C15V1SBV1

NONCOMMISSIONED
OFFICER
ACADEMY
DISTANCE
LEARNING
COURSE
UNIT MANAGER
Thomas N. Barnes Center for
Enlisted Education
Maxwell-Gunter AFB, Alabama
Leadership is the art of getting someone else to do

something you want done because he wants to do it.
- Dwight D. Eisenhower
Air University
Course 0015 Version 01, Edition 3
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
Negotiation Preferences and Styles Chart

(NPSC) ...................................................... 143
Task and People Orientation .................. 143
Negotiation Styles .................................. 144
Conflict Management Connections to the
NPSC ..................................................... 147
The Cooperative Negotiation Strategy
(CNS)......................................................... 148
5-Step CNS Process ............................... 149
Categories of Negotiation ........................ 153
Negotiating Categories .......................... 153
Negotiating Across Cultures ................... 157
High- and Low-Context Cultures .......... 157
CNS in Cross-Cultural Negotiations...... 160
Readiness and Ripeness ......................... 161
Mediation .................................................. 163
Mediation Terms and Phrases ................ 164
Stages of Mediation ............................... 165
Paying Attention during Communication
................................................................... 171
Active Listening..................................... 171
CHAPTER TWO: Leader Influence..................... 67
CHAPTER FOUR: Resource Stewardship......... 185
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
Resource Stewardship ............................. 187

Personnel................................................ 188
Financial ................................................ 188
Material .................................................. 188
Warfare .................................................. 188
Information and Technology ................. 189
Energy .................................................... 189
Finance 101 ............................................... 192
Terms and Definitions Associated with
Finance 101 ............................................ 192
Budget Execution Review (BER) .......... 194
Financial Execution Plan (FEP) ............. 195
Budget Process ....................................... 196
Antideficieny Act ................................... 200
Manpower 101 .......................................... 204
Program Allocation and Control ............ 204
Requirements Determination ................. 205
Performance Management ..................... 206
Resources: Use Only As Directed and
Available ................................................... 210
Developing Future Resource Stewards .. 212
CHAPTER ONE: Team Building ........................... 7
CHAPTER THREE: Negotiation....................... 131
Negotiations Key Terms and Phrases ..... 133

Trust, Information, Power, and Options
(TIPO) Model .......................................... 136
Trust ....................................................... 136
Information............................................. 137
Power ..................................................... 138
The Who, Stakes, and Situation ............. 140
CHAPTER FIVE: Discipline ............................. 227
Definitions................................................. 229
Discipline in the Air Force..................... 229
Purpose of Discipline ............................. 229

Discipline Definitions ............................ 230
Discipline Model and Progressive
Discipline Process ..................................... 235
Discipline Model (DM) .......................... 235
Progressive Discipline Process (PDP).... 248
Discipline Model (DM) and Progressive
Discipline Process (PDP) Symbiosis ..... 257
Roles and Responsibilities ....................... 261
NCO Rank and Authority....................... 261
Seven Basic Rights of the Accused ........ 263
Know Your Limits ................................. 274
Treatment of the Accused ...................... 275
Attachments .............................................. 279
CHAPTER SIX: Emergent Leadership Issues .... 301
Wingman Concept and Philosophy ........ 303

Philosophy .............................................. 305
4-Dimensions of Wellness ..................... 305
Basic Support Sources............................ 310
Suicide Awareness and Prevention ......... 313
Terms and Definitions ............................ 314
Advanced Warning Signs ....................... 317
Leadership Knowledge, Skills, and
Attitudes ................................................. 318
Confidentiality and Privacy Rules ......... 320
Aftermath of a Critical Incident ............. 321
Role of Leadership ................................. 322
The Bottom Line .................................... 323
Substance Misuse and Intervention ........ 326
Definitions and Terms ............................ 326
What Is Substance Misuse? .................... 328
NCO Responsibilities as Related to
Substance Misuse ................................... 330
Intervention ............................................ 336
Stress Management .................................. 346
Potential Sources of Stress ..................... 347
Stress Management Strategies................ 350
Combat and Operational Stress .............. 354
Post-Traumatic Stress Disorder (PTSD) 357
Equal Opportunity/Human Relations .... 365
Human Relations .................................... 365
Air Force Equal Opportunity and Treatment
(EOT) PolicyMilitary ......................... 366
Air Force Equal Employment Opportunity
(EEO) PolicyCivilian ......................... 367
Terms and Definitions ............................ 368
Supervisors Responsibilities on Equal
Opportunity and Treatment .................... 369
Sexual Harassment ................................. 370
Sexual Assault Prevention and Response
.................................................................... 375
The Impact of Sexual Assault ................ 375

Understanding Sexual Assault ............... 376
The Role of Alcohol and Drugs ............. 376
Air Force Culture of Responsible Choices
............................................................... 377
Individuals Involved in a Sexual Assault
............................................................... 378
Preventing Sexual Assault - What Is Your
Responsibility? ...................................... 378
Reporting Options and Procedure .......... 379
Workplace Violence ................................. 386
Definitions ............................................. 387
Theory of Negligent Supervision ....... 390
Threat Assessment Protocol................... 390
Workplace Bullying ............................... 392
Methods for Dealing with Difficult People
............................................................... 394
Supervisor Actions Following a Threat
Allegation .............................................. 395
Recovering From a Workplace Violence
Emergency ............................................. 396
Proactive Steps to Prevent Violence in the
Workplace .............................................. 397
CHAPTER SEVEN: Change Management ........ 444
Three Elements of Adaptability.............. 446

Adaptability Evaluation ......................... 446
Defining Adaptability ............................ 448
Three Elements of Adaptability ............. 449
Developing Flexibility ........................... 452
Change Management ............................... 457
Definition of Change Management ........ 457
Before you explore this subject, you need a
working definition of change management.
............................................................... 457
Roles in the Change Process .................. 458
Janssens Model of Change ................... 459
Three Phases in the Change Process ...... 465
CHAPTER EIGHT: Continuous Improvement.. 490
Continuous Improvement ....................... 492

AFSO 21 (What it is - Air Force Point of
View) ..................................................... 492
AFSO 21s Five Desired Effects ........... 493
Decision Analysis ..................................... 497
Define Decision Making ........................ 497
Systems 1 and 2 Thinking ...................... 497
Four Decision Analysis Steps ................ 499
Problem Solving ....................................... 509
OODA Loop .......................................... 509
Eight-Step Problem Solving Process ..... 510
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!
Page Intentionally Left Blank
CHAPTER ONE: Team Building
Inside this chapter:

Introduction
Teams
Group
Team
The Team Mission

Team Roles
Roles
The P.E.P. Cycle
The Z Process
A-I Theory
Team Dynamics
Five Cs of a Team
Five Common Dysfunctions

of a Team
Stages of Team Development
TSgt Gates has been recently assigned the duty of putting

together an honor guard team for the Squadron. Each
workcenter within the Squadron is providing him with
personnel. At what point will TSgt Gates and his
personnel be considered a team? What will it take for
TSgt Gates to produce a strong team with personnel
assigned from different work centers?
Coming together is a beginning. Keeping together is progress.

Working together is success.
- Henry Ford
Forming
Storming
Norming
Performing
Adjourning & Transforming
Measuring Team Success
Chapter One: Team Building
Upon completion of this chapter you

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend team building and its
impact on team success and NCO,
unit, and mission effectiveness.
Terminal Cognitive Samples of
Behavior:
1. Explain how team building
impacts team success and NCO,
2. Give examples of team
buildings impacts team success
and NCO, unit, and mission
effectiveness.
3. Predict the impact of team
building on team success and
NCO, unit, and mission
effectiveness.
Remember standing with other recruits in front of the

flag at the MEPS (military entrance processing station)
waiting to take your first oath of enlistment? Were you
and the other recruits a group or a team? Sure, you all
shared the same goal as teams do (to join the military),
but you were still only a group of people. What does it
take to produce a strong team from a group of
strangers? How will you manage these men and women
through struggles, conflict, and even victory?
You will begin by examining what it takes to construct
and lead Air Force teams. First, you will learn to
identify the difference between groups and teams and
then look at the importance of your teams mission.
You will then examine the five common roles that team
members fulfill and understand the importance of
having each role represented on your team.
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.
After that, you will explore team dynamics, AKA the

ongoing interaction by individuals that help, and
sometimes hurt, teams trying to reach their goals. You
will continue with examining and understanding of
some pitfalls and dysfunctions that can negatively affect true team building. And then move on
with the five stages of team development and discuss where you feel TSgt Mifflins team from
The Office stands. You will wrap up with an understanding of the attributes of successful teams.
Additionally, included in this chapter are Self-Reflection Opportunities that will ask you to think
about how youve impacted your work center through personal examples of how your team
building impacted NCO, unit, and mission effectiveness. By the end of this chapter, you should
be better prepared to lead and manage units as evidenced by your comprehension of team
building.
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.
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However, if a group adopts a common objective and

begins working together toward that objective-they
become and are referred to as a team. Members of a team
appreciate that their own (individual) success is
determined by the collective performance of everyone on
the team. They have a much greater motivation to help
and support those team members whose performance may
fall behind ... for whatever reason.
An example of this would be a deployed medical team.
Working in a field hospital in a deployed location, a
wounded Airman is brought in with an injured leg from
an IED. Although each member of the medical team has
their own success in their specialty, the medical staff
members work together using their life-saving tactics,
advanced medical techniques, and skills to save lives in
the field and complete their mission.
AFI 36-2618, The Enlisted

Force Structure, states
that NCOs must, Lead
and develop subordinates
and exercise effective
followership in mission
accomplishment. It goes
on to say that as one
prepares to become a
senior NCO, they must
lead and manage teams
while maintaining the
highest level of readiness
to ensure mission
success.
When an organization operates

as a team and not a group, they
will often show team spirit.
Team spirit is indicated by:
Increased productivity
High morale during high ops

tempo
Willingness to help fellow

teammates
Strong identity/camaraderie
Little to no negative conflict
Differences resolved through
Individuals who are just part

compromise or collaboration
of a group typically feel
indifferent and tend to
consider a groups efforts
unimportant, meaningless, and
with no significant purpose. In contrast, when you are part of a team
the feeling is typically one in which personnel feel like they have a
part in something special, have an identity, and a better chance of
succeeding. In a team, teammates work harder, are more willing to
help, achieve greater results, and have an increased pride in self and
the teams success.
The challenge faced as enlisted leaders is convincing your people that
they are not just members of a group, but members of an important
team; a team with members committed to each other, and a team
committed to their organizations mission, their wings priorities, and
their nations security.
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
SELF-REFLECTION OPPORTUNITY: Based on what you read in the The Office

activity, would you say the flight functioned as a group or a team? Why?
13
Progress Check
1. Define group and give some examples.
2. Define team and give some examples.
3. How do you feel when you are part of a group?
4. When you are just part of a group, how did you feel about supporting its efforts and its
members?
5. When you are part of a team, how do you feel?
6. What are some indications (signs, symptoms, or behaviors) of an organization with a healthy
team spirit?
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The Teams Mission

AFDD1-1, Leadership and Force Development states that, The
primary task of a military organization is to perform its mission.
The Department of Defense Dictionary defines mission as, the
task, together with the purpose, that clearly indicates the action to
be taken and the reason thereforea duty assigned to an individual
or unit; a task. Regardless of specialty, organization, duty
location, or rank; as Airmen, it is your purpose to proudly serve the
American People and partner nations by accomplishing the Air
Force mission:
Mission is a duty
assigned to an individual
or unit; a task.
Fly, fight and win...in air, space, and cyberspace.
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
SELF-REFLECTION OPPORTUNITY: Based on what you read in the The Office

activity, what would you say was the teams mission? If you were on the team, what would
you write as the mission statement?
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:
Spontaneous, exciting, enthusiastic, and great at brainstorming ideas.
Typically, the ones who offer a fresh perspective.
Offer bold, untried approaches and ideas.
Able to see the big picture.
Optimistic and visualize the possibilities.
Willing to solve problems.
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:
Positive with self-confident attitudes
Insightful planners and use past experience to guide success
Energetic support of team goals and objectives
Well-developed promoters
Persistence in championing and advancing new ideas
Not easily discouraged
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
Refiners focus on the analysis. They challenge all

concepts. Refiners use a methodical process to analyze
things in an orderly manner to detect possible flaws and
identify potential problems under discussion.
Refiners are good at reviewing ideas and implementation
plans, modifying those ideas or coming up with new ideas,
and rationally reviewing them to ensure successful
implementation. Refiners use logic and a systematic
approach to redesign a solution, and they make sure that
ideas are sound before moving them to the next level.
Refiners are:
Able to identify and clarify possible problems
Detail-oriented
Experts in specifics and the development of a sound implementation strategy
Analytical
Able to offer new ideas and alternatives
Practical sounding boards to validate ideas
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.

Executors are:
Willing to implement ideas
Meticulous in following directions and completing tasks
Assertive
Independent
Keepers of high standards
Able to bring up problems early enough to effectively solve them
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 connect and negotiate with all types of people
Tolerant and understand different members of the team
Able to identify what is missing in the process, and fill in the gap to allow for
uninterrupted progress
Willing to offer suggestions to improve the process
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
Only Creators and Executors: Without

Advancers to promote the ideas and Refiners
to think through the implementation process,
the team will likely rush into implementing a
new but unfeasible idea or plan.
Only Refiners and Executors: Without a Creator

to propose fresh concepts and an Advancer to
promote the concepts, the team winds up idling
indefinitely because they review problems and
revisit old solutions over and over.
Only Creators and Refiners: Without an Advancer

to promote ideas and think of ways to implement them
or an Executor to execute the plan, the team
discussion results in an endless debate between the
Creator and the Refiner. By continuously revaluating
and challenging their own ideas, Creators and Refiners
struggle to advance and/or execute.
Only Advancers and Creators: These teams would

likely move forward with the Creators new ideas even
though they have not been scrutinized. Though skeptical,
the Advancer would promote the idea with the hope of
eventually discovering how an idea could be successfully
implemented.
Here is a brief summary:
Without Creators, there are no new concepts
Without Advancers, ideas stall or do not come to light
Without Refiners, new directions are not thought through; details are overlooked
Without Executors, there is no implementation
Without Flexers, there are gaps in the team
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.
SELF-REFLECTION OPPORTUNITY: What team roles, if any, do you see represented in

the scenario? If so, how successful do you think the team will be with those roles
represented?
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
Impact to Team without this Role present
12. What are the advantages of having a Flexer on your team?
26
The P.E.P. Cycle

As roles are played out and ideas come about, there is a process the idea naturally goes through;
it is called the P.E.P. Cycle. The P.E.P Cycle is a Panic-Elation-Panic cycle that occurs
whenever you are in a situation that requires you to come up with new ideas (team meetings,
problem solving sessions, AFSO21 events, etc.). The P.E.P. Cycle begins with the call for ideas
in order to reach a specified team goal. At this point, all team members panic as they attempt to
come up with ideas.
When brainstorming begins, the Creators Panic lasts only a few seconds as they immediately
visualize all the possibilities and produce ideas. Other members come up with ideas too, but the
Creators are almost always the first to respond with new and innovative ideas. Creators quickly
move up the bell curve to Elation as every idea is a great idea to a Creator. However,
without the Advancers support and encouragement without critical judgment, (or
encouragement from the team leader) even creators return to Panic.
When other team members come up with an idea, they also move from Panic to Elation simply
because they thought of something but most quickly return to Panic because they immediately
begin doubting their own ideas.
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:
Recognize when Creators reach Elation
Allow productive discussions with Advancers to exist and continue
Involve Refiners at the appropriate time
Activate the Executors to put the idea into motion
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?
14. Why is it important to understand the P.E.P. cycle?
15. From your reading, how would you summarize the Z Process?
16. Why is it important to understand 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
Adaption Innovation (A-I) Theory

Since we usually dont get to pick our team members, it is important to understand how our
team members preferred approach to problem solving (i.e. thinking style), impacts team
dynamics.
As you learned in the Adaptive-Innovative chapter, preferred cognitive styles range from more
adaptive to more innovative. This cognitive diversity is what makes teams so good at solving
Problem A (the task or purpose of the teamthe mission). Leaders should keep in mind that
adaptors and innovators are equally good at solving problemsbut optimal problem solving
results from both adaptors and innovators working on the problem together because it brings all
sides (perspectives) of a problem to light.
These different perspectives also bring Problem B (human interactions) into the mix, and leaders
who manage this cognitive diversity effectively (i.e. manage team dynamics) end up with the best
possible solutions.
SELF-REFLECTION OPPORTUNITY: In successful teams there is a diversity of people
performing to accomplish a shared mission. In the accomplishment of your work centers
mission who are the more adaptive and the more innovative.
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.
Each team is made up of individuals who raise concerns for the

interpersonal dynamic of the team. Managing or leading teams
can be extremely difficult because developing a group into a
team depends on relationships within the team.
How well people get along determines the teams effectiveness
and its ability to progress through the stages of team
development. It is these interpersonal relationships, or team
dynamics, that hold a team together or tear it apart. Successful
team leaders pay close attention to interpersonal relationships
because they know the teams success rests on the success of its
team dynamics.
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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.
Interaction of individuals is the essence

of team dynamics. You must understand
that needs may vary considerably for
each individual. Some may require status
or elevated self-esteem; others may need
power while others rely on social
relationships and acceptance. However,
it is through team dynamics that members
satisfy these needs as they gain an
identity and personal satisfaction as team
members.
Achievement of the desired objective is what separates a team from a group.

