenario
491
492
Continuous Improvement
One way you can do this is through a culture of Continuous
Improvement or CI that helps shed non-value added tasks to
ensure every Airmans efforts contribute directly to accomplishing the
Air Force mission to fly, fight, and win in air, space, and cyberspace.
Continuous improvement is important to the Air Force because it
generates efficiencies to improve combat capabilities across the Air
Force. Also, continuous improvement applies to all processes
associated with the Air Force mission.
NCOs actively support continuous improvement because it requires
Airmen to maintain the highest level of readiness to meet mission
requirements, it promotes a culture of Airmen who are capable of
mastering multiple tasks to better support mission requirements, allows
Airmen to take a leadership and supervisory role by staying involved
with fellow Airmen and subordinates on a regular basis, and enforces
all Airmen to abide by the Core Values.
Continuous
Improvement (CI) is
the strategic, neverending, incremental
refinement of the
way you perform
tasks. CI employs a
collection of
methodologies
including Lean, Six
Sigma, Theory of
Constraints, and
Business Process.
Now that you understand that you should strive to continuously improve, lets look at some Air
Force initiatives that can guide you.
(4.1.4) Maintain the highest level of readiness to meet the mission requirements.
(4.1.13) Take an active leadership and supervisory role by staying involved with
subordinates on a daily basis. Use their own experiences and knowledge to
mentor others. Guide and instruct subordinates to ensure they are prepared to
accept increased levels of authority and responsibility. Assist subordinates in
reaching their full potential.
493
AFSO 21 is about
constantly finding
efficiencies to
channel saved
monies toward
improving combat
capabilities across
the Air Force.
It is important to find efficiencies, but how is that accomplished based on AFSO 21 initiatives?
AFSO 21 includes Five Desired Effects that guide improvement initiatives at every level to
contribute to the demands of the Warfighter. Every Airman should know and understand these
five desired effects and understand how they improve processes that contribute to Air Force
priorities while also generating efficiencies and
savings.
AFSO 21 principles and tools enable Airmen to
integrate continuous improvement into the full
spectrum of their day-to-day operations.
The key to AFSO 21 success is a culture where
every Airman thinks about improvement and is
empowered to communicate with his or her
supervisor, commander, or a change agent. Even
processes that work well can be better. Improvements center on core missions that Airmen
handle daily and should encompass AFSO 21s Five Desired Effects.
494
495
496
Progress Check
1. _____________________ focuses on generating efficiencies and improving combat
capabilities across the Air Force and applies to all processes associated with the Air Force
mission.
497
Decision Analysis
You have learned that the purpose of Continuous
Improvement and AFSO 21 is to find efficiencies for saving
money and to channel that savings toward improving combat
capabilities. Finding efficiencies often depends on your ability
to make good decisions. So lets explore some ways to do just
that.
Decision-making is
the mental
(cognitive) process
that results in the
selection of a course
of action from
among several
alternative
scenarios.
If you look back to the days when you were a brand new Airman just
learning your job for the first time, more than likely you had to really
focus on the tasks that you were doing. Now through repetition, tasks
you once thought of as complex are now nothing more than routine
actions, decisions, and behaviors. It is only after many hours of
complex analysis, inferences, and effective judgments that tasks
become routine enough as to require little or no thought. As long as
you can do things the same way, every time, decisions seem to come
easy. However, what happens when things change? As you learned in
the Change Management chapter, you are often uncomfortable with
change because change takes you out of your norm. When you move to something new or
different, you have to focus on new ways of doing things the old way of doing things is
reactive, instinctive, quick, and holistic (S-1). The new way is deliberative, analytical, and
procedural (S-2).
498
Routine duties/paperwork
Assigning tasks
Driving
Decisiveness
Time management
Perceived as credible/reliable
Mistakes
Overlook details
Impacts others
Sometimes misinterpret, or
estimate/underestimate chances of
success, rely on mistaken analogies,
reject options out of hand
499
Complex tasks
New situations
500
In reality, as you may have discovered, simple and common approaches are not always the most
effective way of dealing with complex, dynamic, and diverse problems. In the Nuclear
Enterprise chapter, you had the opportunity to read about two incidents that occurred in the Air
Force involving the improper handling of nuclear weapons and materials. Do you think there
may have been some examples in those situations where the appropriate system for decision
making may have been neglected or possibly disregarded?
As an NCO and a member of the Profession of Arms, there is an increasing need to improve and
create impeccable results through system thinking. In essence, system thinking is a discipline of
seeing the whole, recognizing patterns and interrelationships, and learning how to structure
more effective, efficient decisions.