Previously noted are the efforts to reach a desired result and is the real reason why the
team exists in the first place. One of the greatest factors that distinguish groups from
teams is what each member contributes.
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.
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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.
The Five Cs of a Team

Team building is not easy. It requires knowledge and skill on your part as an enlisted leader to
take an assembly of complicated individuals with differing backgrounds, interests, personalities,
and strengths and mold them into a collaborative, successful team. To help you in your role, you
should have a thorough understanding of the Five Cs of a Team.
Community. Part of our job is making sure every
member of our team feels like an essential and
important part of the team and the unit. Building the
community begins the first day members report for
duty. For Airmen, explaining the organizations
mission, culture, values, and expectations are very
important. This is why sponsoring new arrivals is so
important to individual and team needs.
Sponsors assist in bringing others into the fold and
smoothing a fellow Airmans transition into the team.
Developing a sense of community is a wonderful
example of Service Before Self.
Cooperation encourages the team concept by making

sure everyone knows and understands the
organizations mission and purpose. Cooperation
encourages a participative approach to meeting these
objectives. Allowing members the opportunity to
assist by sharing ideas, and suggestions is valuable in
fostering team cohesion and mutual respect.
Though you may not act on someones suggestion,
allowing members to voice their opinion and listening
to what they have to say develops a greater sense of
involvement in the organizations direction.
34
Coordination ensures all members realize how

important they are to the mission. Explain
member responsibilities in detail and how their
actions affect the organizations success.
Also, confirm members assigned to your team
accept their roles and responsibilities and are
held accountable for their actions. Each person
is assigned to specific locations to fulfill Air
Force needs; remind your people of that fact
often.
Communication. In order for people to feel like part

of the team, they need feedback early and often.
Make sure everyone knows whats going on by
including such vital information in staff meetings, roll
calls, and other daily/weekly get-togethers.
Proper communication ensures everyone is on the
same page and working toward the shared goal.
Whenever possible, keep informational meetings to no
longer than twenty minutes. Long meetings tend to
drain energy and challenge attention spans.
During these short meetings, make sure everyone has an opportunity to speak by going around
the room or asking if there are any questions or concerns. This is a simple way to let your team
know everyone has the opportunity to offer their perspective and it supports cooperation.
Coaching. When you teach others, you broadcast a
very important message that says, Youre important
and Im here to help you succeed. Your team needs
to know that coaching is available and that you
promote from within. Training opportunities and
advancement are two essential components that
encourage and motivate members to grow and excel.
Coaching creates a positive outlook for your
personnel enabling your team to meet and even
exceed their goals. Whether a new arrival, or a
seasoned NCO, coaching is an important component
of continuous development.
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
The Five Common Dysfunctions of a Team

Absence of Trust: Absence of trust among team members impacts the willingness for members
to open up and share knowledge, feelings, and concerns with one another. This deprives the
team of valuable information that would allow others to acknowledge the individual strengths,
experience, and abilities that exist. A teams potential is never fully realized when members are
unable to trust each other.
Fear of Conflict: A lack of trust often increases the potential for conflict. Though positive
conflict and debate produces greater ideas and better solutions; negative conflict threatens trust,
healthy communication, morale, welfare, and mission accomplishment.
Lack of Commitment: Refusing to trust
one another and failing to openly
communicate will have negative
consequences on efforts to reach a mutual
agreement or consensus among team
members. Team members must have clarity
on the strategy, buy-in by all involved, and
a commitment for the long term mission.
Avoidance of Accountability: This
persons lack of dedication will likely
surface in their duty performance.
Substandard performance or behaviors is
oftentimes counterproductive and
detrimental to the teams success and merits
correction.
36

However, holding others accountable usually leads to
uncomfortable and confrontational interactions. Those
who fear retaliation and conflict are likely to avoid the
situation altogether.
Inattention to Results: This dysfunction occurs when
members place their individual needs and goals ahead
of the team and the organization. When this attention
shifts to personal agendas, team leaders will find
members working individually on activities that benefit
their careers, boost their egos, or enhance their
reputations.
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38
Stages of Team Development

The stages of team development are widely
known in educational circles and have been
studied for years by psychologists who
specialize in human behavior. One way to
view the stages is to compare them to a
relationship. When initiating a relationship,
you typically begin with introductions. As
rapport develops and you become more
comfortable with the relationship, you find
yourself sharing more personal information
like views, values, and opinions. This
communication usually sparks interest or
debate.
However, its not long before you realize
what intrigues or irritates the other person so
you try to pursue harmony in hopes the
relationship grows into something more.
Potentially, the relationship matures to a
level where you find yourselves working
toward goals together. Then, sadly, the
relationship ends, either by choice or an
unforeseen circumstance.
All teams begin as groups and gradually
(sometimes rapidly) progress as teams. According to an accepted theory on development
sequence in small groups put forth in 1965 by Psychologist Bruce W. Tuckman, teams progress
through four (maturing) stages. A fifth stage was added in 1977.
These five stages are known as the Forming, Storming, Norming, Performing, and Adjourning
stages which help determine the progress of the teams development by identifying typical
events that occur during each stage and how to properly manage them. Overreacting or
misinterpreting these events could prove detrimental to a teams ability in achieving its goals and
may negatively affect the teams dynamics.
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
Adjourning and Transforming

The fifth stage is referred to as the Adjourning or the Transforming stage, and it depends on the
type of team involved. Adjourning occurs as teams disassemble and members separate from the
team. Under favorable circumstances, adjournment is planned as a result of the team
accomplishing its goal. One example is process improvement teams. These temporary
endeavors eventually reach a resolution and no longer have a reason to exist.
Under other circumstances, external influences (like organizational restructuring or downsizing),
lack of funding, mission changes, or loss in significant members of the team can cause a team to
terminate before it completes its objectives.9 Regardless of
the reason for adjournment, plan the process whenever
possible.
On the other hand, transforming teams continue to exist,
moving from one objective to the next. After achieving one
goal, the team immediately focuses on its next mission.
Rather than adjourn, transforming teams remain together with
the occasional loss of some members (PCS, PCA, Retirement,
etc,) and the addition of other members whose expertise and
familiarity of the new goal prove beneficial to the teams next
success.
As leaders, it is your responsibility to move your teams through the stages of development as
smoothly as possible. This requires developing a comprehensive understanding of your teams
mission and the personnel assigned in order to properly match each person with the right role and
identify some of the teams dynamics. Below are some common behaviors you may see as a
team progresses through the stages of development.
Forming Stage
occurs when the
team meets and
starts to work
together for the
first time.
Storming Stage occurs when

the members within the team
start to "jockey" for position
and when control struggles take
place.
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.
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Moving from Forming to Storming, members:
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
Criticize and personally attack one another
Transitioning from Storming to Norming, members:
Set aside differences and willingly listen to each others inputs
Begin trusting one another
Encourage participation and cooperation
Depend on one anothers skills and abilities to reach shared
Agree to disagree, accepting the perspectives and opinions of each member
Advancing to the Performing stage, members:
Become highly cohesive, compassionate, and uphold synergy as a standard
Expect maximum participation and cooperation from all members
Trust each other whole-heartedly
Will reject or cast out those who choose not to advance with the team
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Regression of a Teams Development

A team proceeds through these stages only as far, and as fast, as its members are willing to grow.
Each member must be prepared to give up something at each stage to make the move to the next
stage. Here are some causes for regressing and methods to assist in recovering a highperformance team.
New Member: New personnel can affect interpersonal relationships in ways that upset
or reinforce team dynamics. Regardless of what stage teams are at, more often than
not, they return to the forming stage in order to develop a relationship with the new
members. New members learn details regarding the goal, their role, and expected
performance and behaviors. Teams may quickly progress through the stages to get
back to where they were before or not, it all depends on well new members interact
and are accepted.
New Goal: A new goal often sends teams back to the storming stage as they determine a
new strategy or plan and reassign roles. Explaining the reason for the change in
mission (creating a felt need for the change) and encouraging participation in role
selection while cultivating a cooperative environment can minimize the time spent
in the storming stage.
Team Schedule: Altering a teams schedule can affect performance because activities
and roles usually change too. These changes cause stress which leads to conflict
(storming). Leaders anticipate the potential for elevated tension and take steps to
mitigate conflict by maintaining open channels of communication and encouraging
members to communicate their concerns.
Unresolved Conflict: When conflict occurs, savvy leaders quickly determine whether
the conflict is constructive/positive or destructive/negative and if it is destructive,
they take immediate steps to manage the issue. Leaving conflict unresolved, allows
team members to take sides creating even more conflict and drawing the teams
focus and momentum away from the goal and reducing its productivity.10
44
45
Progress Check
19. Identify each characteristic by selecting one of the five Cs.
A. Community
_____ Encourages the team concept by making sure everyone knows

and understands the organizations mission and purpose, which
encourages a participative approach to meeting these objectives.
B. Cooperation
_____ Ensures all members realize how important they are to the
mission.
C. Coordination
_____ Proper communication ensures everyone is on the same page

and working toward the shared goal.
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
_____ Avoid conflict as its negative connotation threatens

trust, communication, morale, welfare, and mission
accomplishment
B. Avoidance of
Accountability
_____ Doubt in others or mission will cause members to

struggle to commit fully to ideas, decisions, or tasks
made by other members of the organization
C. Fear of Conflict
_____ Holding others accountable usually leads to

confrontation. Members are likely to avoid these
situations
D. Inattention to Results
_____ Unwillingness to confide in and share knowledge,

feelings, and concerns with one another
E. Lack of Commitment
_____ When members place their individual needs and goals

ahead of the team and the organization
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
_____ Accept roles and responsibilities
B. Storming
_____ Collaboration and camaraderie grow
C. Norming
_____ Creativity is high as members are willing to share

ideas without fear of negative criticism and reprisal.
D. Performing
_____ Eventually the team reaches their goal
E. Adjourning/
Transforming
_____ Heightened morale and loyalty to the team and

its success
_____ Little or no conflict
_____ Minimum shared feelings and feedback
_____ Productivity is high
_____ Teams disassemble and members separate from the team
_____ Most difficult stage
_____ Disputes and arguments occur
_____ Members acknowledge the purpose and goal of the team
_____ Stress and anxiety increase
_____ Minimum shared feelings and feedback
_____ Members Agree to Disagree
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Measuring Team Success

Measuring your teams success is not just looking at the numbers. It includes evaluating and
using the knowledge, skills, experience, assessment and evaluation results, and resources you
have in the most efficient ways possible to effectively complete the mission.
Determining how well a team meets their
mission is difficult. Clear assessments of
team performance are usually obtained after
the team reaches the goal during the
Adjourning stage of team development.
Some methods and forums used to assess
team success include after action reports
(AARs), Hot Wash meetings, and lessons
learned. Consider the following when
assessing your teams success:
How well did the members work together?
How resourceful and cost-effective were the teams actions?
Did the team meet mission objectives ahead of schedule? On time? Behind schedule?
How well did the team overcome challenges?
How effective was each member in fulfilling their assigned roles?
Consider customer feedbacks and surveys? Were the responses favorable or

unfavorable?
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:
Talents (skills and abilities)
Expertise (knowledge and experience)
Assessments (Customer surveys, inspections, performance evaluations)
Means: (Resources to include: equipment, facilities, financial, time, information)
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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?
Summarize and Reflect

Whether you are leading a section with multiple teams or just one, teamwork is visible as the
groups mature into close-knit units that work together to achieve a common goal. Through trial
and tribulation, teams are able to exceed all expectations, enduring tremendous challenges and
willing to sacrifice all for the benefit of their comrades.
Developing teams to reach the highest levels of performance demands a person ready, willing,
and able to accept the responsibility and be their leader. Are you willing to lead your team?
Paul Bear Bryant, legendary college football coach for the University of Alabama was once
asked how he got his Roll Tide football players to work as a team. This was Coach Bryants
response:
Theres just three things I would ever say:
If anything goes BAD, I did it.
If anything goes SEMI-GOOD, then WE did it.
If anything goes REAL GOOD, then YOU did it.
Thats all it takes to get people to win football games for you.
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,
http://www.fctl.ucf.edu/TeachingAndLearningResources/CourseDesign/Assessment/content/101
_Tips.pdf, (accessed 17 Mar 2010).
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Progress Check Answers

1. Your response should center on:
- Groups are just assemblies of people or objects
- Words associated with groups include: collection, gaggle, crowd, cluster, assembly,
gathering, mass

- Teams are organized groups of individuals working together to reach a common goal
- Words that describe teams include: unified, cohesive, unified, collaborative, solidarity,
joint, coalition

- Detached/disconnected
- Alone/solitary
- Removed
- Uncomfortable
- Disinterested

- Indifferent
- Groups success was unimportant
- Efforts seemed meaningless
- Had no significant purpose
55

- Part of something special
- Had an identity
- Better chance of succeeding
- Worked harder for teammates
- More willing to help
- Achieved greater results
- Increased pride in self/teams success

- Evident Esprit-de-Corps
- Increased productivity
- High morale during high ops tempo
- Willingness to help fellow teammates
- Strong identity/camaraderie
- Little to no negative conflict
- Differences resolved through compromise or collaboration
7. The Department of Defense Dictionary defines mission as, the task, together with the
purpose, that clearly indicates the action to be taken and the reason thereforea duty
assigned to an individual or unit; a task..
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
57
Monitored our contributions and when necessary, stepped in to fill

gaps to keep things moving in the right direction
very participative throughout
Offered ideas to get the process going
Encouraged and supported ideas when others didnt
Participated in the examination of each idea
Supported efforts to implement and complete the activity
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
Impact to Team without this Role present.
No one to offer fresh concepts or ideas; offer processes/methods to

move forward
Without Creators, nothing improves; teams remain stagnant by

repeatedly revisiting old solutions.
No one to communicate/promote new ideas or to think of ways to

implement them
No one to whip up enthusiasm for a project
No one to recognize ideas and new directions in the early stages
Without Advancers, team discussion results in an endless debate

between the Creator and the Refiner who will continuously
revaluate and challenge their own ideas
No one to:
Analyze, challenge, and detect flaws in concepts and ideas
Use a logic, systematic approach to redesigning solutions
Ensure ideas are sound before moving them to the next level ideas,
good or bad would be pursued without proper evaluation
No one to:
To implement ideas and solutions in an orderly manner, based on a

well-thought-out plan
Ensure end results are of high quality put ideas into a workable plan
58
Flexer
Flexers are able to:
Focus on everything
Adapt their styles to fit the needs of the team
View issues from multiple perspectives
Monitor contributions of all team members and when necessary,

step in to fill gaps in order to keep things moving in the right
direction.
Demonstrate equal preference for most or all of the roles
12. What are the advantages of having a Flexer on your team?

Advantages: Flexers are able to:
- focus on everything
- adapt their styles to fit the needs of the team
- view issues from multiple perspectives
- monitor contributions of all team members and when necessary, step in to fill gaps in order
to keep things moving in the right direction.
- demonstrate equal preference for most or all of the roles
13. How would you summarize the P.E.P. cycle?

It begins with a call for ideas and when team members come up with an idea, they move
from Panic to Elation, then without encouragement they slide back to Panic.
14. Why is it important to understand the P.E.P. cycle?

- Knowing the cycle exists allows team leaders to monitor idea generation and then, at the
peak of elation, hand ideas off to the Advancer. This gives Creators (and others) the
confidence to put forth additional ideas.
- Without continuous monitoring of the cycle, ideas die soon after creation because no one
recognizes their importance or promotes them. In the meantime, the Refiner and Executor
wait impatiently idle.
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
60
19.
A. Community
B . Encourages the team concept by making sure everyone knows

and understands the organizations mission and purpose, which
encourages a participative approach to meeting these objectives.
B. Cooperation
C . Ensures all members realize how important they are to the

mission.
C. Coordination
D . Proper communication ensures everyone is on the same page and

working toward the shared goal.
D. Communication
E . Creates a positive outlook for your personnel enabling your team

to meet and even exceed their goals.
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.
61
20. Match each of the Five Common Dysfunctions with its characteristic?
A. Absence of Trust
C .
Avoid conflict as its negative connotation threatens

trust, communication, morale, welfare, and mission
accomplishment
B. Avoidance of
Accountability
E .
Doubt in others or mission will cause members to

struggle to commit fully to ideas, decisions, or tasks
made by other members of the organization
C. Fear of Conflict
B .
Holding others accountable usually leads to

confrontation. Members are likely to avoid these
situations
D. Inattention to Results
A .
Unwillingness to confide in and share knowledge,

feelings, and concerns with one another
E. Lack of Commitment
D .
When members place their individual needs and goals

ahead of the team and the organization
21. Positive team dynamics result in high-performance teams:

- Team members communicate well, respect each other, have equal amounts of commitment,
are willing to recognize and work with each others strengths and weaknesses, and utilize
preferred roles.
Negative team dynamics result in low-performance and may even tear teams apart.
- Team members do not communicate well, show no respect for each other, offer very little
commitment, are refuse to recognize and work with each others strengths.
22. - Communication
- Integration of various skill sets
- Perspectives
- Temperaments
62
- 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 .
Accept roles and responsibilities
C .
Collaboration and camaraderie grow
D .
Creativity is high as members are willing to share ideas

without fear of negative criticism and reprisal.
D .
Eventually the team reaches their goal
D .
Heightened morale and loyalty to the team and its success
A .
Little or no conflict
A .
Minimum shared feelings and feedback
C .
Productivity is high
E .
Teams disassemble and members separate from the team
B .
Most difficult stage
B .
Disputes and arguments occur
B .
Members acknowledge the purpose and goal of the team
B .
Stress and anxiety increase
A .
Minimum shared feelings and feedback
C .
Members Agree to Disagree
D. Performing
E. Adjourning/
Transforming

24. How efficiently & effectively the following were used to complete the mission:
- Talents (skills and abilities)
- Expertise (knowledge and experience)
- Assessments (Customer surveys, inspections, performance evaluations)
- Means: (Resources to include: equipment, facilities, financial, time, information)
63
64
Formative Exercise Answers

1. CORRECT ANSWER: b
RATIONALE
a. This answer is INCORRECT. According to Team Building chapter, the Five Cs of a
team are the qualities of community, cooperation, communication, coaching, and
coordination, needed in making of a strong team. Although there is slight indication of
communication in the scenario, there is not enough information to determine TSgt
Tuckmans understanding of the Five Cs. See rationale for correct response for
additional information.
b. This answer is CORRECT. According to the Team Building chapter, stages of team
development are known as the Forming, Storming, Norming, Performing, and
Adjourning. It helps determine the progress of the teams development by
identifying typical events that occur during each stage and how to properly manage
them. In the scenario, there are indications of the work group going through those
stages (Forming: introductions and team objective; Storming: disagreements;
Norming: when Tuckman refocuses the group; Performing: identifies the problem
and develops a plan.) and Tuckman is helping the team move along in those stages
to ensure team success.
c. This answer is INCORRECT. There is no indication in the scenario for P.E.P. Cycle
which, according to the Team Building chapter, is a Panic-Elation-Panic cycle that an
idea naturally goes through. There is no indication in the scenario of panic or elation.
See rationale for correct response for additional information.
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. http://www.au.af.mil/au/facts.asp#top (accessed

24 Mar 11).
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).
Lencioni, Patrick. The Five Dysfunctions of a Team. Jossey-Bass Publishing/Wiley Imprint,

CA, 2002, 187.
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.
Stewart et al., Team Work and Group Dynamics, 88.
10
AFI 36-2618. The Enlisted Force Structure, 27 Feb 09, 5.
67
CHAPTER TWO: Leader Influence

Followership
Developing as a Leader to Lead
Airmen
Implementing Change
Reorganizing Forces and

Capabilities
Developing & Inspiring Others
Diagnosing
Adapting
Communicating
Developing Airmen
Leadership Power
SSgt Burton just graduated from Airman Leadership

School and is about to supervise two Airmen. She thinks
about all her past supervisors and how they were as
leaders. Burton recalls how TSgt Mitchell motivated and
helped her develop both personally and professionally.
She also remembered how he was as good a follower as
he was a leader. She decides that TSgt Mitchell would be
a great person to emulate.
Leadership is solving problems. The day Soldiers stop bringing

you their problems is the day you have stopped leading them. They
have either lost confidence that you can help or concluded you do
not care. Either case is a failure of leadership.
- Colin Powell
Types of Power
Developing Leadership Power
Leadership and Contemporary

Motivation
Scenario
Personal Leadership Development
Plan (PLDP)
68
Chapter Two: Leader Influence

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend how leader influence
impacts NCO, subordinate, unit, and
mission effectiveness.
Behavior:
1. Explain the impact of leader
influence on NCO, subordinate,
2. Give example of how leader
influence impacts NCO,
subordinate, unit, and mission
effectiveness.
3. Predict the impact of leader
influence on NCO, subordinate,
Value Leader Influence and how it
enhances NCO, subordinate, unit, and
with leader influence and its
impact on NCO, subordinate,
2. Willingly accept that leader
influence is important to NCO,
subordinate, unit, and mission
effectiveness.
3. Develop a preference for using
leader influence to enhance
effectiveness.
4. Commit to using leader influence
to enhance NCO, subordinate,
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?
As NCOs, you are a vital part of your unit. Directly or

indirectly, you have some influence on Airmen in your unit or organization. You are a leader
whether you want to be or not. As leaders, you have a responsibility to lead as well as follow.
You also have a great responsibility to develop yourself as a leader in order to lead, develop, and
inspire Airmen in todays Air Force.
In this chapter, you will examine your influence as a leader in the United States Air Force. First,
you will look at the concept of followership by discussing the definition and what it means to be
an effective follower. Next, you will review the leader compass from the book True North
illustrating how to develop 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?
70
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.
71
5 Essential Qualities of Effective Followership

Self-Management
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
Being committed to the organization and to a purpose beyond

themselves, effective followers strive to excel at everything they do.
Competent
Build their competence and focus their efforts for maximum impact.
They strive to reach higher levels of performance and expand
themselves.
Integrity
One of the most important characteristics of an effective follower may

be the willingness to tell the truth. It is imperative that followers
provide truthful information to their leaders.
Initiative
Initiative is motivation, determination, perseverance, and risk-taking.

Being a good follower requires more than just meeting the standards.
Another very important aspect as it relates to the leader and follower

relationships is having effective communication. It is vital that the
follower be able to provide both feedback and advice to you as their
leader. Although some feedback and advice can come from
experience and personal opinions, followers are to understand that
they need to be prepared to give feedback and advice to you by
obtaining relevant information from various sources.
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.
72
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.
Essential Follower Traits
Competence
Integrity
Loyalty
Initiative
Another way to increase the amount of influence you have

is by knowing yourselfknow how you feel about things,
and how you react to various situations. As a follower, you
will often find yourself in situations you do not especially like, or you might have to do things
differently from how you would like to do them. Because of this, you must know yourself well
enough to control your emotions and behavior that would be inappropriate because sometimes
you find yourself challenging a decision, policy, or practice.
Challenging your supervisors decisions can be an intimidating experience. However,
supervisors are human and capable of making mistakes. Practice good followership and your
relationship with your supervisor will be one of mutual trust and respect. Demonstrating good
followership definitely increases your chances at changing a policy or decision. Adhere to the
following to increase your chances of success:
73
1. Control your emotions. Rather than plead your case or

demand action, remain calm and rational. Present your
opinions in a mature, adult manner.
2. Offer solutions to problems. If you feel a problem is
important enough to bring to your supervisors attention,
chances are you have given it some thought already.
Take time to think of a way to fix the problem. Even if
your supervisor does not accept your solution, he or she
will appreciate the fact that you presented it as a
proposed solution instead of merely complaining about
it.
3. Recognize the importance of timing. Choosing the right
time to challenge a decision is important. Do NOT
challenge during an emergency or time-critical situation,
or when there are others around and it could embarrass
your leader.
How to Increase Your

Chances of Success as a
Follower
Control your emotions.
Offer solutions to
problems.
Recognize the importance

of timing.
Use the chain of command.
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.
74
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?
4. What is meant by advocating for a leaders point of view?
5. What should be your objective in committing to the action plan of the organization and
mission?
75
76
Developing as a Leader to Lead Airmen

In the book, True North, George and Sims explain the
concept of being an authentic leader.1 While developing into a
leader, it is sometimes difficult to stay on course due to
changes in your lives and the effects of external forces. When
these changes push you off track, the one sure way to get back
on track is to return to your compass, to your true north.
Your compass keeps you focused on what is important, which
is, according to George and Sims, five areas essential for
personal and professional leadership development.
1. Self-Awareness: Leadership begins with self-awareness.
That means getting to know yourself to understand your
strengths and developmental needs. This chapter and other
chapters such as Diversity will help you gain better selfawareness.
2. Values and Principles: As a leader you must know your deeply held values, adhere to the
ethical principles that guide your leadership, and avoid ethical traps. We discussed some of
those values and principles in the Airmanship, Diversity, and Ethical Leadership chapters.
3. Motivations: Leaders must know what motivates themselves and others and how to balance
both external and internal motivations. This chapter speaks to motivational things.
4. Support Team: Leaders must recognize their support team (family, co-workers, leaders,
mentors, and subordinates). These areas of support were discussed in the Airmanship
chapter.
5. Integrated Life: Leaders must know how to integrate and balance every aspect of their life
(family life, personal life, professional life, including community and friends).
SELF-REFLECTION OPPORTUNITY: How might your understanding and use of the
leadership compass enhance NCO effectiveness?
While the leadership compass enables leaders to stay focused on being more effective, once they
stabilize the direction of their compass, leaders also have a responsibility to develop and inspire
others.
77
Developing and Inspiring Others

As a leader, your focus is normally two-fold. You have to focus on both the mission of the
unit/organization and leading the people within that unit/organization. As a leader, you cannot
afford to compromise either one. The operation of the organization has to come first, followed
by the needs and development of the individuals you lead within the unit/organization. This
concept aligns with the principle, purpose, and people concept introduced in the Ethical
Leadership chapter. As an effective leaders tool, you can use the skills: diagnose, adapt and
communicate (DAC) to ensure mission
accomplishment and to develop and inspire
others within the unit.
As a leader, you are responsible for
diagnosing your unit (AOR, Wing, and Air
Force) and your followers. The first
assessment you should make is to determine
the current state of affairs surrounding your
area of responsibility. Is the organization
healthy? Does it have an ethical climate? Are
the right people with the right knowledge,
skills, and abilities filling positions? Second,
as a perceptive leader, you should assess your
followers to determine developmental needs and match those needs to needs of the unit (wing,
Air Force, etc.), more specifically, current and future roles and responsibilities that will help
followers develop into even better leaders.
In all cases, diagnose based on the needs of the Air Force first and the needs of your Airmen
second. For example, your organization needs a resource advisor and you happen to have an
NCO with strong financial skills and lots of potential. However, the NCO prefers to stay in his
current position where he is comfortable and safe. The unit needs a resource advisoran Air
Force need, so the perceptive leader pushes the NCO into the resource position because it meets
an Air Force need and it helps the NCO grow. Sure, at the time, he may not like it, but as
leaders, we see potential and opportunities so we have to help our people help themselves. This
usually means giving them a little nudge or a big push now and then.
In order to take organizations and individuals from their current state to a better, more effective
state, you need to be able to apply three specific skills which will enable you to diagnose, adapt,
and communicate effectively.
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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.

An organizations environment goes a long way in
determining how the organization performs. Bartol and
Martin explain the organizations environment as the
general conditions that exist within an organization.4
These conditions tend to either aid or hinder peoples
efforts to accomplish their jobs.
According to Management, 2nd ed., when leaders assess
the environment, you must examine two areas:
1. Resource Availability: Are all resources necessary
for accomplishing the mission available? Resources
generally fall into one of four categories: human,
financial, physical, and informational. When people
tend to think of resources as a management issue, as a
leader, you must consider how resource availability
influences the environment.
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When diagnosing the status of on

organization observe the
following
The situation (based on the

current situation and what we
want it to be in the future)
The people (based on the

indicators or morale, esprit de
corps, discipline, and
proficiency)
The environment (based on

resources and structure)
2. Leader Actions: Are past and present leader actions

conducive to people fulfilling their responsibilities
and developing professionally? Some specific leader actions that affect the organizational
environment are: establishing direction and priorities, creating policy, making decisions, and
providing information. Once you put the assessment of the people and environment together,
you can adapt to change the situation.
TSgt Smith, upon taking over the maintenance work center

for the squadron, begins diagnosing the work center to
identify areas that may need improvement. Because he just
took over the section, he didnt want to make immediate
changes without observing the work center first. He
notices that morale and espirit de corps seemed good and
the team seemed well disicplined and proficent in
maintenance tasks. However, upon reviewing the work
centers maintenance records, he noticied that several of
the records indicated that equipment belonging to the
squadron were past due their annual services. He asked
Senior Airman Welch about the records and identified that,
due to a lack of training; no one knew how to update the
records in the work centers new records database
software.
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In this scenario, which of the four categories do

you think TSgt Smith observed to be a problem
when he observed the people in the work
center? In observing the environment TSgt
Smith identified that the Airmen in the work
center were untrained on how to update the
records. How do you think this informational
resource impacts the work centers mission
effectiveness?
A good diagnosis helps leaders see a clear
picture of the needs of the AOR, unit, wing,
and/or Air Force, and how their actions play a
significant role in the spirit and responsiveness of their people, and in the creation of an
environment conducive to effectiveness and efficiency. This picture is the foundation upon
which leaders can effectively develop or change their current leadership style and approach. We
call this skill adapting
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
High task, low relationship
Very task oriented and hard on their workers

(autocratic)
Little or no allowance for cooperation or collaboration
Very strong on schedules;
Expects people to do what they are told without

question or debate;
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),
They make it very difficult for their subordinates to

contribute or develop
Low task, high relationship
Relies upon reward power to maintain discipline and

to encourage goal accomplishment
Almost incapable of employing coercive and

legitimate powers Because they fear using such
powers could jeopardize his or her relationship with
the team members
Country Club Leader

Example of when this style may
be needed:
In A highly efficient and

disciplined work center
that isnt rewarded
properly or are motivated
by rewards.
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Impoverished Leader
be needed:
A self-sufficient work
center where the people
are very independent and
dont require a lot of
supervision.
Low task, low relationship
Relies upon a delegate and disappear management

style
Is not committed to task accomplishment or

maintenance
Allows teams to do whatever they wish and

prefers to be detached from the team process by
allowing it to suffer from a series of power
struggles
High task, high relationship
Leads by positive example
Endeavors to foster a team environment in which all

team members can reach their highest potential,
both as team members and as people
Encourages the team to reach team goals as

effectively as possible, while also working tirelessly
to strengthen the bonds among the various members
Forms and leads the most productive teams
Team Leader
be needed:
On a work center where

there is a mixture of the
examples provided
above.
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.
After completing his diagnosis, TSgt Smith decides that he

needs to adjust his default leadership style from Country
Club to the Authoritarian style since the importance of
maintaining proper maintenance records is a critical task.
He begins by directing all of the maintenance team leaders
to attend a meeting to discuss the problem with the
updating of the maintenance records. At the meeting he
informs the team leaders that although the work center is
performing well in maintaining squadron equipment, it is
vital to the success of the work center and squadrons
mission that proper records are kept. He then solicits ideas
from the team leads to determine the best course of action
in training the work centers personal on the new record
system.
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.
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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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Deliberate Development Plan

Once you have diagnosed your unit or organization
and the developmental needs of your Airmen, you
should create a deliberate development plan with
each individual. Before moving on, lets look at the
definitions of deliberate, develop, and plan
according to Webster:
Deliberate - to think about or discuss issues and
decisions carefully
Develop - to create or produce, especially by
deliberate effort over time; to expand by a process
of growth
Plan - a method of achieving an end; a detailed program
EPME uses the following working definition for deliberate development plan:
To carefully think about and discuss strengths, areas of improvement, current and
future roles, and responsibilities with followers for the purpose of creating a
detailed plan (or expanding an existing one) that intentionally and methodically
develops personal and professional growth over time.
Creating a deliberate development plan includes assessing the whole person and targeting
specific areas that need improvement and/or need expanding in order to fulfill current or future
job/roles and responsibilities.
Examples of current/future job/roles and responsibilities include but are not limited to:
Team Leader
Ceremony MC, Scout
Leader Honor guard
Youth League Coach
Church Volunteer First

Sergeant Recruiter
Defense Attach
PME instructor
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:
Other people who have skills and are willing to mentor
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.)
Eligibility (promotion, special duty assignments, deployments, TDYs, etc.)
Private Organizations (Top 3, AFSA, Toast Masters, 5/6, etc.)
Monitor the Plan

Consistently check progress against milestones/deadlines and adjust as necessary.
For example, after diagnosing her unit and her subordinate SSgt Taber, TSgt Chardon
helps Taber create a deliberate plan that postures her for the units additional duty
training position when it come open in 12 months. The plan may include attending base
training and certification courses, off-duty education (writing, speaking, and curriculum
development courses), and shadowing the current training NCO. The plan includes
milestones and deadlines for completing the training and certification course, the off-duty
courses, and so forth. Chardon monitors the milestones and deadlines and, when they
come up, she meets with Taber to check progress and to adjust the plan if needed.
Deliberate development plans should include things that will help Airmen fill current and
future job/roles and responsibilities and that help Airmen in gaining desired skills while in
current and future positions.
For example, TSgt Chardons other subordinate is SSgt Hope who loves the Air Force
and shows it through her enthusiasm and energy.
88

Chardon feels Hope would make an outstanding recruiter. After discussing it with Hope,
she learns that Hope would enjoy the challenge. However, Hopes verbal and nonverbal
communication needs improvement. Chardon wants Hope to be successful, so together
they develop a six-month plan that includes Hope taking some speech classes, joining the
local toastmasters club, and submitting her special duty application. Although the speech
class and the speech club will help set Hope up for success, her real learning and growth
will occur while she is actually performing recruiting duties. Besides honing her
speaking skills, Hope will also improve her time management, organizational, selfdiscipline, and interpersonal skills.
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?
89
Progress Check
6. What does capabilities of an Airman mean?
7. How would you define deliberate development?
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.
13. What are some examples of future job/role responsibilities?
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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.
Developing Leadership Power

Position Power
Position power comes in four types: coercive, connection, reward and
legitimate. Each based on different aspects of your authority and
responsibility within the organization.
Position Power
provides you with
the authority to
make decisions and
requests based on
your position within
the organization.
Coercive power deals with the leaders perceived ability to provide

sanctions, punishment, or consequences for not performing.9 You can
easily erode your coercive power in several ways. For example, relying
too much on fear tactics can
quickly decrease your edge
when it comes to correcting
substandard performance.
Leader Powers
When you punish people
regardless of performance, coercive power has little
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
Personal: Referent, Expert,

and in-turn affect mission accomplishment.
Information
92
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.
Personal Power is the

extent to which
followers respect, feel
good about, are
committed to their
leader; and see their
own goals being
satisfied by the goals of
their leader.
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Examples of Personal Power

Referent power SrA Armstrong is well liked among his peers and supervisors. He is
often chosen to lead small teams and is very effective in earning their trust and
encouraging the team to complete the tasks correctly within the time allotted.
Information power As the President of the Junior Enlisted Airmans Committee
(JEAC), SSgt Smith obtains information important to the junior enlisted on base.
Expert Power Because of his vast knowledge in the career field, TSgt Dunaway is
often sought after for advice on how to perform operational tasks.
Remember, power is the potential to influence
others, but it has no impact unless it used
appropriately. How you use your power
determines your effectiveness as a leader, as well
as your impact on your organizations mission.
As an NCO, you are charged with taking care of
your people while executing the mission. This
charge requires a great amount of skill and
leadership ability. Your ability to understand and
properly use your leadership and leader power will
go a long way in determining your effectiveness
as a leader.
SELF-REFLECTION OPPORTUNITY: How important do you think the appropriate use of
leadership power is in the success of an organizations mission? How might the inappropriate
use of either position or personal power affect an organizations mission?
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Progress Check
14. As a leader, how have you exercised position power?
15. As a leader, how have you exercised personal 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.