Many reactive judgments can be good judgments, but can lead to unnecessary risks and mistaken
biases. Thus, the true decision is which of your reactive judgments should you make
reflective?
Kepner-Tregoe Problem Solving and Decision Making Process
One of the most used decision making models in the world was developed in 1958 by Dr.
Charles Kepner and Dr. Benjamin Tregoe. Using his model, Tregoe established the KepnerTregoe (KT) training business in his garage. Today, the KT Corporation provides consulting and
training services to organizations throughout the world.
The Decision Making process is actually four distinct processes each designed to address a
specific type of situation. The four distinct processes include:
Situation Appraisal separates, clarifies, and prioritizes concerns.
When to use: When confusion is mounting, the correct approach is unclear, or
priorities overwhelm plans, Situation Appraisal is the tool of choice.
Problem Analysis identifies the cause of a positive or negative deviation.
When to use: Through this analysis, you may find people, machinery, systems, or
processes that are not performing as expected. Problem Analysis points to the
relevant information and leads the way to the root cause.
Decision Analysis is used for making a choice.
When to use: When the path ahead is uncertain, when there are too many choices, or
the risk of making the wrong choice is high, Decision Analysis clarifies the purpose
and balances risks and benefits to arrive at a solid and supported choice.
Potential Problem Analysis protects actions or plans.
When to use: When a project simply must go well, risk is high, or myriad things
could go wrong, a Potential Problem Analysis reveals the driving factors and
identifies ways to lower risk.
501
Although the entire model works well for addressing many types of situations, it is important to
note that situational appraisal, problem analysis, and potential problem analysis is actually
completed when you complete the Eight-Step Problem Solving Process. The decision analysis
stage of the Kepner-Tregoe process is where many fall short of making good sound decisions.
For this reason, lets focus on the four steps of the decision analysis piece, which can help in
making good, confident, reliable, and justifiable decisions.
Lets begin by looking at the four steps and then using them in a small activity.
Decision Analysis
Decision analysis is a systematic procedure based on the thinking pattern that you use when
making choices. Every day you go through some sort of decision analysisshould I eat, should
I sleep, should I save this money or spend it. Often, you make decisions based on feelings
instead of using a systematic process.
Although people enjoy being involved in the decision making process, many avoid the task if
there is a potential for controversy. Using systematic decision analysis allows you to make good,
confident, reliable, and justifiable decisions because it forces you to stand back from the situation
and evaluate four components:
Decision Statement
Determine Objectives
Locate Alternatives
Risk Analysis
502
By standing back and looking at the whole picture of the situation, you can often make the
wisest and safest choice through careful consideration of ALL the factors.
Decision Statement
If you recall, in the problem solving process, one of the
first things you should do is to develop a problem solving
statement. In decision analysis, you will do much of the
same thing and develop a decision statement.
Determine Objectives
All too often, people fail to think about the specific objective(s) of their decisions. Objectives
are clear measures of the ends you want to achieve. It is only through clear measures that you
can make a reasonable, sensible decision.
If you wanted to purchase a new car, it should be obvious that you want to make the best
purchase possible and that the best way to make the best purchases is to identify the qualities you
want in a new car BEFORE you begin shopping. It does not make sense to buy the first car that
attracts your attention.
503
To reach your objective(s) you must consider two categories, your musts and your wants.
The Musts are mandatory! That is, all alternatives must meet your Musts. Though Musts may
not be your most important objective, they are a minimum objective.
The Wants are optional, nice to have attributes or qualities. Wants give you a comparative
picture of alternatives. Sometimes, you are willing to compromise, move a Must to the Want
category, and occasionally move a Want to the Must category. It all depends on what the
decision is trying to accomplish. The Musts determine who gets to play, but Wants determine
who wins!
Now explore a 4-step decision analysis model by helping TSgt Jolson buy a car.
STEP 1: Decision Statement
TSgt Jolson: Purchase a reliable new car for the least amount of money for my
college-bound daughter
STEP 2: Determine Musts and Wants
From the decision statement, you can extract TSgt Jolsons Musts such as reliable, new, and least
cost. Thus, his Musts would look something like:
Musts:
- Costs less than $15,000
- 5-year warranty
- Automatic transmission
- 5-star safety rating
Wants: Things that enhance the product or service and comes from decision-makers and
end-users. Thus, TSgt Jolson and his daughters Wants might include:
- Air conditioning
- Blue in color
- Sun roof
- Front wheel drive
- Excellent repair record
504
Before moving to step 3, TSgt Jolson needs to assign weights to the Wants. To do this he used a
rating scale of 1 to 10 for his list of Wants 1 representing least important and 10 representing
most important.