As leaders, we have a huge responsibility to develop our
Airmen to meet the needs of the Air Force. However,
Airmen will not fully develop without motivation. Leaders
must find out what motivates each individual and constantly
tap into those things to get the full potential out of their
Airmen.
Contemporary Motivation from Five Classic Motivational
Theories
Wouldnt it be great if you knew the secret to motivating
people? As an NCO, your job would be so much easier if
you had the ability to motivate people whenever you wanted.
You have the responsibility as an NCO to commit to the
organizations goals, but how do you convince your Airmen
to embrace those goals, even when the goals are not very
convenient? There are many different motivational theories.
Listed below are five of those theories.
ABCs of Behavior- B.F. Skinner
Skinner developed what he calls the ABCs of behavior which stands
for antecedents (prior events), behavior (observable behavior), and
consequences (rewards or punishments resulting from prior events).
Skinners theory, in simple terms, states that a person will tend to
change their behavior based on consequences, resulting from prior
behavior. If a person receives a reward for prior behavior, they tend to
repeat that behavior. On the contrary, if a person receives punishment,
they will often avoid the behavior. Random positive awards can be very
powerful and may be the reason many people get addicted to gambling.
They received a reward, which encourages them to play again based on
a chance to receive another reward.
X & Y Theory- Douglas McGregor
McGregor focused his theory on the attitudes of the supervisor and the
subordinate with his Theory X and Theory Y style of supervision.
The Theory X manager assumes that most people prefer to be directed,
and are not interested in assuming responsibilityall they desire is
safety.
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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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Supervisors Responsibility for Rewards

Since everyone is entitled to system level rewards, supervisors must ensure their subordinates
meet all standards, and ensure they receive their system level rewards. In addition, supervisors
must strive to help people move from the membership level of commitment to the performance
level of commitment, by appropriately rewarding those who perform above the standard, and
by ensuring their followers
continue to meet standards
and receive their system level
rewards. A supervisors
ultimate goal is to create an
environment where workers
can thrive.
Even with the perfect
environment, supervisors
must continue to reward
appropriately and ensure
their followers continue to
meet standards and continue
to receive their system level
rewards. It is important to
note that supervisors can
motivate followers to move
from the membership level of
commitment to the performance level of commitment through appropriate rewards. However,
supervisors cannot motivate followers to move to the involvement level; operating at this level
can only come from internal motivation. What supervisors can do is create an environment
where people can thrive; meaning, they enjoy coming to work, they are empowered to perform
their duties, and they are able to seek opportunities to grow and reach their aspirations.
Effective leaders know their Airmens strengths and create an environment in which their
Airmen can use them. Creating such a work environment allows followers to reach their
maximum potential and when they do, they reward themselves for jobs well done.
Knowing your people is a big part of contemporary motivation. Each Airman has an internal
switch that triggers his or her motivation. When leaders create the right environment, as
described above, individuals switch on their own motivation and begin operating at the
involvement level of commitment. Just imagine how effective your work center would be if
every member operated at the involvement level.
As NCOs, you have automatic leader influence. Whether you have an official title in your unit
or not, you are a leader and have influence on those below and above your current rank. Your
influence is based on your ability to be an effective follower, including giving your lea ders
sound feedback and advice. You must develop yourself as a leader to lead Airmen by staying
on course using your True North.
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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
______ tend to be more involved in the work center and

often contributes but only as long as leadership recognizes
their contributions.
b. Performance Level
______ at this level subordinates 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.
c. Membership Level
_______ 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.
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?
18. List three examples of a System Level Reward.
19. What is a leaders responsibility as it relates to system level rewards?
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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?
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?
explain why they are ineffective.
4. (Predict Step) If MSgt Green continues his current course of action, what can you predict
will happen?
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?
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
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(Answer) Appropriate because, according to the chapter, followers should gather

information from various sources in order to provide sound feedback and advice and this is
exactly what Green did.
3. (Determine) If his actions, decisions, and behaviors were appropriate, skip this step. If not,
explain why they are inappropriate.
(Answer) Because his actions, decisions, and behaviors were appropriate you should have
skipped this step.
4. (Predict) What can you predict will be the outcome of MSgt Greens Followership and
why?
(Answer) Greens input will more than likely improve the training program because
according to the chapter, when followers provide sound feedback and advice to leaders, they
allow leaders to make better decisions, which leads to more effective mission
accomplishment.
Developing as a Leader
1. (Identify) Where did you see Developing as a Leader? Why do you say thats developing as
a Leader?
(Answer) Para2 fully involved with people, the unit and the community, take care of family,
Airmen look sharp and always motivated
According to the chapter, leaders must know how to integrate and balance every aspect of
their life, recognize their support team, and know what motivates self and others and in these
examples, Green is doing all three.
2. (Differentiate) Are MSgt Greens Developing as a Leader actions, decisions and behaviors,
pointed out by Chief Jackson, effective or ineffective and why?
(Answer) Effective because Green is able to balance life, recognize support and motivate
self and others, which are three of the five components of the leadership compass. Chief
Jackson recognized this about Green, and as a result rewarded Greens efforts.
skipped this step.
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?
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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.
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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Developing & Inspiring Others (People)

1. (Identify) Where did you see Developing as a Leader? Why do you say that is Developing
as a Leader?
(Answer) Para5 (D) Carter never seems motivated and excited about his job, decides Carter
has potential, ideal candidate.
Para6 (D) several unique skills and talents, communication and interpersonal skills are
lacking, want to become recruiter/PME instructor
(C) Tells him jobs require good communication and interpersonal skills (set plan) offers an
opportunity to work on skill, need someone to fill the safety representative, requires detailed
written reports and periodic safety briefings, will help polish communication and
interpersonal skills. Adapted by his leadership style by taking a different approach
According to the chapter, leaders must use the skills diagnose, adapt and communicate
(DAC) for people to develop them.
In these two paragraphs, Green:
Diagnosed Carter as not very motivated or excited about his job, but sees potential and thinks
he is an ideal candidate He also diagnosed Carter as having several unique skills and talents,
but lacking, communication and interpersonal skills. And finally, he diagnosed that he has
aspirations to become a recruiter/PME instructor.
He communicated to him that both jobs require good communication and interpersonal skills.
Green begins setting a plan by offering the safety position and telling Carter it will help
polish his communication and interpersonal skills.
2. (Differentiate) Were MSgt Greens Developing as a Leader actions, decisions and
behaviors, effective or ineffective and why?
(Answer) Effective, but not MOST effective because according to the lesson, leaders should:
diagnose capabilities
diagnose developmental needs (personal/professional) considering various factors

(aspirations, attitudes/values etc.)
create a deliberate developmental plan that recognizes and incorporates possible

current/future job/role responsibilities
setting the plan which includes recognizing and securing resources for plan and
establishing milestones and deadlines to cover a specific period of time
monitor plan and make adjustments
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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.
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
(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
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.
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 of the organization receives system level rewards;
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
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.
Personal Leadership Development Plan (PLDP)

Effective leadership does not just happen; it requires
planning and a great deal of effort. Once developed,
personal leadership plans require continuous updating to
remain effective. This project allows you to develop a
PLDP tailored to your professional goals. If you are
selected to attend the NCOA in-residence, your PLDP
will be visited again. Use the following information to
develop your plan.
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PERSONAL LEADERSHIP DEVELOPMENT PLAN CONTENT

Format:
- Cover page (see attachment 3)

- Narrative style writing (no bullets)
- Times New Roman 12 point font
- Double spacing between paragraphs
- Each section must start on a separate page
Instructions:
- This assignment consists of four parts:
-- Part I: Personal Values
-- Part II: Leadership Vision Statement
-- Part III: Strengths and Improvement Areas
-- Part IV: Development Action Plan
Content:
- The PLDP must address the following:
-- Part I: Personal Values
--- List your top 5 personal values in order of importance (i.e., compassion, teamwork,
etc.) and provide a brief description of what the value means to you and how each
value impacts your life and your potential leadership effectiveness
--- These 5 values should be an addition to the AF Force Core Values. While the core
values are extremely important, they are organizational values. The student must
focus on personal values.
-- Part II: Leadership Vision Statement
--- In 300-400 words, capture the type of leader you want to be and what you want to
accomplish as a leader in a vision statement.
--- Visualize yourself as a leader in the future
--- Use the personal values you identified in Part I as a foundation
-- Part III: Strengths and Improvement Areas
--- Based on the information you learned about yourself in this course from the lesson
concepts, self-assessments, and peer and instructor feedback:
--- List 3 personal strengths and briefly explain why each is a strength
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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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PDLP Template (Page 1)
PERSONAL LEADERSHIP DEVELOPMENT PLAN

FOR
RANK FIRST NAME LAST NAME
[ENTER NAME] NONCOMMISSIONED OFFICER ACADEMY
MONTH, DAY, YEAR

INSTRUCTOR: Rank Last Name

PART I: PERSONAL VALUES (Page 2)
My top 5 values are:
1. Value 1
2. Value 2
3. Value 3
4. Value 4
5. Value 5
PART II: Leadership Vision Statement (Page 3)
As a leader, I want to .
PART III: STRENGTHS AND WEAKNESSES (Page 4)
Throughout this course, I identified
PART IV: DEVELOPMENT ACTION PLAN (Page 5)
Strengths
1. Strength #1
2. Strength #2
3. Strength #3
4. Improvement area #1
Action Plan (must address the following questions)
1. What student plans to improve/develop?
2. How student plans to improve/develop?
3. Whenhow long will it take (timelines)?
4. Resources identified (training, Edu, etc.)?
5. How will student measure success?
117
118

You began by reading about the importance of followership and looked at developing as a leader
by discussing the leadership compass and the importance of staying focused on your True
North. Next, you covered the leader skills of diagnose, adapt and communicate as they relate to
organizations and individuals. After that, you looked at your responsibility to develop Airmen
by diagnosing their capabilities and developmental needs and by helping Airmen create a
deliberate developmental plan. You followed that up with information about two leadership
powersposition power, consisting of coercive, connection, reward and legitimate; and personal
power, consisting of referent, information and expert. Next, you looked at contemporary
motivation where you learned about the three levels of commitment, the rewards associated with
each level, and your responsibility at each level. Then, you brought it all together with a
scenario using IDDP. You ended with information about development of your Personal
Leadership Development Plan.
Leaders are judged by their actions, decisions, and behaviors! If you wish to be judged
effectively, then you must apply what you have learned in this chapter while continuing to hone
your leadership skills.
Think about leaders you know. What do you recall about them? Did you judge them
effectively? How will your followers judge you? Like it or not, your followers will judge your
leadership based on your style and influence and on your application of other skills, but
especially your powers. Someday, Airmen will talk about you and your leadership. The
question iswill it be about how you positively influenced them or will it be about how you
negatively influenced themthe choice is yours.
119
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
120
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
121

1. Mentors, Peers, Subordinates, Budgets, Training Plans, Metrics (MC rates), and External
Sources/Agencies (family).
2. Followership is one in the service of another; one that follows the opinions or teachings of
another; one that imitates another.
3. An example of feedback would be a follower giving a leader feedback on a decision he/she
just made or made in the past. An example of advice would be a person giving advice on a
decision that the leader is still contemplating or researching.
4. 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.
5. Your objective is to embrace your role and commit physically, emotionally, and mentally to
accomplishing the mission via the action plan.
6. Skills, talents, experiences, personality, etc. that Airmen may possess or have the potential to
possess.
7. To carefully think about and discuss strengths, areas of improvement, current and future
roles, and responsibilities with followers.
8. Skills, Talents, Experiences, Personality
9. Aspirations, Personality, Self-Concept, Self-Efficacy and Locus of Control, Attitudes and
Values
10. A deliberate development plan
11. Setting and monitoring development plans
12. (1) Other people who have skills and who are willing to mentor, (2) knowing about the
organizations budget, including the process for requesting funds and other types of support,
(3) various outside agencies (Airmen and Family Readiness Center, Family Advocacy, AMS
for special duty opportunities, etc.), (4) PME requirements, seat availability, and
opportunities (e.g. instructor, adjunct instructor, etc.) (5) Eligibility (promotion, special duty
assignments, deployments, TDYs, etc.) (6) Private Organizations (Top 3, AFSA, Toast
Masters, 5/6, etc.)
13. Team Leader, Ceremony MC, Scout Leader, Honor guard, Youth League Coach, Church
Volunteer, First Sergeant, Recruiter, Defense Attach, PME instructor, Superintendent,
NCOIC, Flight Chief, Additional duties (e.g. safety, RA, shirt)
122
14. Coercive, Connection, Reward and Legitimate

15. Referent Power, Informational Power, Expert Power
16.
a. Involvement Level
__b.__ tend to be more involved in the work center and often

contributes but only as long as leadership recognizes their
contributions.
b. Performance Level
__c.__ at this level subordinates 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.
c. Membership Level
__a.__ 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.
17. Abraham Maslow

18. System level rewards are things the organization provides such as pay, training, annual leave,
medical and dental benefits, etc.
19. Supervisors must ensure their subordinates meet all standards, and ensure that they receive
their system level rewards.
123

1. CORRECT ANSWER: a
RATIONALE:
a. This answer is CORRECT. According to the Leader Influence chapter, connection
power is the perception of the leaders association with people of influence inside or
outside of the organization. This was achieved by Johnson using her connection
with the individual at the patient advocacy office to help Carney. This scenario best
illustrates Johnson using her connection power and its impact on the NCO
effectiveness.
b. This answer is INCORRECT. This scenario does not illustrate use of the referent power
which, according to the Leader Influence chapter, is based largely on a leaders personal
traits. This scenario best illustrates Johnson using her connection power to provide
proper medical treatment for her Airmans son. This action shows positive impact on the
NCO effectiveness.
c. This answer is INCORRECT. This scenario does not illustrate use of the information
power which, according to the Leader Influence chapter, is based on a leaders access to
data and information that is important to others. This scenario best illustrates Johnson
using her connection power to provide proper medical treatment for her Airmans son.
This action shows positive impact on the NCO effectiveness.
124
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.
125
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.
___
I encourage my team to participate when it is decision-making time, and I try to

implement their ideas and suggestions.
2.
___
Nothing is more important than accomplishing a goal or task.
126
3.
___ I closely monitor the schedule to ensure a task or project will be completed on
time.
4.
___ I enjoy coaching people on new tasks and procedures.
5.
___ The more challenging a task is, the more I enjoy it.
6.
___ I encourage my subordinates to be creative in their jobs.
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.
___ When correcting mistakes, I do not worry about jeopardizing relationships.
11.
___ I manage my time very efficiently.
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.
___ Nothing is more important than building a great team.
15.
___ I enjoy analyzing problems.
16.
___ I honor other peoples boundaries.
17.
___ Counseling my subordinates to improve their performance or behavior is second

nature to me.
18.
___ I enjoy reading articles, books, and trade journals about my professionand then
implementing the new procedures I have learned.
127
Scoring the Results

After completing the questionnaire, write your answer for each question in its respective space,
below. Pay close attention to the number beside each space to be sure and write in the correct
(matching) answer from your questionnaire.
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
_____
128
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:
very strong on schedules;
expect people to do what they are told without question or debate;
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.
129
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:
concern for production
concern for people

Instead of presenting a manager with a dilemma of choosing one or the other
alternative, it shows how a leader can simultaneously maximize both production-oriented
and people-oriented methods.
- Donald R. Clark
130
End Notes
1
George, Bill., Sims, Peter. True North, Wiley & Sons Inc., 2007
Hersey, Blanchard, and Johnson, Management of Organizational Behavior, 9.
US Marine Corps Institute, Leadership Volume, Staff NCO Career Nonresident Program, 1971,
2-3.
Bartol and Martin, Management, 77.
Ibid., 122-125.
Websters II New Riverside University Dictionary (Riverside Publishing, 1988), 119, 747.
DuBrin, Essentials of Management, 268.
10
Ibid., 236.
11
Ibid., 237.
12
Leadership - Blake and Mouton Managerial Grid by Donald Clark, copyright 1998
CHAPTER THREE: Negotiation

Negotiations Key Terms and Phrases
Trust, Information, Power, and
Options (TIPO) Model
The Who, Stakes, and

Situation
Negotiation Preferences and Styles

Chart (NPSC)
The Negotiation Styles
Conflict Management
Connections to the NPSC
The Cooperative Negotiation

Strategy (CNS)
5-Step CNS Process
Categories of Negotiation
TSgt Mason is an instructor at the NCOA. He has a lot of

deployment experience, including combat situations, and has
learned the art of negotiation to get the job done. TSgt
. Masons goal is to communicate the importance of effective
negotiating and conflict management to his new flight of
NCOs. To begin the briefing, he describes an argument he
once had to resolve while he was deployed. At the time, his
mission was to get across a valley in a hostile environment and
much of the valley belonged to local farmers. After negotiating
with the farmers and coming to a mutual understanding of the
stakes involved, TSgt Mason and his team were granted
passage. What might have been some of the negotiation and/or
conflict management strategies used?
Negotiating Across Cultures

High- and Low- Context
Cultures
CNS in Cross Cultural

Negotiations
Readiness and Ripeness
Mediation
Terms and Phrases
Stages of Mediation
Paying Attention during

Communication
I believe that the purpose for which I and my fellow soldiers

entered upon this war should have been so clearly stated as to have
made it impossible to change them, and that, had this been, the
objects which actuated us would now be attainable by negotiation.
- Siegfried Sassoon
Active Listening
132
Chapter Three: Negotiation

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend how Negotiation
concepts impact subordinate, NCO,
Behavior:
1.
Explain negotiations concepts

and their impact on NCO, unit,
and mission effectiveness.
2.
Give examples of negotiations

concepts and their impact on
effectiveness.
3.
Predict the impact of negotiations

concepts on subordinate, NCO,
Value negotiations.
1. Actively participate in the
reflective thinking opportunities
associated with negotiating,
active listening, and conflict
management and its impact on
effectiveness.
2.
Willingly accept that negotiating,

management is important to
effectiveness.
3.
Develop a preference for using

negotiating, active listening, and
conflict management to enhance
effectiveness.
4.
Commit to using negotiating,

management to enhance NCO,
As members of the US Armed Forces, we constantly

interact with civilian employees, contractors and members
of our service as well as our sister services. In addition,
many of us have worked with members from other
nations, in various environments and situations. Our
interactions, for the most part, are to solve problems or
resolve conflict where two or more people, or groups of
people, must decide on a course of action necessary to
accomplish a goal. These interactions typically involve
some degree of negotiation.
Whether for personal reasons or organizational goals, you
negotiate all the time. Granted, some people are better at
it than others, but there is no denying it. Negotiating is a
part of everyday life. If you accept that fact, then
becoming more effective at negotiating should be one of
your goals. This chapter is designed to help you achieve
that goal to become a more effective negotiator.
This chapter unfolds with a comprehensive explanation of
the key terms and phrases associated with negotiations
and provides a scenario that illustrates how these terms
and phrases formulate into a negotiated situation. Next,
you will explore the TIPO Model and how the trust,
information, and power evident in a negotiated situation
impacts the options that are generated. You will then
examine the Negotiations Preferences and Styles Chart
and the five styles of negotiation we commonly use. With
this information, you will move on to the Cooperative
Negotiation Strategy and the two categories of
negotiation. Afterwards, this chapter will briefly explain
the impact of negotiating across cultures followed by an
introduction of mediation. Lastly, this chapter will close
with a section that centers on paying attention during
communications to include negotiations.
With an understanding of how things will unfold in this
chapter, begin by learning some key terms.
NOTE: As you are reading this material, keep in mind
that a negotiation can be as simple as a five-minute
discussion or as complex as a three-month long,
multiparty process. The knowledge and understanding
gained from this lesson can be applied to many different
situations. What might change is the length of
preparation and execution.
133
Negotiations Key Terms and Phrases