Wants
Weight
Air conditioning
Blue in color
Sun roof
Some final notes about assigning weights to the Wants; first, always do it BEFORE proceeding
to Step 3, and second these weights are based on the personal opinion and/or values of the
decision-makers and/or end-users.
STEP 3: Locate Alternatives /Select Best Alternative
After determining Musts and Wants and assigning weights to the Wants, it is time to find
potential alternatives. Alternatives can come from many sources. In the car-buying scenario,
TSgt Jolson might find alternatives (potential cars to purchase) at local car dealers, in newspaper
ads, and online.
On the other hand, when you are in need of alternatives for solving a problem, alternatives can
come from:
Research
505
As you can see from the worksheet above, you have eliminated alternatives 1 and 3 because they
did not meet the Musts. With your alternatives narrowed down to just three, your next step is to
weight the Wants within each alternative.
Step 3c: Weighting the Wants within Each Alternative
Although you have narrowed your alternatives from five to three, you still need to determine
which one is the best by continuing our systematic process. This next step involves some simple
math and the use of another worksheet.
First, you enter your Wants into the criteria column and your previously determined weights into
the weight column (from Step 2 above).
Next, you consider and weight Want items against like Want items from each alternative. For
example, the first Want item in the worksheet below is Air Conditioning. All three alternatives
offer air conditioning; however, alternative #4 has dual control air conditioning.
506
Based on your personal opinion (you really like dual control A/C), you might assign a value of
7 to alternative #4 and then assign a value of 5 to air conditioning in the #2 and #5
alternatives. Repeat this process for each of the subsequent Want items.
At this point, you may be asking, Why did you use the weights of five and seven? That is an
excellent question! The weight given reflects your opinion of the quality of the item compared
to the quality of like items. You could have assigned 2 and 4, or 3, 5 and 9, or any other
combinationas long as the weights reflect the difference in quality. Notice the Want Front
Wheel Drive is identical in all three alternatives, so you assigned the same value to each one.
At this point, the decision seems clear; alternative #4 scored highest and, therefore, must be your
BEST choice. However, there is still one very important step leftRisk Analysis.
507
Is there a possibility that my choice is invalid (if so, how severe are the implications)?
Is there anything that might prevent me from being comfortable with my choice?
For example, assume that you just learned the dealer offering alternative #4 is filing for
bankruptcy. You may not be comfortable buying from the dealer. To be sure, you rate
probability and seriousness of the consequence using the scale: high, medium, and low.
Given the high probability and high seriousness, you would probably eliminate alternative #4
and then conduct a risk analysis on Alternative #2, your second highest scoring alternative.
In some cases, as you work through risk analysis, you may discover a detail that is so important;
you add it to your list of Musts. Anytime you change (add to or subtract from) your list of Musts,
you must work your way through steps 3 and 4 again. This additional work is well worth the
effort because it results in selecting the best alternative.
After completing the Risk Analysis step, you are now in a position to decide whether Alternative
#4 (or #2 or #5) is truly your best choice.
Lets assume that because your Risk Analysis on Alternative #2 did not indicate any concerns,
you select Alternative #2. Now, if anyone asks why you selected Alternative #2, you can
provide hard data to support our decision.
Enlisted leaders do not need to run every decision they make through such an elaborate process.
In fact, the Air Force depends on NCOs to apply their extensive knowledge and experience
(System 1 Thinking and decision-making) to most day-to-day decisions. However, there are
times when NCOs have to make critical decisions and solve complex problems. In these cases,
using a Decision Analysis process, like the one outlined above will help ensure high quality,
fact-based decisions that you can justify to key stakeholders.
SELF-REFLECTION OPPORTUNITY: Reflecting back on past decisions, how often were
the decisions that you made reactive decisions? What impact did these decisions have on
mission accomplishment? If you had used the four decision analysis steps discussed in this
chapter, would you have made the same decisions? Why?
508
Progress Check
5. Define decision making.
8. Systematic decision analysis forces you to stand back from the situation and evaluate what
four components?
9. What purpose does the Decision Statement accomplish in the decision making process?
10. Name the four distinct processes within the Kepner-Tregoe Problem Solving and Decision
Making process.
509
Problem Solving
OODA Loop
In the 1950s, Col John R. Boyd, USAF, developed an objective
description of the decision-making process called OODA Loop
(pronounced oo-da-loop). Because of Col Boyds emphasis on the
OODA Loop provides
infinitely repeating nature of decision-making, his model fully
NCOs with a
systematic and
supports the concept of Continuous Improvement because both
deliberate method for
concepts support the notion that the decision-making process is never
looking at the current
actually complete. The
situation, determining
Air Force takes the four
what problems exists,
steps of the OODA
and then deciding an
Loop and further breaks
appropriate and/or
them down into an
effective action.
eight-step problem
solving roadmap that is
flexible enough to be
effective at any level: Air Force, MAJCOM, wing,
squadron, and even the individual Airman. 2
When you encounter a familiar situation, you use
System 1 Thinking to quickly run through all four
steps of the OODA Loop. The various steps of the
problem solving process exist within particular
steps of the OODA Loop and, if you examine the
circle closely, you can see that it is a never-ending
process aimed at continuous improvement. On the other hand, when you encounter an unfamiliar
situation, your System 2 Thinking comes into play, which requires a systematic and deliberate
process for solving problems such as the Eight-Step Problem Solving Process.
510
Eight-Step Problem
Solving Process is a
team-centered,
systematic, commonsense problem solving
approach aimed at
increasing combat
capability, making Air
Force units more
effective and efficient,
and enhancing and
enabling the
Warfighter.
As you look over the eight-step process, do not get too wrapped up in memorizing which steps of
the eight-step process correlate with steps within the OODA Loop. In its simplest form, the
OODA Loop is a process where problem solvers take a good look at the current situation and
form theories about the problem (Observe), gather data and information to substantiate those
theories (Orient), develop solutions to address the problem (Decide), and then implement and
evaluate their solutions (Act). The real take away from this chapter is that problem solving and
decision-making are never-ending processes aimed at constant, continuous improvement.
STEP 1: Clarify and Validate the Problem OODA
You must clarify large, vague, and complicated problems as objectively as possible before you
can identify the real problem and properly address it.4 So, knowing what to tackle first is
important. This first step is critical to your success; define the problem. Remember, A problem
well stated is a problem half solved.5 In order to clarify the problem for everyone, you must
develop a clear problem statement.
The following techniques help clarify, validate, and define the problem, and they assist in
deciding which problem(s) to tackle first.
511
Go and See
Observe first-hand what is taking place. Actually walking the process or problem area
provides first-hand data rather than second-hand opinions. Ensure you base your
information on facts, not assumptions. Assumptions are the lowest form of logic and
more often than not result in faulty conclusions that skew the process of analyzing
potential causes.
Voice of the Customer (VOC)
Only one entity can define what is valuable to the customer and that is the customer. So
identifying customers and determining their needs (document the VOC) is a prerequisite
to understanding whether or not those needs are being met.
512
Feedback is the key to understanding customer needs. The best methods for obtaining
feedback include customer surveys, hot lines, and face-to-face meetings. Customer
surveys are not only a great way to collect data; they often indicate negative and positive
trends. Of course, surveys are only as good as the questions they contain. Surveys
should target the particular problem that you are trying to solve, contain only questions
related to the issue, and seek unbiased feedback from a proper sample population size.
Unbiased feedback helps clarify and validate customers and their concerns.
A problem statement describes the problem in clear, specific, measurable terms and states the
current condition exactly. Measurable means using terms that indicate quantity, quality, time,
cost, or any term that quantifies or qualifies the problem. Avoid implying any cause or solution
as that keeps you from exploring all possible solutions. A good problem statement is:6
1. Written Down Usually in one paragraph because more than one paragraph indicates
more than one problem in a single problem statement.
2. Factual All the descriptive terms should be precise, without emotion, and without
names.
3. Agreed to by all parties Lack of consensus at this stage indicates the problem is still
unclear.
A good problem statement should include:
1. What is the problem? Often two or three words (a noun and a verb) are enough, e.g.,
target missed, aircraft broken, repair slow, computer crashed, Airmen discriminated
against.
2. Where did the problem happen?
3. When did the problem happen?
4. What is the significance of the problem? Many problems exist, some are more critical
than others. When tackling any problem, supervisors should ask themselves: Does
solving this problem support the strategic goals of my organization?
Consider the following situation: Your boss just put you in charge of the fuel flight distribution
section where you supervise the fuel truck operators. Their current average response time to fuel
aircraft is 40 minutes. This has been a gradual increase over the last 4 months when the average
response time was 25 minutes. The acceptable standard is no more than 30 minutes. Therefore,
your problem statement might be:
Average response time to fuel aircraft on the ground has increased from 25 minutes
to 40 minutes over the last 4 months. The increase in time to refuel the aircraft has
caused delays and missed sorties.
This problem statement is clear and specific and uses measurable terms of quantity and time. Its
objective and clearly identifies the current condition.
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c. Is there a gap between the data available and the data required? i.e. Does the data
needed not exist yet?
d. What is the gap between current performance and the customers requirements?
e. Does the data point to any specific areas of root cause?
f. Does the data indicate a constraint?