Anchoring is an offer that is at (or slightly more aggressive) than the aspiration point. Offers
can indicate ones aspiration point and bargaining zone. The expectation is that the anchor pulls
or secures an agreement close to ones aspiration point. Research strongly suggests that in
simple bargaining situations the stronger ones anchor, the closer the final agreement is to the
negotiators aspiration point.
Aspiration point is the best outcome each party hopes to achieve from a negotiated agreement.1
Best Alternative To a Negotiated Agreement (BATNA): Defined as an alternative that,
should negotiations fail, you are willing and able to execute without the other partys
participation or permission. Understanding your BATNA and the opposites BATNA will help
you determine when or if you should walk away from the negotiation table. To formulate a
practical BATNA, you must have both the capability (resources) and the will to execute this
alternative on your own without any assistance.2
Convergent and Divergent Thinking:
Convergent Thinkers tend to be reliable, rational, and principle-based. They

constantly work to reduce uncertainty and ambiguity. They prefer thorough plans
that fully address all contingencies.
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
Procedural interests are those concerning how a process is conducted. Negotiators

with procedural interests are not as concerned with the actual details of the outcome
as they are with how an outcome is determined.
Psychological interests (sometimes called relationship interests) are concerned with

how people feel, how they are perceived, and how they relate with others.
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.
Interest-Based Negotiations (IBN), also referred to as Interest-based Problem-Solving, is the

practice of focusing on the interests, and not the positions of the two negotiating parties.
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.
To understand how these terms relate to negotiations, consider the

following simplified example where an Airman and his supervisor attempt to reach a mutuallysatisfying outcome.
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).
135
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
SELF-REFLECTION OPPORTUNITY: In what ways in your current position have you

used negotiation to solve a problem? Were you effective? How? Why? What are some of
the things that you would do differently? How is this important to you as an NCO?
Trust, Information, Power, and Options (TIPO) Model 8
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.
137
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
Delivering on promises made
Taking a genuine interest in your opposites interests
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.
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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.
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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.
The Who, Stakes, and Situation

Who are you dealing with?
Is it a subordinate, peer, supervisor, someone from another unit, service branch, or another
country? When dealing with supervisors and peers, insisting may not be appropriate as our
opposite may have more position power than us. For instance, its doubtful any of us could force
our commander to act in a given situation. Therefore, cooperating, settling, or complying may
be more appropriate. On the other hand, if we have position power, and time is short, insisting
may be the most appropriate style. Understanding who we are dealing with and the
importance of the relationship can help us decide the best negotiation strategy to use.
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What are the Stakes (what do you stand to gain or lose)?

The stakes in a negotiated situation are what you stand (or are wiling) to lose if negotiations go
awry. If the issue is unimportant (the stakes are low), you could evade it or even comply with
the other party. Conversely, if the issue is critical to you (the stakes are high), insisting or
cooperating may be appropriate. Even evading may be the right choice at first in order to allow
time to gather enough information to better understand the issue and to consider all options.
What is the Situation (current and future consequences)?
In a worst-case scenario like an emergency, you may only have a few seconds to act or make a
decision. If there is no time to make an informed decision, you may have to flex your position
power to at least impose a short-term solution. On the other hand, if time is not an issue and all
parties are willing, you can take your time, gather more information, and seek more appropriate
options.
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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
3. What does the acronym BATNA stand for?
4. Are you a convergent thinker or a divergent thinker? Explain.
5. Explain how Trust impacts negotiations.
6. What are the stakes when it comes to a negotiated situation?
OTHER
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Negotiation Preferences and Styles Chart (NPSC)11
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.
Task and People Orientation

Every negotiation involves some sort of task and the interaction of two or more people or groups
of people (parties). These form the framework used to visualize and understand the
differences between the five styles we commonly use to negotiate. The first step in selecting a
negotiation style that is most appropriate for the situation is determining whether the task or the
people or both are important.
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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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Comply (Sure, lets do it your way!)

Use this passive strategy when preservation of the relationship between you and the other party
is more important than the task. With this style, one party complies with, or gives in, so the
opposite (more assertive party) gets what they want. Use of this strategy tends to delegate
responsibility to the opposite.
When assessing TIPO of the situation, the Comply style may be most appropriate when:
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.
We have little or no power, our opposite perceives us as having no power, or we have no

power, but have high trust. This strategy may also be appropriate when we have
sufficient power to deal with the issue, but want to maintain the relationship.
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.
Insist (Take it or Leave it)

Use this assertive winner-takes-all task-oriented style when obtaining your objective is
paramount, regardless of the cost to the opposites interests or to the relationship. The Insist
style is usually used to resolve an emergency situation but is also associated with ones position
whose authority and power affords him or her to command and demand compliance without
compromise. Under this style, we may hoard information, damage relationships, and put longterm negotiating relationships in jeopardy. Although one of the most effective task oriented
strategies, it is also one of the most misuseduse it with caution.
When assessing TIPO of the situation, the Insist style may be most appropriate when:
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.
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We have no time to consider a variety of options, much less gather information or share
power (even though we trust our opposite). Typically during crisis situations, the Insist
style dominates until the crisis subsides, then other negotiating strategies are used to
develop more durable, long-term solutions and relationships. Unfortunately, with this
style we may ignore (whether intentionally or unintentionally) the other partys interests
for the sake of option implementation.
Settle (Lets just split the difference and call it a day)

Use this compromising style when there is little chance of getting everything you want but a
solution is necessary. This style minimally satisfies the interests of both parties and typically
begins with a soft offer in order to leave room for maneuvering toward an option. The people
orientation is moderate to low, as we expect the opposite to take care of their interests while we
take care of ours. Settling is most useful where only one variable is at stake. It usually results in
a quick negotiation which makes it an efficient style. However, use of this style rarely results in
an optimal outcome. This style is neither antagonistic nor nurturing.
When assessing TIPO of the situation, the Settle style may be most appropriate when:
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.
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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
Conflict Management Connections to the NPSC
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.
The Cooperative Negotiation Strategy (CNS)

CNS concentrates on both the task and the relationship. When applying the CNS, you trade
positions for interests and find complementary differences and similarities that can help all to
move toward a mutually satisfying agreement. Cooperative negotiators purposefully seek
opportunities to create a new value from the available resources, while maintaining or
developing a relationship. The central idea is for two parties, by working together rather than
competitively, to potentially come up with a better solution as a team than either could invent on
their own. They approach negotiation as a creative problem solving exercise, not a win lose
situation and seek to equitably exchange information with the other party. Since there is no
advantage in misleading the opposite, honestly sharing information about your interests leads
toward more valuable options. Furthermore, the process of exchanging information is part of the
trust-building process that is so essential to building relationships, partnerships, and alliances.
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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.
Focus on the problem, but continuously manage the relationship.
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.
5-Step CNS Process
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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CNS changes negotiation from a contest of wills to a search for solutions

By focusing on the underlying interests, we treat disputes and issues as mutual problems to solve
rather than a contest of wills and personalities. Using the CNS shifts the focus away from
making concessions to a genuine search for solutions that meet the interests of both parties.
CNS not only focuses on the problem but also actively manages the relationship
In a negotiation, developing friendships is not the goal. Although we do not have to like our
opposite, we need to respect them just as they need to respect us. Respect helps develop trust,
which then helps open communication channels so that information about interests may be
shared and used to develop potential solutions.
CNS focuses on understanding the underlying interests
CNS recognizes that parties underlying interests (desires, values, concerns, fears and
limitations) are often at the heart of the dispute and are the reason why parties to posture over
their positions. It is more important for parties to know why they want something (the interests)
rather than just focus on what they want (the position). CNS requires each party to focus on
listening, uncovering, and understanding both parties interests.
CNS recognizes that information sharing and critical thinking are at the heart of problem
solving
CNS rests on a skill set that includes open communications, active listening, and critical
thinking. These skills are needed for parties to understand perceptions of events, priorities
concerns, fears, and any other piece of information that helps in the search for viable solutions.
In CNS, sharing information and thinking critically and understanding information is in sharp
contrast to the tendency to withhold and manipulate information characterizing other negotiating
strategies.14
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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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In distributive negotiations, it is common to run into whats referred to as hardball tactics. As

an NCO, you must be aware of these tactics and the appropriate countermeasures. Some of these
tactics include:
Good Cop-Bad Cop
When faced with a case like this, counter it by naming it for what it is; you two arent playing
the old good cop/bad cop routine are you? I can see what you are doing.
Highball-Lowball
This tactic takes advantage of you being hard-wired for reciprocity. The other side sets a very
high anchor and then offers a concession, and you feel obligated to respond with a concession.
This sets you up to feel you are getting a fair deal, since the other party will likely say something
like lets split the difference from an overly high price. Counter this by refusing to negotiate
unless they give you a more realistic opening
offer or by countering with a high/lowball of
your own.
Exploding Offer
This offer is only good for 24 hours while
supplies last. Counter this by asking for more
time.
Lying
Always avoid dealing with someone who is not
bargaining in good faith- you should evade.
What does it take to rebuild trust when youve
been lied to? You can counter with a statement similar to the following: The way things have
been going the last week or so, Im confused. Could you explain what is going on because its
hard for me to work with you if I dont understand whats happening?
Intimidation/Aggressive Behavior
Attempting to force the other party to agree by means of emotional ploy, this tactic usually uses
anger or fear. Change the game from hard bargaining to interest based negotiation and use active
listening by rephrasing his/her demands as his/her interests. If he/she is being rude, you can call
him/her on that.
Snow Job
This tactic aims to overwhelm you with too many details; one person can only absorb so much.
It becomes extremely difficult to determine what is real and/or important and what is and is not a
distraction. Wear the opponent down by making him or her explain each element. The snow job
counts on the person giving up on understanding. Make them slow down and go through each
piece in painstaking detail.
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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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Negotiating Across Cultures

Negotiating with a fellow American or someone from
Northern Europe may come rather easy since these
geographic regions are predominately low-context
cultures. However, you may experience some
difficultly working with a high-context culture
commonly found in Asia and the Middle East.
Possessing an appropriate level of cross-cultural
competency enables us to achieve desired effects
without necessarily having prior exposure to, or
experience with, a particular social group, geographic
region, or foreign language. A lack of awareness can
lead to misinterpretation, misunderstanding, and
unintentional insult. For example, if you were walking
into a negotiation with your Kenyan host and he
grabbed your hand as you entered the room, your
initial reaction to withdraw could offend him. With
3C, you have an opportunity to prevent and remedy false stereotypes to ultimately build trusting
relationships across cultural lines. Simply being aware of how culture affects a negotiation can
help you achieve mission success.
Suppose you were required to negotiate with a member of a more collectivistic or high-context
culture where establishing the relationship is just as important as reaching a mutually satisfying
outcome? Would you feel confident and comfortable in such a situation? Lets take a moment
to explore the high- and low-context cultures further.
High- and Low-Context Cultures

High-context cultures are more peopleoriented and prefer to establish trusting
relationships with others prior to engaging in
negotiations. These societal groups have close
connections with one another that have existed
for a long time. Like communication,
behaviors are not explicitly presented as
members already know what behaviors are
expected of them based on years of interaction
with each other. Your immediate family is an example of a high context group. Some highcontext cultures have maintained centuries-old traditions and behaviors that are prevalent today.
These cultures include: Russian, Spanish, Greek, Arab, Chinese, Japanese, Korean, and Indian.
High-context negotiators use the Cooperative Negotiation Strategy with the expectation that both
parties will collaborate as partners, sharing information and power in order to reach a mutually
satisfying solution. The use of the Cooperate style, along with their personal powers, will most
likely result in a long-term relationship and mutually desirable outcome.
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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
(North America and

Northern Europe)
(Southern Europe, Latin America, Asia,

Middle East, Africa)
Power
May believe they represent the

more supreme culture (based on
wealth, military strength,
intellect, etc.) and therefore
possesses greater power
May hold a prestigious position within the

community (i.e. an elder or wealthy
businessperson) which grants them more
power
Achievement
Task-Oriented: Believe the task

is most important and that the
solution must comply with its
cultures laws, policies
regulations, and social
standards
People-Oriented: Believe establishing a

trusting relationship is just as, or even
more important than the task and that the
solution should uphold its cultures
religious and ethnic beliefs, values, and
social standards
Self-direction Strive to reach a resolution

quickly, low-context cultures
will likely overlook or even
disregard the thoughts, feelings,
and ideas of the other party
Universalism
Anticipate their opposite will

recognize its culture and, for
their own sake will refrain from
acts of discrimination like
ethnic and cultural prejudice,
stereotypes, and intolerance
Wish to establish rapport and a shared

understanding for one another, highcontext cultures will expect to feel
comfortable expressing thoughts, feelings,
and ideas without fear of reprisal
Expect their opposite will consider and
respect its culture and will abstain from
discriminatory behaviors like ethnic and
cultural prejudice, stereotypes, and
intolerance
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
Immediately places greater faith in

the negotiations process instead of
the opposite, believing only the
procedure is needed to quickly
move the parties toward a
resolution
Initially makes efforts to develop a trust

with the opposite instead of the process (of
negotiations) with the assumption they too
will be trusted
Information
Due to the lack of established trust

with the opposite, disclosure of
pertinent information with the
opposite is extremely limited
Efforts and willingness to share information

with the opposite diminish once it is
apparent the opposite is reluctant to share
information
Power
Relies on perceived positional

power and the Insist negotiation
style to force the opposite toward a
pre-determined resolution or
outcome
May resort to a either using positional

power and the Insist style to retaliate, or
succumb to the opposites power and
assume a more passive negotiation style like
Comply, Settle, or Evade
This lack of trust and shared

information will most likely:
Due to a lack of trust and shared

information, this party will most likely:
Options
- have fewer options to consider

- satisfy its position, not interests
- resort to using their BATNA
- leave negotiations without resolution

- forfeit their position and interests
- resort to using their BATNA
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.
CNS in Cross-Cultural Negotiations

To successfully negotiate in a cross-cultural setting, each party must keep the elements of CNS
in mind. Remember, CNS is taking the time to consider the people involved in the negotiations
as well as the task at hand.
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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.
Readiness and Ripeness

Readiness
Readiness is defined as the capacity of parties to decide it is in their best interest to negotiate an
agreement rather than to continue a dispute. Even when both parties decide to negotiate, failure
to deal sensitively with each other can jeopardize negotiations. You must ask yourself, "Am I
ready to be reasonable, has enough time passed that I can put aside my feelings and deal
rationally with the issues and decisions that need to be made, am I fundamentally ready to do
"business" with the other person/party involved, and is the other person/party is ready to be
reasonable with me?
If any of the principal parties are not ready to negotiate, progress comes to a halt and conflict
may reemerge.
When preparing to negotiate, use these questions to examine your readiness:
Do I want to resolve these issues equitably?
Are these issues negotiable?
Am I willing to make compromises and give some things up?
Am I willing to work to keep the channels of communication open?
Can I accept that there will be differences of perception and what I think is fair?
Do I feel that the other party is basically fair minded?
Am I ready to listen actively?
Am I prepared to manage conflict appropriately if it occurs?
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 the issues negotiable?
Are all the parties interested in negotiating? If not, why is one or more of the parties
reluctant?
Can anything be done to make negotiation more attractive to them?
Do all parties know their alternatives to a negotiated settlement?
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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Mediation Terms and Phrases

Evaluative Mediation: Evaluative style of mediation, a subject-matter expert mediator
describes the issue, offers an opinion on the strengths and weaknesses of each partys side, and
suggests options to resolve the matter.
Facilitative Mediation: An active third party (mediator) who enhances communication and
encourages the parties to discuss matters freely and voluntarily participate in the mediation
process. In facilitative mediation, the parties clarify issues, reevaluate positions, and analyze
interestsall with an eye towards resolving the dispute that brought them to the mediation table.
The Air Force has adopted the facilitative style of mediation for all workplace disputes, as it is
currently the best practice for AF workplace dispute mediations.
Stakeholders: Stakeholders are other outside parties who have a vested or personal interest in
the initiation, processing, and resolution of an existing dispute. Commanders, first sergeants,
supervisors, subordinates, neighbors, family members, as well as legal and other intra-agency
representatives (e.g. labor unions) are all potential stakeholders of mediation.
Caucus: A caucus is confidential and private meeting between each of the parties and the
mediator. Caucuses offer the mediator the behind-the-scenes perspective from each party to
ensure there is a potential zone within which the parties can reach agreement.
Mediator: A mediator facilitates communications, promotes understanding, and focuses
negotiating parties on their interests (rather than their positions), and seeks creative problem
solving to enable the parties to reach their own agreement.
Impasse: This occurs when there is the failure to make progress toward resolution. It is a
significant challenge in any mediation and moving past impasse is a skill that separates great
mediators from the rest. There are four tools that can assist in getting past impasse.
Reality Checking: This is a process where the mediator gets the parties to understand, typically
through a series of questions, the weaknesses of their case, issue, or demand. When parties have
a very weak position (argument), no claim for what they seek, no legal basis for the settlement
they desire, or unrealistic demands of the other party, reality checking is necessary.
Fostering Understanding of Others Views: One of the strongest barriers encountered in
negotiation and mediation is the inability or unwillingness of the parties to see the problem
from their opponents point of view. A skilled mediator can assist in overcoming this obstacle
by using empathy. Empathy is understanding anothers situation, feelings, and motives. It is the
ability to put oneself in the other persons position and walk a mile in their shoes. Understanding
the other sides point of view does not mean the mediator shares, agrees, or even sympathizes
with it. Empathy merely provides new perspectives that may open options previously hidden.
Emotional Control: For the mediator, it is very important to have no outward reaction to a
partys emotional display. A reaction can jeopardize the mediators all-important neutrality and
credibility. Throughout the session, the mediator retains the responsibility for maintaining the
safety of the participants.
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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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STAGE 1, Mediator Opening Statement

This is where the mediator meets with both parties together for the first time. The mediator
begins the session with introductions followed by an opening statement. The purpose of the
opening statement is to establish a structure for the mediation session, ensure the parties
understand the mediation process, and gain their commitment to it. Proficient public and
interpersonal communication skills are critical for mediators, especially when delivering the
opening statement. Therefore, mediators are strongly advised to prepare their opening
statements in advance and practice delivering it prior to initiating the session.
The first item of any opening statement is the mediators introduction of themselves and explains
the credentials and qualifications they possess that make them a suitable mediator. This not only
includes the mediators identity, but also their qualifications to include that they were selected or
duly appointed as a mediator and have the experience to mediate. Secondly, the mediator
assures the disputing parties that they will maintain a neutral and impartial position throughout
the session. He or she should also confirm the parties consensual agreement to mediate, that
their attendance is strictly voluntary, and that they are prepared to (or at least attempt to) resolve
the dispute. This noted agreement can be referenced later in the process, especially when
attempting to move beyond impasse. The third element of any successful opening statement is
the establishment of ground rules for the mediation session. These guidelines will set the tone
for the following stages, offer an opportunity for the mediator to establish some credibility
among the disputing parties, and help to ensure the discussion remains positive and productive.
For example, the mediator may require each person to:
Take turns speaking and not interrupt one another, they must call each other by their first
names instead of the impersonal "he" or "she"
Refrain from blaming or attacking one another
Ask questions for gaining understanding
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?
13. What is the difference between evaluative and facilitative mediation?
14. List the five stages to mediation?
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Progress Check (continued)

Instructions: Complete the following crossword puzzle using the following clues.
15. Using the Cooperative Negotiation Strategy (CNS) in cross-cultural situations means we
must consider the __(15 Down)__ involved.
16. In _(16 Down)_ cultures, behaviors are not explicitly presented as members already know
what behaviors are expected of them based on years of interaction with each other.
17. (17 Down) is a method for ripening a negotiated situation where the other party is willing to
join in the search for a negotiated solution based on a past, recently avoided, or impending
consequence.
must consider the __(18 Down)__ at hand.
19. __(19 Across)__ is the capacity of parties to decide it is in their best interest to negotiate an
agreement rather than to continue a dispute.
20. __(20 Across)__ cultures are task-oriented, rule-oriented, and will most likely use the Insist
negotiation style and their position powers to get what they want.
21. To determine __(21 Across)__ of a negotiated situation, consider whether or not all the
parties involved are actually interested in negotiating and if the issues are even negotiable.
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Paying Attention during Communication

A considerable problem in effectively negotiating is
the ability to pay attention. As we communicate with
others in any social situation, we take notice of the
various verbal and nonverbal cues that occur during
the interaction. These cues assist the interaction to
progress, and determines whether the communication
is purposeful and progressive, or meaningless and
regressive. During negotiations, communication can
become one-sided and defensive. Therefore, it is
important to pay close attention to the messages we
and our opposite transmits so we can make
adjustments as needed to ensure a successful and
collaborative communication. Guidelines for becoming an attentive negotiator include:
Listen for and observe the speakers verbal and nonverbal signals
Respond accordingly and appropriately to ensure a meaningful and progressive

interaction
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.
172
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.
173
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?
23. What is the difference between Paraphrasing and Mirroring?
24. In your own words, what is Emotion Labeling?
25. Why are verbal pauses effective when communicating?
174

You began by defining negotiation and learned when to negotiate. To better understand the
basics, you moved to conflict management examining the different types of conflict and how
conflict can escalate. Next, you also explored
the five conflict management styles available
for use and how to determine which style is
appropriate to reach a resolution. You returned
to negotiations and learned the two negotiation
categories, distributive and integrative, and
how active listening supports negotiations
efforts. By examining the five-step
Cooperative Negotiation Strategy, you learned
how this can help achieve maximum results
when negotiating. You concluded this section
by learning when a situation is ready and ripe
for negotiations. Finally, you wrapped up the chapter by applying whats been taught in a riskfree negotiation exercise.
Throughout life you have had to cooperate with others to reach a mutually-desired result.
Effective communication has been an integral part of resolving conflicts and reaching an
agreement during negotiation. As you can see, being an effective negotiator is not easy; it
requires education, training, and, mostly, experience. The rewards that come from developing
these skills are not only advantageous for you, your people, and your organization, but ultimately
result in expertise in effective negotiations toward reaching solutions and resolutions with
representatives from other countries in cross-cultural environments.
175
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
Low-context culture, 158

Mirroring (reflecting), 172
Mediation, 163
Mediator, 164
Minimal Encouragements, 172
Negotiation, 134
Negotiation Preference and Styles Chart
(NPSC), 143
Open-Ended Questions, 172
Options, 140
Paraphrasing, 172
People Orientation, 144
Position, 134
Power, 138
Readiness, 161
Reality Checking, 164
Reservation point, 134
Ripeness, 161
Settle, 146
Stakeholders, 164
Stakes, 141
Situation, 141
Stages of Mediation, 165
TIPO Model, 136
Thomas-Kilmann Conflict Model, 147
Trust, 136
Task Orientation, 144
The Who, 140
Zone of Possible Agreement (ZOPA), 134
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.
177
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
178

1. Answers will vary but should center on the following:
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.
2. Answers will vary but will usually include responses similar to the following:
Work hours and schedule

Pay, salary, or benefits
Who does what household

chores and errands
Use of equipment
Times for watching favorite

television shows
Sequester for additional

personnel or assistance
What to eat for dinner
Work-related problem
solving
What to pay for major

purchases like homes and
cars
Haggling with dealer at car

dealership on a new or used
car
Working out a child pick-up
or carpool schedule with
friends
Working a price with
mechanic on car repair
3. Best Alternative To a Negotiated Agreement

4. Answers will vary but should center on the following:
Convergent Thinkers tend to be reliable, rational, principle-based, work to reduce
uncertainty and ambiguity, and prefer thorough planning.
Divergent thinkers tend to be creative, spontaneous, are comfortable with uncertainty and
ambiguity, an Trust is the foundation of relationships d prefer flexible planning.
5. Trust is the foundation of relationships with others and faith in a system. There are two
categories of trust: trust in a person and trust in a process.
6. The stakes in a negotiated situation are what you stand to (or are wiling) to lose if
negotiations fail. These can be either low (little to lose) or high (detrimental to reaching
desired outcome).
7. Task orientation places more importance on reaching an outcome, solution, or resolution (the
task at hand and the expected outcome). People orientation centers on the relationship that
exists between the individuals or groups involved.
179
8. Completed Negotiation Preferences and Styles Chart (NPSC)
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
14. Stage 1 Mediator Opening Statement

Stage 2, Parties Opening Statement
Stage 3, Joint Discussion
Stage 4, Caucus
Stage 5, Closure
must consider the __(15 Down)__ involved.
16. In _(16 Down)_ cultures, behaviors are not explicitly presented as members already know
what behaviors are expected of them based on years of interaction with each other.
17. (17 Down) is a method for ripening a negotiated situation where the other party is willing to
join in the search for a negotiated solution based on a past, recently avoided, or impending
consequence.
must consider the __(18 Down)__ at hand.
19. __(19 Across)__ is the capacity of parties to decide it is in their best interest to negotiate an
agreement rather than to continue a dispute.
20. __(20 Across)__ cultures are task-oriented, rule-oriented, and will most likely use the Insist
negotiation style and their position powers to get what they want.
21. To determine __(21 Across)__ of a negotiated situation, consider whether or not all the
parties involved are actually interested in negotiating and if the issues are even negotiable.
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

RATIONALE:
a. This answer is CORRECT. According to the Negotiation chapter, cooperating is a

negotiation style that involves an attempt to satisfy the concerns of all sides through honest
discussion. In the scenario, cooperation took place because both parties won (e.g. Smith
was able to gather intelligence and conduct his patrols and the villagers received food and
medical care with less interruption to their daily routine).
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
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.
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
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
c. This answer is CORRECT. According to the Negotiations chapter, Negotiation readiness is

defined as the capacity of parties to decide it is in their best interest to negotiate an
agreement rather than to continue to dispute. Negotiation Ripeness refers to the timing of
negotiations. Timing is critical to successful negotiations. The flight chief failed to
understand ripeness and readiness as evidenced by his surprise at the section chiefs
responses and how they held firm on their positions which further indicates the situation
was neither ready nor ripe for negotiations. Overall, the Flight Chiefs actions will have a
negative impact on his effectiveness.
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
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.
Thomas, Kenneth. Conflict and Conflict Management. Handbook of Industrial and

Organizational Psychology. 1st ed. Chicago, IL: Rand McNally College Publishing Company,
1976. 889-931.
13
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
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
Page Intentionally Left Blank
CHAPTER FOUR: Resource Stewardship

Resource Stewardship
Personnel
Financial
Material
Warfare
Information and Technology
Energy
Finance 101
Its close to the end of the fiscal year and your

commander wants a list of items to buy from each section.
He does not want to return any of the money to the wing.
So, you have been tasked by your section chief to identify
anything that the work center may want regardless if it is
needed or not. Its hard to think of anything because you
went through the same drill last year and bought a lot of
comfort items, such as new furniture and a big screen
television for the break room. Nonetheless, leadership
wants a list to ensure all the money is spent. They are
under the impression that if the money is not used the
squadron budget will be reduced the next fiscal year. Do
you agree with this mindset in todays Air Force?
Terms and Definitions

Associated with Finance 101
Budget Execution Review (BER)
Financial Execution Plan (FEP)
Budget Process
Antideficiency Act
Manpower 101
Organizational Structure
Program Allocation and

Control
Requirements Determination
Performance Management
Resources: Use Only as Directed and

Available
The waste of plenty is the resource of scarcity.

- Thomas Love Peacock
Development Future Resource

Stewards
186
Chapter Four: Resource Stewardship

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend resource stewardship and
its impact on NCO, unit, and mission
effectiveness.
Behavior:
1. Explain how resource
stewardship impacts NCO, unit,
2. Give examples of how resource
stewardship impact NCO, unit,
3. Predict how resource stewardship
impacts NCO, unit, and mission
effectiveness.
Value resource stewardship and how it
enhances NCO, unit, and mission
effectiveness.
with resource stewardship and its
impact on NCO, unit, and
2. Willingly accept that resource
stewardship is important to NCO,
resource stewardship to enhance
effectiveness.
4. Commit to using resource
stewardship to enhance NCO,
Is your organization facing manpower cutbacks and

reduced budgets? What manpower percentage is your
squadron currently operating with? 80%? 70%? 50%?
What does an NCO have to do to get a few qualified
Airmen and a couple of updated computers these days?
With a better understanding of the resources you rely on,
the processes that are in place to manage these resources,
and what you can do to assist your leadership, you can
make sure the people, materials, and funds are available
to keep your Air Force mission moving forward. You
can do this by being a good steward of resources and
having knowledge of the associated processes.
Before 2011, Enlisted Professional Military Education
(EPME) did not teach resource stewardship. So, why
now? First, resource stewardship is one of the Air Force
Institutional Competencies. As such, NCOs are charged
with achieving both basic and intermediate proficiency
levels in resource stewardship. Second, in the past the
enlisted force (especially junior and mid-level enlisted)
had little to nothing to do with finance or manpower.
That mindset has changed. Although the concepts
discussed here are somewhat complex, they are
necessary because the Air Force has recognized that staff
sergeants, technical sergeants, and master sergeants all
need to become more knowledgeable on financial and
manpower processes earlier in their career. The
knowledge you gain in this chapter will not only help
you in your current rank and position but will prepare
you for future roles as you will be expected to project
and advocate for funding and manning resources.
Finally, it will benefit the Air Force over the long term
as the enlisted force gains competence in resource
stewardship.
This chapter begins by defining resource stewardship

and the types of resources necessary to execute organizational objectives. You will then
concentrate on the two most-critical resource categoriesfinancial and personneland discuss
the processes, programs, and tools that assist you in effectively managing these resources. Next,
youll take a look at the impact you have as an NCO in acquiring the necessary resources and the
importance of obeying the laws, regulations, and instructions associated with managing
resources. Finally, youll examine what you can do to ensure the Air Force has resource
stewards for the future. By the end of this chapter, you will be better prepared to lead and
manage units as evidenced by your comprehension of resource stewardship.
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.
Resource stewardship is the careful

and responsible management of
resources under ones control.
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

You currently operate in a virtually limitless information age where you rely heavily on the
computation and communication capabilities of todays information systems and technological
advancements. Some innovations you depend on daily include small, portable, Internet-enabled
devices, cell phones, personal digital assistants (PDAs), computers, e-mail, broadband, radar,
satellite systems, and the World Wide Web.
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)
Biomass (organic energy)
Natural gas
Hydropower (water energy)
Land
Solar (suns energy)
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?
2. Why do NCOs need to know how to manage resources?
3. Define resource stewardship.
4. Match the resources to the appropriate description.

__ Personnel
a. physical goods that are required by personnel to

complete assigned duties
__ Financial
b. powers businesses, manufacturing, transportation, and

your
__ Material
c. considered most valuable resource
__ Warfare
d. technological advancements (cell phones, computers,

email, Internet-enabled devices, etc.)
__ Information & Tech
e. war-related materials (training equipment, body armor,

and armored personnel carriers, etc.)
__ Energy
f. required to procure the material, energy, information and

technology, and warfare resources
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.
Terms and Definitions Associated with Finance 101

Antideficiency Act Violations: An act that results in exceeding limitations (misuse) of funds
authorized and appropriated by Congress in support of contract obligations.
Budget Allocation: Funding document that represents cash for commitment or obligation that is
issued by the Deputy Assistant Secretary of the Air Force for Budget (SAF/FMB) to a major
command or field operating agency.4
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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
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Resource Advisors (RA): Budget representative for an organization. The RA participates

actively in resource management, including the planning, programming, budgeting, acquiring,
consuming, storing, and disposing of resources. The RA is directly responsible to the RCM.11
Responsibility Center Manager (RCM): The RCM normally heads an organization that plans,
organizes, directs, and coordinates activities of subordinate organizations and functions. RCMs
are the principal level that manages financial resources. The RCM directs work by subordinate
functions (usually CCs) that, in turn, use resources to do that work. He/she also appoints a
resource advisor (usually at the squadron or group organizational level) to oversee technical
details of operations relating to resource use.12
Timelines Associated with Budgeting Process: Submission deadlines associated with quarterly
and annual budget requirements.
Budget Execution Review (BER)

Although you spend weeks developing a perfectly sound financial
execution plan, more often than not, unforeseen expenses pop up
and throw your budget completely off track. Or, you know about
the expense, but your current years budget isnt large enough to
cover it. Fortunately, the Budget Execution Review (BER) exists to
help you through both
situations.
NCOs Role in the BER Process
Know when both BERs are

scheduled
Be prepared to request funding

for mission-related issues and
provide justification
Continuously assess work

centers current financial status
and provide leadership an
updatefor example:
- Are we meeting quarterly
spending targets (25%, 50%,
75%, etc.)?
- Do we have or anticipate
having any funding shortfalls?
- Do we have or anticipate
having excess funds? If so, do
we have a plan for the funds or
do we plan to turn the funds
back in?
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.
The first part of the BER

process 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. This
allows all levels of command to move funds around to
cover funding shortfalls deemed top priority. Though
the process is tedious and can be very frustrating at
times, it is necessary to ensure prudent use of limited
funds.
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You have probably been involved in this process in some

way or another. You may have received unspent funds at
the end of the year that enabled you to purchase the
supplies and equipment needed to accomplish the mission
more efficiently.
On the other hand, you may have watched while other
sections, squadrons, groups, even wings reaped these
benefits. Getting unfunded requests funded is not
difficult for those willing to put in the time and effort to justify requirements and meet
submission deadlines.
Although justification usually comes from current mission requirements, it can also come from
changes in mission and/or unexpected or unforeseen missionrelated circumstances. In addition, a good financial execution plan
helps get unfunded requests funded because it demonstrates solid
planning, programming, and prudent use of existing funds.
Financial Execution
Financial Execution Plan (FEP)

Given the publics demand for prudent financial management, the
Financial Execution Plan (FEP) is an Air Force product used to
balance available funding while delivering goods and services to
customers within the Operations and Maintenance (O&M)
appropriation. In simpler terms, it ensures funds provided in the
Presidents Budget (PB) are distributed in a manner to ensure Air
Force objectives can be accomplished. At the lowest practical
level, the FEP is used by all levels of an organization to identify and
prioritize key requirements to current year spending and for
developing next years budget. 13
Plan (FEP) refers to a

product formally called
the Financial Plan or Fin
Plan. The FEP ensures
an equitable
distribution of the
President's Budget (PB)
for the next fiscal year
(budget year) consistent
with accomplishing Air
Force program
objectives and is the
main vehicle for
distributing anticipated
funding (direct &
reimbursable) in an
equitable manner.
Despite mission differences, most organizations FEPs include the

same basic requirements. These include government purchase card
(GPC) items, equipment purchases, personnel training and
development, and temporary duty expenses. Most organizations
also have information technology costs such as the purchase, repair,
or replacement of computers, printers, copiers, monitors, and maintenance and service contracts.
Other common areas include civilian pay, building maintenance, and custodial service contracts.
A well-developed plan includes a prioritized list of known unfunded requirements with
justification for each unfunded requirement and a spend plan that projects when and how funds
will be spent throughout the fiscal year. Although there is no official template when creating a
FEP, it should include the following sections:
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Section 1: Mission-Critical Requirements: Lists all mission-critical requirements funded within

the projected fiscal years budget along with the element of expense investment code (EEIC)
associated with each requirement.
Section 2: Justification: This is a short narrative justifying each requirement identified in
Section 1.
Section 3: Unfunded Requirements: Another list identifying mission-essential requirements that
exceed projected funding. Again, include a narrative justifying each requirement.
Section 4: Spend Plan: Illustrates how projected funds will be spent over a 12-month fiscal year
period.
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.
Figure 1. Budget Cycle
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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.
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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).