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If you do not know where you are going, how will you know when you get there? A clear goal
statement provides focus and direction and makes it possible to look into the future and target
progress as you solve the problem. Consider the following two aspects when crafting
improvement targets:
Strategic Vision: Strategic vision is a view into the future that describes how an organization
will strategically perform or conduct business. It implies a gap between the current performance
and a better future performance.10
Tactical Targets: Tactical targets define the performance levels required to make the goal a
reality. Targets should be challenging but achievable and have B-SMART characteristics:11
B-SMART
Balanced Ensure goals are balanced across the multiple fronts of organizational output
and multiple targets
Specific Have desirable outputs that are based on subject matter expert knowledge and
experience and are applicable to the process improvement activity
Measurable Include time frames and have data that is obtainable from specific sources
Attainable Resources are available, may have some risk but success is possible
Results Focused Link to the mission, vision, and goals that are meaningful to the user
Timely Provide step-by-step views versus giant leaps that are measurable at interim
milestones
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Answer
Evidence
Solution
Call roadside
assistance
No money available
to buy a new belt
The driver is
unemployed
The repeated
Learn to balance
warnings pertaining to work and personal
timeliness and quality life
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Brainstorming
A technique designed to stimulate a chain reaction of ideas relating to a problem, brainstorming,
helps you or a team build a variety of ideas in a short time about a specific problem or topic. To
get the most from a brainstorming session, use the following rules and techniques:
Withhold judgment The first and foremost rule is to withhold judgment of any kind.
Make no evaluation, criticism, or judgment about any idea until the brainstorming session
is over.
Aim for quantity, not quality Remember, you are not judging the ideas yet. Once ideas
are flowing, write down every one. The whole idea of brainstorming is to aim for
quantity, not quality. Some ideas might be silly, but most will contain at least some
quality information.
Hitchhike (piggyback) ideas The last rule in brainstorming allows an idea to piggyback
or hitchhike on another idea. In a brainstorming session, one member of the group
suggests an idea. This idea triggers a thought in the mind of another and the process
continues until you have a series of ideas, all prompted by one original thought or idea.
Brainstorming Techniques
Along with certain rules, there are three techniques for conducting a brainstorming session.
Structured approach This approach means soliciting one idea at a time from each
person on the team. Participants only comment when it is their turn. If they have no
comment, they say, Pass. The session ends when everyone says, Pass.
Silent approach This is used when you want team members to write ideas on small
slips of paper. You then collect the papers and jot down the ideas for all to see.
Fish Bone Diagram (cause and effect diagram) This is a diagram used to depict the
relationship between specific categories of process inputs and the undesirable output.
This technique helps to identify potential causes to a problem.
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Fill in the fishbone by generating as many causes as possible using brainstorming. Although the
diagram uses the 3Ms and a P (Materials, Methods, Machines, and People), feel free to
categorize causes in ways that make sense for your situation. Two other useful categories
include the 4Ss (Surroundings, Suppliers, Systems, and Skills) and the 4Ps (Policies, Procedures,
People, and Plant). Do not worry too much about the categories. They are not as important as
identifying potential causes.
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Begin testing with a very general analysis of the alternatives and eliminate any obviously
unworthy alternatives. Then, subject the refined list of alternatives to a detailed analysis until
one or more meet some or all the criteria. After selecting countermeasures, develop a plan to
communicate the change to all affected personnel.
The key principal to remember is that the impact of a solution is a combination of the quality of
the solution and the acceptance of the solution by the people who must implement it. The
relationship is similar to a mathematical formula: (Quality of solution) x (Acceptance) = Impact.
Excellent solutions have zero impact. On the other hand, an average solution that receives some
support will have some impact. With the entire first half of the Eight-Step Problem Solving
Process focused on the left half of the equation it is now up to you to present the solution in such
a way as to gain its acceptance by those who will implement it. 14
When developing countermeasures, it is important to gain consensus among stakeholders. This
involvement brings commitment and a sense of ownership of the solution. Communication is
critical to prevent complaints of the solution process. Finally, consider other alternatives rather
than attempt to implement ineffective countermeasures or ones that are not feasible or have little
impact.
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Progress Check
11. What is the relationship between OODA Loop and the Eight-Step Problem Solving Process?
12. What is the relationship between AFSO 21 and the Eight-Step Problem Solving Process?
13. What is the importance of distinguishing causes from symptoms and identifying primary
causes?
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14. Complete the graphic below by correctly labeling the OODA Loop Process with the terms
provided.