Fourth Quarter
July: At this point, units should have spent or obligated all
but 25% of their budget. Units who have not achieved this
milestone typically scramble at this point to spend the
money.
August: End-of-year closeout begins on 1 August and runs
through 30 September. As stated earlier, it is on 1 August
when the FWG takes control of all unspent and
unobligated funds across the wing. You have probably
heard the term fallout money. This refers to unobligated
and unspent funds discovered between mid-Aug and 30
Sep. Fallout money is typically used to purchase items
that may or may not be in direct support of the mission and
are usually nice to have (e.g. furniture, carpet, etc). This is
when the unit RA begins asking sections for inputs for
requesting fallout money.
September: This is probably the most frantic month of the
budget cycle. The entire wing is attempting to use all
unspent or unobligated funds. Wings who fail in this
endeavor risk losing any unspent/unobligated portion of
their budget the next FY. Units, and especially sections,
should have spent and/or obligated 100% of their budget by
30 Sep. According to AFI 65-601, Financial Management,
it is an Air Force directive to report excess funds to the
wing. Doing so helps support other mission-essential
requirements and ensures funding is used appropriately. It
may be tempting for you to fail to report overages;
however, you should remind yourself of the core value
Integrity First and do what is right.
So far, youve covered the budget process and FEPs, both
of which are important to meeting the timelines and
milestones of mission success. However, to ensure your
spend plan is in accordance with congressional mandates,
you should be familiar with the Antideficiency Act.
According to AFI 65-601,

Financial Management, it is an
Air Force directive to report
excess funds to the wing.
Doing so helps support other
mission-essential requirements
and ensures funding is used
appropriately. It may be
tempting for you to fail to
report overages; however, you
should remind yourself of the
core value Integrity First and
do what is right.
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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.
Antideficiency Act (ADA) is

a law that prohibits agencies
from involving the
government in a contract or
obligation for the payment of
money before an
appropriation is made unless
authorized by law. The act
prohibits against over
obligating or overspending
an appropriation.
Specifically, military and civilian employees are

prohibited from:
1. Making or authorizing expenditure from, or
creating or authorizing an obligation under,
any appropriation or fund in excess of the
amount available in the appropriation or fund unless authorized by law [31 U.S.C. 1341(a)
(1) (A)]. In other words, do not obligate your unit to spend more than it has been authorized
and do not spend money on unauthorized items or purchase items, contracts, resources,
supplies, and so forth from the wrong pot of money. For example, do not use operation and
maintenance money to purchase unit coins and t-shirts to give to family members during the
annual picnic.
2. Involving the government in any obligation to pay money before funds have been
appropriated for that purpose, unless otherwise allowed by law [31 U.S.C. 1341(a) (1) (B)].
Simply put, do not spend or obligate funds in anticipation of receiving them.
3. Accepting voluntary services for the United States, or employing personal services not
authorized by law, except in cases of emergency involving the safety of human life or the
protection of property [31 U.S.C. 1342].
4. Making obligations or expenditures in excess of an apportionment or reapportionment, or in
excess of the amount permitted by agency regulations [31 U.S.C. 1517(a)].
Military and civilian employees who violate the Antideficiency Act are subject to appropriate
administrative and punitive measures including, when circumstances warrant, suspension from
duty without pay or removal from office.
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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?
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Progress Check
5. Write the letter of each milestone in the proper place along the budget process cycle below.
a. 75% of budget obligated or spent
h. Cost Centers submit inputs for next FYs

FEP
b. End of FY closeout begins

c. 50% of budget allocated and/or spent
d. Congress approves next fiscal year budget
e. 25% of budget obligated and/or spent
f. Resource Advisor submits first BER
g. FY ends (100% of budget spent) and new
FY begins
i. Cost Centers submit updated /revised

BER; second BER occurs
j. Funds allocated downwardactual funds
or CRA; create FY spend plan
k. Cost center begin working first BER
(unfunded requests)
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6. Why is it important to know about budget timelines and milestones?
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)?
10. As an NCO, what is your role in the budget process?
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.
Program Allocation and Control

This competency centers on the Unit Manpower Document and funded/unfunded position
requirements.
Unit Manpower Document (UMD): This computer product details the organization structure
(the number, skills, grade and security requirements of manpower authorizations), the position
number for each authorization, and other pertinent data that commanders and managers need to
manage manpower resources. Any change to the UMD requires a formal Authorization Change
Request (ACR see below) signed by the appropriate commander.
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)
Changes to Air Force Specialty Codes (AFSC)
Adjustments to pay grade or skill levels
Changes to security clearance (Special Access Requirement or SAR) or Personnel

Reliability Program (PRP) codes
Do not submit an ACR to solve short-term problems or when experiencing:
Temporary shortage of assigned personnel
Poor or inadequate supervision, personality conflicts, or lack of qualified personnel
Self-imposed work overload
Inefficient procedures and/or ineffective/inefficient use of personnel
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Squadron commanders have ACR approval authority only

when all authorizations impacted are subordinate to the
commander. Group commanders approve ACRs that
cross squadron lines of command (as long as all affected
elements are subordinate to the group commander).
Wing (or vice) commanders approve ACR's that cross
group lines of command or when ACRs impact the wing
staff.
Though most organizations have their own format, ACRs
should include as a minimum:
Note: Check with your local

Manpower Office before composing
or submitting an ACR. They can
save you time and frustration by
offering expert advice and
direction. Also, contact your
MAJCOM functional manager and
ensure the current UMD is accurate
and that previously submitted ACRs
are confirmed.
1. List of the UMD attributes that identify the affected

position
2. List of the UMD attributes that represent the desired
change (typically bolded)
3. Justification for each proposed change (what, why, and when)
Note: Check with your local Manpower Office before composing or submitting an ACR. They
can save you time and frustration by offering expert advice and direction. Also, contact your
MAJCOM functional manager and ensure the current UMD is accurate and that previously
submitted ACRs are confirmed.
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

To emphasize the NCOs role in process improvement and resource conservation,
the Enlisted Force Structure states that NCOs must, Develop innovative ways to
improve processes and provide suggestions up the chain of command that will
directly contribute to unit and mission success and to Seek ways to reduce costs
and improve efficiency.15 In todays challenged economy, everyone must do
their part as military service members and American citizens to reduce operational
costs to maximize the taxpayers return on investment and better serve the
Nations warfighters.
SELF-REFLECTION OPPORTUNITY: Have you or someone you know participated in the

API program? How did it affect the unit and mission effectiveness? In what ways can you
promote the API program in your work center?
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
Resources: Use Only As Directed and Available

As you discovered throughout this reading, your organizations would not be able to successfully
execute their portions of the Air Force mission if the resources you relied on most were
unavailable. It is quite easy to take the necessities you use, and often times misuse, for granted.
As a resource steward, it is
imperative that you appropriately
use, conserve, preserve, and defend
the resources that enable you to
meet organizational goals of today
and tomorrow.
Appropriate use requires using
resources as available and as
directed. Using resources as
available means using resources
that are in place and accessible
without violating laws and
regulations. To maximize the use
of available resources, consider
sharing resources with another
organization and conserving to
avoid depletion. Resources under your control should also be used as directed by existing rules
and regulations, in accordance with laws and policies. Resources should also be used as
specified in orders issued by leadership, as long these orders are ethical and in the best interest of
the Air Force.
To help in your resource conservation efforts, there are many instructions, laws, policies, and
regulations available to reference. Many of these are listed in the Reference section of this
chapter.
Progress Check
15. Why is it important to conserve resources?
16. What does it mean to use resources as directed?
17. What does it meant to use resources as available?
211
212
Developing Future Resource Stewards

As a member of management, you support the efforts of your leadership to acquire the necessary
personnel, materials, energy sources, information and technology, funds, and warfare training/
equipment your people need. As enlisted leaders, NCOs are the moral fiber that ensures the
effective and efficient use of all resources to continuously meet mission requirements. Be the
N.C.O! Be the one who:
Nurtures: Nurturing creates an organizational culture
that fosters and promotes a resource-conscious attitude.
Coach and support the awareness and development of
every Airman by teaching, training, and educating them
in the ways you effectively use the resources everyone
depends on.
Champions: Champion resource stewardship by
advocating for the resources you need. Promote and
defend the programs, processes, and leadership decisions
that ensure the smart use of the resources you use.
Include your Airmen in process improvements by
regularly soliciting ideas and inputs on how you can
improve operations for future Airmen. Make resource
conservation a team effort!
Takes Ownership: Take ownership in the organizations resource management program. Be an
active role model in effectively using and managing the resources of your organization. Be on
the lookout for and correct the activities and personnel that waste or misuse resources. Also
ensure you commend those who appropriately conserve. The actions, attitude, and behaviors you
demonstrate as a resource steward will influence the Airmen you serve with now and the
generations that follow.
Progress Check
18. How can you support the development of others as future resource stewards?
213
214

You began this chapter by first defining the concept of Resource Stewardship and the types of
resources you depend on daily to execute organizational objectives. You then concentrated on
the two most-critical resource categories, financial and personnel, by learning about the
processes, programs, and tools that assist you in effectively managing these resources. Next, you
took a look at the impact you have as an NCO in acquiring the necessary resources and the
importance of obeying the laws, regulations, and instructions associated with managing them.
Finally, you examined what you can do to ensure the Air Force has resource stewards for the
future by: nurturing an organizational culture that fosters and promotes a resource-conscious
attitude; championing the resources you have and need by promoting and defending the
programs, processes, and leadership decisions that ensure the smart use of resources; and by
taking ownership in effectively managing the resources of your organization.
Resource stewardship is nothing new. Youve experienced the principles of conserving,
preserving, and defending these precious needs throughout your career. With an ever-shrinking
budget and reduced manpower, its up to you as an NCO to advocate for the resources you need
and prepare your Airmen for successful careers as resource stewards.
What youve learned regarding resource management and stewardship is only the tip of the
iceberg. Make it a priority to apply what youve learned to the practices of your unit. Learn
more about managing organizational funds and personnel now before it becomes a major part of
your daily responsibilities as a future SNCO.
215
Key Terms
Airman Powered by Innovation, 206
Antideficiency Act (ADA), 200
Appropriation, 192
Authorization Change Request (ACR), 205
Budget Execution Review (BER), 194
Financial Execution Plan (FEP), 195

Resource Stewardship, 187
Unit Manpower Document (UMD), 204
Unit Personnel Management Roster (UPMR),
205
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

1. These are resources necessary for accomplishing the mission.
2. According to AFI 36-2618, Enlisted Force Structure, the primary focus of the NCO tier is
mission accomplishment. To accomplish the mission, NCOs need to be able to use assigned
personnel, material, financial, information and technology, energy, and warfare resources
efficiently and effectively.
3. Resource stewardship is the careful and responsible management of resources under ones
control.
4.
c Personnel
a. physical goods that are required by personnel to

complete assigned duties
f Financial
b. powers businesses, manufacturing, transportation, and

your
a Material
c. considered most valuable resource
e Warfare
d. technological advancements (cell phones, computers,

email, Internet-enabled devices, etc.)
d Information & Tech
e. war-related materials (training equipment, body armor,

and armored personnel carriers, etc.)
b Energy
f. required to procure the material, energy, information and

technology, and warfare resources
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

RATIONALE:
a. This answer is CORRECT. According to the Resource Stewardship chapter, a
Financial Execution Plan is an Air Force product used to balance available funding
while delivering goods and services to customers. A well-developed plan includes a
prioritized list of known unfunded requirements with justification for each
unfunded requirement and a spend plan that projects when and how funds will be
spent throughout the fiscal year. The scenario depicts Caskeys understanding of
importance of how a well-developed Financial Execution Plan can impact mission
success. By training Griggs and developing a solid plan, the organization was
prepared to execute the budget and postured for the unfunded request.
b. This answer is INCORRECT. There is no evidence in the scenario of Budget Execution
Review which, according to the Resource Stewardship chapter, is a two-part process that
occurs twice within each budget cycle. 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. The scenario best illustrates Caskeys understanding of importance of how
a well-developed Financial Execution Plan can impact mission success. By training
Griggs and developing a solid plan, the organization was prepared to execute the budget
and postured for the unfunded request.
c. This answer is INCORRECT. The scenario does not depict a development of Budget
Process which, according to the Resource Stewardship chapter, 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.
The scenario best illustrates Caskeys understanding of importance of how a welldeveloped Financial Execution Plan can impact mission success. By training Griggs and
developing a solid plan, the organization was prepared to execute the budget and postured
for the unfunded request.
222
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
Resource Activity Answers

1. Answers will vary for each resource.
2. Answers will vary for each resource but should center on monitoring resource usage and
sharing resources with other units.
3. Answers will vary but should center on resources being important to mission
accomplishment.
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
Table 1. Unit Manager Document, UMD (The Spaces)
POS NBR
AFSC
Duty Title
003244340J
91C0
Commander
003244350J
2W271
Nuclear Weapons
003287110J
1N371
003287450J
2T151
Germanic Cryptologic
Linguist
Vehicle Operations
003291890J
2S052
Supply Systems Analyst
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
Table 2. Unit Personnel Management Roster (The Faces)
225
UMD Terms and Definitions

CID (Command Identifier): Identifies to which command the UMD applies: 0J - Air
Education and Training Command (AETC) or 1C - Air Combat Command (ACC).
POS (Position Number): Refers to a 10-digit number assigned to each manpower
authorization. The first 8 digits provide identification and interface capability between
manpower and personnel data systems. The last two digits represent the CID.
AFSC (Air Force Specialty Code): Identifies the positions required/authorized specialty. The
data code field may be overridden by the use of a Duty Title Code, which is explained in
paragraph 10. The AFSC description can be found by going to the AFPC web site, going to the
search function and typing in AFECD (for enlisted AFSCs) and AFOCD (for officer AFSCs).
(refer to AFI 36-2101)
SEI (Special Experience Identifier): Refers to a three-character code, which indicates the
requirement of special experience or qualification. The individual must possess the prerequisites
in AFI 36-2101 prior to the MPF assigning him/her to the position. SEI codes common to an
AFSC are found in AFI 36-2101 (not applicable to civilian authorizations).
GRD (Authorized Grade): Refers to the authorized grade that is funded by Congress. It
consists of the alpha characters for military rank and the current GS rank or TBD for civilian
positions. When there are Contract Manpower Equivalents (CME) additions, CME is entered in
this column. CME is the number of in-service man-years that would be required if the
contracted workload was performed in-house at the same workload and performance level
required in the contract performance work statement.
CEC (Civilian Employment Group Category): Shows the category in which the civilian
would be hired. Some examples are provided below. Again, a complete list of all the CEC
codes can be found in the Reference Tables in MPES. (Salaried=GS, Wage=WG, etc.)
SAR (Security Access Requirement): Indicates the security access necessary for normal
recurring work to be performed in the work center by the designated authorization. (Refer to
AFI 31-501, Para 7.6.3.).
PRP/SCI (Personnel Reliability Program/Sensitive Compartmented Information): Refers to
a status code that identifies authorizations that require a PRP or SCI qualified individual.
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.
Energy.gov website. Energy Sources. http://www.energy.gov/energysources/index.htm

(accessed 5 Apr 11).
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
Management for Operations, p 6.
11
Ibid., p 14.
12
Ibid., p 14.
13
management for Operations, p 64.
14
U.S. Government Accountability Office website, http://www.gao.gov/ada/antideficiency.htm.
15
Ibid., p 7.
CHAPTER FIVE: Discipline

Definitions
Discipline in the Air Force
Purpose of Discipline
Discipline Definitions
Discipline Model (DM) and

Progressive Discipline Process (PDP)
Discipline Model (DM)
Progressive Discipline Process

(PDP)
Progressive Discipline Process

and Discipline Model
Symbiosis
Roles and Responsibilities
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?
Discipline is based on pride, on meticulous attention to details,

and on mutual respect and confidence. Discipline must be a habit
so ingrained that it is stronger than the excitement of the goal or the
fear of failure.
- Gary Ryan Blair
NCO Rank and Authority
Seven Basic Rights of the

Accused
Know Your Limits
Treatment of Accused
Attachments
228
Chapter Five: Discipline

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend how discipline impacts
NCO, unit, and mission effectiveness.
Behavior:
1.
2.
3.
Explain how discipline impacts

effectiveness.
Give examples of discipline
impacting NCO, unit, and mission
effectiveness.
Predict the impact of discipline
effectiveness.
Value discipline and how it enhances
NCO, unit, and mission effectiveness.
1.
2.
Actively participate in reflective

with discipline and its impact on
effectiveness.
Willingly accept that discipline is
important to NCO, unit, and mission
effectiveness.
Develop a preference for using
discipline to enhance NCO, unit, and
Commit to using discipline to
enhance NCO, unit, and mission
effectiveness.
Discipline is a cornerstone of our Air Force and is key

to you being called an Airman. If you ask supervisors
about the importance of discipline, not surprisingly,
many would agree it is a vital element of mission and
work center success. However, discipline is an oftenmisunderstood term with negative connotations that
bring pressure and confusion to those trying to instill it
in others.
It takes supervisors a lot of time to document, track,
initiate, serve, follow up, and process paperwork
associated with disciplinary problems. Time that could
be better spent on the mission and other personnel is
instead dedicated to a handful of individuals who do not
meet standards. As supervisors, one of our primary
goals is to maintain a high degree of effective discipline
within the work center. As Air Force NCOs, it is
critical to employ preventive and corrective discipline
methods effectively so the overall number of
disciplinary actions is reduced. Integrating the Air
Force Core Values and AFI 36-2618, Enlisted Force
Structure, into your personal habits is an effective place
to start.
This chapter will convey useful information to help

complete this important task. In order for you, as a
3.
supervisor, to understand how to create an environment
that minimizes or eliminates the necessity for imposed
4.
discipline, you will look at a few discipline definitions,
examine the Discipline Model and Progressive
Discipline Process, and look at some roles and
responsibilities an NCO may have to fulfill when it comes to discipline. You will also have the
opportunity to apply what you have learned to simulated situations. In addition, example
documents and statements are attached that you may find useful as a supervisor.
By the end of the chapter, you should be better prepared to lead and manage units and model
professional military attributes as evidenced by your comprehension of Discipline. Lets begin
by getting a clear understanding of discipline and how it affects the ability to accomplish the
mission.
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.
Standards are morals, ethics,

or habits established by an
authority, custom, or an
individual as acceptable
behavior
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.
At that time, your motivation to accept the oath of enlistment

was self-imposed. You were willing to accept the orders of
officers appointed over. You and the vast majority of fellow
enlistees were willing and committed to adhering to the oath
of enlistment and Air Force standards. Unfortunately,
sometimes something happens to weaken the commitment of
some Airmen and as their commitment wavered, they began to
make bad decisions and apply incorrect judgment. A lack of
discipline led to sub-standard behavior.
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
Discipline Definition Review