Act Orient Observe
Decide
15. Complete the graphic above by correctly labeling the Eight-Step Problem Solving Process
with the terms provided.
a.
b.
c.
d.
e.
f.
g.
h.
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Scenario
Now that you have a good understanding of the
concepts of problem solving and decision making,
lets use this knowledge in a continuous
improvement scenario and see how all of these
processes work.
Instructions
In the scenario below, identify each stage of the
OODA Loop process and complete each stage of the
Eight-Step Problem Solving Process based on MSgt Yosts investigation and the Phase I and II
information provided below.
MSgt Yost was a brand new superintendent and new to the unit, but had already attended
three Wing Commander Staff meetings. As the EPR slide popped up on the screen, she
clinched her fist and watched as Chief Barnes squirmed in his seat. Chief, the Wing
Commander said, it looks as if your squadron has done it again. The Chiefs face
turned red and MSgt Yost felt bad for him as the Wing Commander pointed his finger
directly at the Chief and stated, I would recommend that you work harder on getting
your EPRs in on time before next months staff meeting!
Chief Barnes just walked out of the Wing Commanders monthly staff meeting shaking his
head. This is the third month in a row the Wing Commander has chewed him out because
his organization keeps showing up on the Late EPR slide. In fact, his squadrons EPR
on-time rate is the worst in the entire wing for the last four months. You know, Master
Sergeant Yost, the Chief says, were getting our tails kicked at stand up every month
because of late EPRs.
As MSgt Yost walks down the sidewalk towards her office, she asks herself, What can
we do to turn this around? As MSgt Yost sits at her desk, she cant help but wonder
how the EPR issue got this bad. The next day, MSgt Yost grabs her notebook and begins
to walk around the unit introducing herself and asking questions about the EPR process
and the problem the unit is having. After a couple of hours, Yost has filled almost three
pages of her notebook with potential issues. That afternoon, she calls a staff meeting
with all her section supervisors and after explaining the EPR situation says. If we dont
take care of our people the ones who take care of the mission, our organization as a
whole will suffer the consequences.
MSgt Yost Notes:
24 of the 43 EPRs generated over the last four months were completed after the closeout
date (56% on time-rate).
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Six EPRs over the past two weeks have an average 97 days to complete. Two of those six
EPRS actually took 120 days to close out.
12 of the 24 late EPRs went through the process several times because of errors and style
conflicts.
Five EPRs were sitting on the desk of an individual who had been on leave for nine days.
Three EPRs were within a week of closeout and were still in the editing phase.
Chief Barnes has three hard-copy EPRs on his desk two of which had been there for
almost a week.
Chief Barnes also has two electronic EPRs in his inbox awaiting his signatureboth had
been there for three days.
Many first-line supervisors complained that different writing styles made it hard to guess
how the EPRs should be written.
Raters claim they are forced to start EPRs three to four months before closeoutusually
before the shell even kicks out.
Three to four months of ratees information missed because the process is begun so early.
The wing defines late as after the EPR closeout date and has set an EPR on-time
standard of 90% for all EPRs in the wing.
Many of the squadrons in the wing average 95% (or better) on-time rates.
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then we as a whole will ultimately suffer. As MSgt Yost put her pencil down she says out
loud, Its time for us to step up and tackle this problem once and for all. As she looks at
each Airman she states, Look folks, as many of you know, we are struggling with getting
EPRs completed and turned in on time. Starting tomorrow I am implementing a new EPR
tracking program and mandating that all EPRs are ready for review three days earlier than
the current suspense date.
The following morning is mass confusion as supervisors adapt to the new process and realize
just how far behind they are with writing their performance reports. The next week, MSgt
Yost is happy to notice several EPRs are ready for her review ahead of schedule.
OODA Loop Task
Identify each stage of the OODA Loop that MSgt Yost encountered in the Continuous
Improvement EPR scenario. Indicate where your see the O, O, D, and A by listing the paragraph
number and line number(s) within the paragraph, and writing a few words from the text that
helped you identify the concept.
Observe:
Orient:
Determine:
Act:
Eight-Step Problem Solving Task
Complete each stage of the Eight-Step Problem Solving Process based off SMSgt Yosts
investigation and the Phase I and II information above.
STEP 1 (Clarify and Validate the Problem):
Develop a problem statement*:
What is the problem?
Where is the problem occurring?
When did the problem happen?
What is the significance of the problem?
*Remember: The problem statement will only be one paragraph.
STEP 2 (Break Down the Problem/Identify Performance Gaps):
KPI/M and Performance Gap Analysis:
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Key Terms
AFSO 21, 493
Continuous Improvement (CI), 492
Decision making, 497
References
Air Force Instruction (AFI) 36-2618. The Enlisted Force Structure, 1 December 2004.
Chang, Richard Y. Step-By-Step Problem Solving, Irvine, CA: Richard Chang Associates Inc.,
Publications Division, 1993.
Department of the Air Force. Air Force Smart Operations for the 21st (AFSO21) Century
Playbook, 27 May 2008.
Department of the Air Force. United States Air Force Core Values, 1 January 1997.
George, Michael. Lean Six Sigma for Service. New York, NY: McGraw-Hill, 2003.
Kneeland, Steven. Effective Problem Solving: How to Understand and Process and Practice it
Successfully. Oxford, UK: How to Books, 1999. NetLibrary e-book.
Mackall, Dandi D. Problem Solving. Chicago, IL: Ferguson Publishing Company, 1998.
NetLibrary e-book.
Newman, Victor. Problem Solving for Results. Hampshire, UK: Gower Publishing Limited,
1995.
VanGundy, Arthur B. 101 Activities for Teaching Creativity and Problem Solving. San
Francisco, CA: John Wiley and Sons, Inc., 2005. NetLibrary e-book.
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Formative Exercise
1. Tired of hearing about all the problems with the K-9 mobility crates, TSgt Johnson asks his
Superintendant for advice on how to fix the problem and hears, Dont invest in new crates
based on feelings and complaints. Instead, take your time and use a process that will help
you analyze, develop, and select the best crates for the mission. Using such a process will
not only help you gain confidence in your course of action, it makes it easier to justify your
choice to leadership. Johnson smiles and says, Your right, I really need to stand back and
look at the whole picture instead of getting caught up in everyones complaints. By doing
that Ill know well get the best return on our investment.
The narrative BEST explains:
a. Problem Solving
b. Decision Analysis
c. Resource Stewardship
2. After listening to her subordinates complain about a current workplace procedure, TSgt
Gerry personally observes the process to gather first-hand data. Then, she and her
subordinates review some key process indicators, conduct a performance gap analysis, and
set some challenging but achievable targets. After they analyze the primary causes of all the
complaints, they come up with some countermeasures and determine their workability before
implementing them.
TSgt Gerry and her subordinates use of ____________ will MOST LIKELY____________
mission effectiveness.
a. Decision Analysis; increase
b. Decision Analysis; decrease
c. Eight-Step Problem Solving; increase
d. Eight-Step Problem Solving; decrease
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2. Continuous Improvement
3. a. Just Do It
541
5. Decision-making is the mental (cognitive) process that results in the selection of a course of
action from among several alternative scenarios.
6. System 1 Reactive Thinking is thinking that relies heavily on situational cues, prominent
memories, trial and error, and heuristic thinking (discovering solutions for self) to arrive
quickly and confidently at judgments, particularly when situations are familiar and
immediate action is required.
7. System 2 Reflective Thinking is broad and informed problem-solving and deliberate decision
making. It is useful for judgments in unfamiliar situations, for processing abstract concepts,
and for deliberating when there is time for planning and more comprehensive consideration.
10. Situation Appraisal, Problem Analysis, Decision Analysis, Potential Problem Analysis
11. You can never accomplish S-1 thinking and S-2 thinking independently. The two systems
work together in a push pull fashion with S-2 being the initiator. When encountering a
familiar situation, System 1 Thinking is used to quickly run through all four steps of the
OODA Loop. When you encounter an unfamiliar situation, System 2 Thinking comes into
play, which requires a systematic and deliberate process for solving problems such as the
Eight-Step Problem Solving Process.
12. AFSO 21 is about constantly finding efficiencies to channel saved monies toward improving
combat capabilities across the Air Force, and the Eight-Step Problem Solving Process is a
team-centered, systematic, common-sense problem solving approach aimed at increasing
combat capability, making Air Force units more effective and efficient, and enhancing and
enabling the Warfighter.
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13. The better you understand the problem, the better the solution. Only by thoroughly
evaluating a problem are you able to judge the impact of selected and alternative solutions.
14.
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2. CORRECT ANSWER: c
RATIONALE:
a. INCORRECT: TSgt Gerry and her subordinates did not use Decision Analysis, which
according to the Continuous Improvement chapter includes four steps: 1) decision
statement, 2) objectives [musts and wants], 3) gathering alternatives, and 4) risk analysis.
See rationale for the correct response for additional information.
b. INCORRECT: TSgt Gerry and her subordinates did not use Decision Analysis, which
according to the Continuous Improvement chapter, includes four steps: 1) decision
statement, 2) objectives [musts and wants], 3) gathering alternatives, and 4) risk analysis.
See rationale for the correct response for additional information.
c. CORRECT: Because the team used the first five steps of the Eight-Step Problem
Solving Process, it is highly likely that they will continue through the rest of the
steps to solve the work center problem, and solving the problem will most likely
increase mission effectiveness. According to the Continuous Improvement chapter,
problem solving is a team-centered systematic common-sense approach that
involves an eight-step process designed to increase combat capability, make Air
Force units more effective and efficient, and enhance and enable the war fighter. In
the scenario, TSgt Gerry and her subordinates have used steps 1 through 5 of the
eight steps: 1) Observe first-hand what is taking place, 2) Review key process
indicators and conduct performance gap analysis, 3) Set challenging but achievable
targets, 4) Determine root cause (analyze the primary causes of all the complaints),
and 5) Develop countermeasures and determine their workability.
d. INCORRECT: The teams use of the first five steps of the Eight-Step Problem Solving
Process will more than likely increase, not decrease mission effectiveness. See rationale
for the correct response for additional information.
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Scenario Answers
OODA Loop Process
Observe
Wing Commander pointed his finger directly at the Chief and stated, I would recommend that
you work harder on getting your EPRs in on time before next months staff meeting!
Orient
The next day, MSgt Yost grabs her notebook and begins to walk around the unit introducing
herself and asking questions about the EPR process and the problem the unit is having. After a
couple of hours, Yost has filled almost three pages of her notebook with potential issues.
Decide
If we dont take care of the people who take care of the mission, then we as a whole will
ultimately suffer. As MSgt Yost put her pencil down she said out loud, Its time for us
to step up and tackle this problem once and for all.
Starting tomorrow I am implementing a new EPR tracking program and mandating that
all EPRs are ready for review three days earlier than the current suspense date.
The following morning is mass confusion as supervisors adapt to the new process and
realize just how far behind they are with writing their performance reports. The next
week, MSgt Yost is happy to notice several EPRs are ready for her review ahead of
schedule.
Act
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The wings standard for EPR on-time rate (by closeout date) is 90%.
Many of the squadrons in the wing average 95% (or better) on-time rates.
While the chief couldnt come up with an exact number, many late EPRs went through
the process several times because of errors and style conflicts.
Many first-line supervisors complained that different writing styles made it hard to guess
how the EPRs should be written.
Seven EPRs were within a week of closeout and were still in the editing phase.
MSgt Yost found five EPRs sitting on the desk of an individual who had been on leave
for nine days.
MSgt Yost discovered that the Chief had three hard-copy EPRs on his desktwo of
which had been there for almost a week.
Yost also discovered two electronic EPRs in the Squadron Superintendents inbox
awaiting his signature both had been there for at least three days.
Raters claim they are forced to start EPRs three to four months before closeout usually
before the shell even kicks out.
Three to four months of ratees information is missed because the process is begun so
early.
Late EPRs
Unit/Wing
EPRs are late which neglects the responsibility in taking care of Airmen
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Wasted time due to errors and style conflicts causes EPRs to be routed repeatedly
Process starts too early drives re-writes as ratee accomplishes things during the rating
period
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NOTE: There are other root cause analyses besides the 5 whys. Here are some
examples:
Fishbone Diagram
Prato chart
Check sheet
IDENTIFIED CAUSES:
Too many:
- Steps in process
- People involved
- Mistakes in EPRs (requires re-writes)
- Style preferences
No standardization
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Unfreeze
Describe the changes that should be made in the unit to standardize the improvements
Lock the process in by fully implementing policies and procedures (becomes the norm)
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End Notes
1
Department of the Air Force, Air Force Smart Operations for the 21st Century Playbook, B-1.
Ibid, B-2
Air Force Smart Operations for the 21st Century (AFSO21) Playbook, Tools and Methodology,
Version 2.0, Volume J, October 2007, J-4.
10
Air Force Smart Operations for the 21st Century (AFSO21) Playbook, Introduction to the
Eight Step OODA LOOP AFSO21 Problem Solving Model, Version 2.0, Volume B, October
2007, B-4.
11
12
Sondalini, M. Understanding How to Use The 5-Whys for Root Cause Analysis. Lifetime Reliability Solutions
Inc. Retrieved from http://www.lifetime-reliability.com/tutorials/lean-management-methods/How_to_Use_the_5Whys_for_Root_Cause_Analysis.pdf
13
14
AFSO21, Introduction to the Eight Step OODA LOOP AFSO21 Problem Solving Model, B-6.
15
16
17
18
19
20
21
AFSO21, Introduction to the Eight Step OODA LOOP AFSO21 Problem Solving Model, B-8.