Match the correct term to the appropriate example that best describes the term. Place each
corresponding letter next to the correct term in the box below. (Answer can be found at the end
of the chapter.)
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
Discipline Model and Progressive Discipline Process

Disciplinary actions fall within the symbiotic framework of the Discipline Model and the
Progressive Discipline Process. Lets see how discipline fits into each of these models.
Discipline Model (DM)

The Discipline Model is a system of three Arenas that if used correctly can help maintain
discipline in the Air Force. The three Arenas consist of Prevention, Correction, and Punishment
and are intended to build upon one another and if taken seriously, each preceding Arena can
serve to preclude the following Arena.
The model as a whole works as a deterrent to prevent discipline issues because when people
know they will be held accountable and corrected for misbehavior, they may choose wiser.
When people see violators being corrected or punished, this will also work as a deterrent. When
used appropriately, the Discipline Model sends a message to three specific audiences: the
violating member, the unit, and the community. The violator is feeling the message because
their life is being dramatically affected by it. The unit is seeing people being held accountable if
behavior falls below standards, and the community is seeing that the Air Force does have a
disciplined force. There are three Arenas involved in this model: Prevention, Correction, and
Punishment.
DM Arena 1 - Prevention
Of the three Arenas, Prevention is the first and most important. The goal of Prevention is to
Prevent or stop problems before they occur. These are behaviors that are detrimental to the
personnel or productivity of a work center. Supervisors who exercise preventive measures are
less likely to face as many major discipline issues in their work
centers. Prevention is all about setting clear standards,
establishing rapport, and establishing a climate of
accountability. Just like your Ethics chapter speaks on creating
an Ethical climate where making ethical decisions is the
Key Actions of Prevention
standard, you also want to create a climate of accountability
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
Likewise, if someone is disrupting the duty

section, peers are more likely to
communicate with their supervisors about
the situation rather than allowing it to affect
morale. A new supervisor will also feel
stronger in addressing negative behavior if
they know they will get support for
enforcing standards.
An important part of Prevention is
communication. Effective communication
clearly informs the standards, desired
performance, support available, and
supervisor expectations. Personnel are less
likely to hide problems, engage in destructive behaviors, or perform in a substandard manner if
they have a clear understanding of where their supervisor stands on these key topics. Formal and
informal feedbacks are not only excellent methods for informing subordinates of Air Force
expectations but about your expectations as well. Constructive feedback sessions, thoroughly
prepared ahead of time and tailored toward the individual, are valuable tools for supervisors and
subordinates alike and keep the lines of
communication open.
Leading by example is also a key element of
Prevention. Subordinates who see their supervisors
setting and adhering to Air Force standards, working
hard on a regular basis, and accepting the
consequences of poor choices are much more likely
to strive for that kind of behavior themselves.
Likewise, subordinates who see their supervisors
breaking rules, producing inferior or minimal
products, compromising integrity, falsifying
documents, lying, and other similar behaviors are
more likely to mimic behaviors of this type.
Attitudes and behaviors of these types will breed an
environment of decayed values and mission
corrosion.
How to Prevent Disciplinary Problems
Be an effective role model
Communicate standards
Communicate expectations
Promote Air Force Core Values
Use rank and position appropriately
Effectively mentor
Properly train subordinates
Promote teamwork
Communicate effectively
Use sound leadership skills
Display and insist on technical

competence
Provide feedback
Adhere to NCO responsibilities from

In such a climate, the Air Force Core Values are a
resources like AFI 36-2618, The
needed wake-up call to all concerned or affected.
Enlisted Force Structure
Applying them will help you recognize how far off
the path of professional and ethical behavior you
have strayed and assist you in assessing the climate
of your organization. Applying the Core Values is
an excellent combination of communication and leading by example.
"The truth of the matter is that you always know the right thing to do.
The hard part is doing it.
Norman Schwarzkopf
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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.
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Demonstrating the willingness to hold subordinates accountable by providing feedback is an

important aspect of Prevention. This is crucial because Prevention is only effective when
subordinates are convinced that you are observing them and you are willing to correct and
reward their behavior. In addition, verbal reminders and the willingness to hold subordinates
accountable help build subordinates self-discipline.
Even with a tremendous amount of time and effort expended in the Prevention step, there always
seems to be a small percentage of subordinates who just do not get it. When that happens, you
have a myriad of administrative tools to assist you in helping wayward subordinates correct their
behavior. This is when you enter the Correction Arena. Ideally, effective application of
Prevention prevents ALL disciplinary problems from occurring, but we know that is not reality.
Unfortunately, we do not live in an ideal world, so let us explore the next Arena of the Discipline
Model: Correction.
Progress Check
3. In the Prevention Arena what are the 3 key actions that must take place? Who must take
those actions?
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SELF-REFLECTION OPPORTUNITY: Reflect on a time in which you applied effective

communication skills on a subordinate to prevent disciplinary problems. Did you anticipate
your intervention would be effective or did you have doubts? Did you notice any positive
reactions from others as a result of your efforts? If so, what were they?
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
recommendation for administrative discharge/separation 2 (when the Air Force separates

members failing to meet standards of performance, conduct, or discipline, it promotes Air
Force readiness and strengthens our standards of military service)
Remember, administrative tools are corrective in nature, not punitive. This is where you cross
the line from Correction to Punishment, the Commanders Only zone.
SELF-REFLECTION OPPORTUNITY: Have you ever had to present an LOR to an
individual? Was it in an informal or formal setting? How did it go? If it didnt go well, what
would you do differently the next time you are faced with presenting an LOR to an individual?
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.
6. Why is it important to correct substandard behavior?
7. What is primary purpose of the Correction Arena?
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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
Discipline Model Activity

This exercise is designed to see how well you recognize appropriate/inappropriate actions for the
three Discipline Model Arenas (Prevent, Correct, and Punish). Read each of the following
scenarios, analyze, and then justify if the actions were appropriate/inappropriate according to the
concepts/principle in the DM Arenas. Complete your answers in the space provided. (Answers
can be found at the end of the chapter.)
SCENARIO 1:
TSgt Elegee brings SSgt Moore into her office for an initial feedback. She
says, I trust all has gone well with your in-processing. You appear to be
settling in fairly well. I have been observing you and am confident that
you know what to do and what my expectations are. Therefore, I will not
waste any more of your time. I just wanted to let you know that if you
needed anything, I am here for you.
She rises up out of her chair, shakes Moores hand and says, Have a good
day, and again, let me know if you need anything.
a. Which Arena does the scenario address?
b. Differentiate whether the supervisors actions (decisions or behaviors) were appropriate

or inappropriate and justify your decision according to lesson principles.
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.
b. Differentiate whether the supervisors last actions (decisions or behaviors) were

appropriate or inappropriate and justify your decision according to lesson principles.
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.
b. Differentiate whether TSgt Jumbos comment was appropriate or inappropriate and

justify your decision according to lesson principles.
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.
b. Differentiate whether TSgt Blisdums comments were appropriate or inappropriate and

justify your decision according to lesson principles.
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.

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.

Now that you have a good understanding of the Discipline Model, lets discuss what makes the
Discipline Model run, the Progressive Discipline Process (PDP).
"There is only one sort of discipline, perfect discipline.

- General George Patton
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Progressive Discipline Process (PDP)

The Progressive Discipline Process is just as its name indicates, progressive. You must not only
understand its various facets and tiered nature, but also use it accordingly. When it comes to the
PDP model, it is a foundational tool to use with wisdom and discretion.
1. Establish Standards: Just as in the Prevention Arena of the Discipline Model, this is
where the supervisor clearly explains to the subordinates each standard and Line of
Acceptability (LOA). Use this LOA when measuring compliance with standards. This
line does not move. However, when one does fall below LOA, one must consider
information such as how far below did the subordinate fall, the frequency and/or blatancy
of the infraction, and any extenuating factors that may have played a part. Also, ask
yourself, Is this behavior normal or abnormal for this person?
2. Monitor: To ensure compliance, monitor subordinate behavior and reinforce as needed.
Supervisors often fail to fulfill this step because they believe that once they have set the
standards, compliance will just naturally follow. Subordinates need to know they will be
held accountable for the established standards of behavior and performance and that their
supervisors maintain oversight. This helps the subordinates feel that their supervisors are
interested in what they are doing. It will also help keep lines of communication open,
maintain appropriate levels of performance, strengthen individuals, and subsequently
organizational discipline.
3. Apply the PDP: When infractions occur and performance or behavior falls below the
LOA, you should apply the PDP. The action(s) used to modify subordinate behavior
depends on how far the subordinate deviates from the LOA and the circumstances
surrounding the infraction. Where you place them on the PDP is totally based on the
severity of the infraction and the supervisors judgment. With that said, the way one
supervisor responds to an infraction may vary when compared to another. There are
many factors that may come into play with that to include things like AFSC, location of
job, and the expectation of the supervisor. The PDP is critical to the Correction Arena of
the Discipline Model.
SELF-REFLECTION OPPORTUNITY: In your career field what is considered a serious
infraction or breach of discipline? Why do some career fields treat the same infraction
differently?
249
Applying the PDP

There are two basic concepts you must keep in mind to understand how to properly apply PDP.
PDP is progressive and where the supervisor places a subordinate on the PDP depends on the
severity of the infraction and the judgment of the supervisor. With that a supervisor should
follow the steps below when plotting the disciplinary situation on the PDP chart.
1. Determine the infractions distance from the Line of Acceptabilitys (LOA) vertical line
established by the supervisor in the first step of the PDP.
2. Draw a line horizontally toward the discipline tool appropriate for addressing the
infraction.
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.
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With this in mind, consider the following principles:

1. When conducting verbal and written counseling sessions, two-way communication is
both appropriate and very effective at helping subordinates understand the reasons for
and importance of meeting all standards.
2. There are times when one-way communication is appropriate, (e.g., Correcting recurring
unacceptable behavior and stopping/correcting safety violations). One-way
communication can be in verbal or written form and typically used to admonish or
reprimand.
3. Written administrative actions, counseling, admonition, and reprimand are subject to the
rules of access, protection, and disclosure outlined in the Privacy Act of 1974. The same
rules apply to copies kept by supervisors and commanders as well as those filed in an
individuals UIF or Personnel Information File (PIF). (Raters must consider making
comments on performance reports when the ratee receives any of these adverse actions.)
Counseling (Verbal or Written)
As you can see communicating (counseling), is key to appropriately using the PDP. Lets look at
the various tools that that are used do most effectively use the PDP.
Counseling is the supervisors first tool of
corrective action. The supervisor should initiate
a counseling session to correct habits or
shortcomings that affect job performance.
Counseling informs the member of improper
behavior and seeks to correct the problem before
it becomes more serious. A counseling session
should allow the member to openly discuss the
problem and help resolve the situation.
According to AFI 36-2907, UIF Program,
Counseling helps people use good judgment,
assume responsibility, face, and solve their
problems. Counseling helps subordinates develop skills, attitudes, and behaviors that are
consistent with maintaining Air Force readiness. Design counseling sessions to be
rehabilitative. In addition, consider counseling when an individual receives harsher treatment for
misconduct (e.g., Article 15). A supervisor can effectively use formal or informal counseling to
inform the person of the reason for the punishment and expected behavior in the future.
SELF-REFLECTION OPPORTUNITY: If a counseling session is to be rehabilitative, how
do you prepare before conducting a session with a subordinate? Do you individualize and
consider all circumstances before counseling a subordinate? In your experiences, do all
subordinates assume responsibility, face, and solve their problems? What measures do you
take when they dont?
251
There are three forms of counseling: informal, formal, and referral.

It is Air Force policy to use the least amount of action necessary to correct behavior. Thus,
informal counseling is the first tool at your disposal. Informal counseling, used with minor
misconduct and first-time offenses, can be an effective first step for supervisors. It is a good idea
to document verbal counseling sessions with Memo for Record (MFR) that provides a brief
description of matters discussed, then sign and
place in the members Personnel Information
File (PIF). Deciding whether to use an MFR
comes down to your best judgment because
only you know the subordinate and the
situation well enough to decide. A good rule of
thumb is to write an MFR anytime you have to
correct the same subordinate for the same
infraction more than once. For example, if
during the Prevention stage you made your
expectations clear, set clear standards, and
created a climate of accountability, then your
response to a first infraction can be as simple
as a quick talk to remind the subordinate of the standard without documenting the incident in an
MFR. A quick reminder gives subordinates the benefit of the doubt (no ill intent on the
subordinates part), which also helps build trust in the relationship. By you addressing the
infraction, no matter how small, the member was held accountable and knows, because you told
them, next time you will have to document. By doing this you are hopefully preventing a
potential discipline issue, which is the first P in PDP. Informal counseling is appropriate for
positive recognition as well, and can be particularly effective to re-motivate a subordinate who
has floundered a bit after initial success.
An MFR is particularly useful for documenting trends, accomplishing performance feedbacks,
and EPRs. Although it is not mandatory, its good practice to write up an MFR to capture the
gist of verbal counseling, admonishment, and reprimand sessions.
MFRs serve two important functions.
First, MFRs serve as memory joggers that are useful when you supervise large numbers
of people or you know you have addressed a particular Airman about an infraction, but
you cant remember how long ago or how many times youve reminded them.
Second, in those cases where subordinates cannot or will not adjust to military life or
subordinates who have decided to stop following the rules, a properly written MFR
begins the paper trail needed to take appropriate administrative, punitive, or separation
actions.
Always begin MFRs associated with corrective actions with the words, I verbally counseled,
I verbally admonished or I verbally reprimanded
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.
AF Form 174, Record

of Individual
Counseling (RIC)
A letter of counseling indicates the lowest level of written censure. Formal

AFI 36-2907,
counseling is required when misconduct warrants stronger action than
Unfavorable
informal counseling or when the behavior has continued despite previous
Information File
informal counseling. Formal counseling is especially important for any
behavior that is contrary to Air Force standards. Supervisors can use AF
Form 174, Record of Individual Counseling (RIC), prepared IAW AFI 36-2907, Unfavorable
Information File or a letter of counseling (LOC) to record the counseling session. These provide
a record of positive or negative counseling that will be useful during performance feedbacks and
create a paper trail.
Supervisors must take the time to prepare formal counseling. They should contain a good
description of what the member did or failed to do, including specifics of the incident and date of
occurrence. Presenting the counseling to the individual gives him or her opportunity to sign for
receipt. The documentation needs to contain the date the individual actually received the letter
of administrative action. The acknowledgement should also include a statement indicating the
individual understands his or her right to submit matters for consideration within three duty days.
It is important for members to acknowledge this right, which preserves the usefulness of the
documentation, should subsequent disciplinary actions become necessary.
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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Admonitions and Reprimands

An admonition (also known as an admonishment), either verbal or written, is more severe than
counseling. Use it for infractions serious enough to warrant admonishment but not serious
enough to warrant reprimand. In addition, an LOA (letter of admonition) is generally used to
give cautionary advice.
A letter of admonishment indicates a mid-range level of written disapproval for serious
infractions and/or repeat infractions and is most often presented in a formal setting. A letter of
admonition (LOA) or letter of reprimand (LOR) is appropriate when a letter of counseling has
failed to correct a problem or when the misconduct is too serious for mere counseling. In this
section, you will only address administrative admonitions and reprimands as opposed to punitive
reprimands administered because of
either a court-martial conviction or non
judicial (Article 15) punishment.
A reprimand, either verbal or written, is
more severe than counseling or
admonishment and indicates a stronger
degree of official censure. Use an LOR
for those acts not severe enough for non
judicial punishment, but in situations
where verbal or written counseling or
admonishment would not sufficiently
address the misconduct.
In addition, use LORs in those
circumstances where counseling and
admonishment failed in deterring the individuals undesirable conduct. An LOR indicates the
highest degree of written censure for the most serious infractions and/or repeat infractions and is
always presented in a formal setting.
This means that, according to PDP, it is done in the most professional and serious way possible.
It is a one-way communication. The subordinate may even be required to report in service dress
and stand at attention. This formality and
tone helps the subordinate see the
significance of his/her infraction. These
actions help the subordinate see the
significance of crossing the Line of
Acceptability so drastically. Just like MFRs,
LOCs, LOAs, and LORs serve to jog your
memory, but they also serve as written
documentation of actions taken to correct
behavior when more severe action is called
for such as an Article 15, Court-Martial, or
discharge.
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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.
The most important thing to remember about UIFs is that they

indicate the person in question has committed one or more very
serious breaches of discipline. While a UIF exists, NCOs must
consider its contents when making personnel
recommendations such as promotion, crossAFI 36-2907,
training, special duty assignments and permanent change in station moves,
Unfavorable
reenlistment, deployments, TDYs, advanced training, and so forth. Reference
Information File
AFI 36-2907, Unfavorable Information File for further detailed information.
Control Rosters
Placement on the Control Roster is the most serious of all administrative actions. It establishes a
6-month observation period for individuals whose duty performance is substandard or who fail to
meet or maintain Air Force standards. Commanders may direct supervisors to write an EPR
when placing members on and removing them from the control roster. Members may only
remain on the control roster for six consecutive months. Commanders initiate more severe
action for members not rehabilitated in this time.
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Commanders should periodically counsel personnel on the

control roster about their improvement or failure to improve
and have the authority to remove a member from the control
roster early regardless of how long the action was on file3. The
next Arena is no longer just changing behavior but is punishing
as well; we progress into the Commander only area of the PDP.
Article 15
A Control Roster is a tool

used by commanders to set up
a six month observation period
for individuals whose duty
performance is substandard or
who fail to meet or maintain
Air Force standards of
conduct, bearing, and
integrity, on or off duty.
Commanders are required to
inform the members that if
their performance and
behavior do not improve, they
will face more severe
administrative action or
punishment.
Although commanders initiate and issue Article 15s, NCOs

play a significant role in the process. NCOs are expected to
make recommendations to the commander on the punishment
for their subordinates. You cannot do that if you have not
established the rapport you read about in the Prevention Arena
of the Discipline Model. As a minimum, NCOs should know
enough about their Airmen to make a punishment
recommendation that not only fits the crime but that helps
motivate the person to change his or her behavior. Punishment
should not be too easy or too harsh. Always remember prudence over justice. Prudence first,
Justice second means to always consider the
facts and extenuating circumstances surrounding
a situation. This will ensure we treat people in a
fair and equitable manner while still ensuring the
Some things NCOs must consider BEFORE
correction/ punishment fits the crime. Although
making punishment recommendations
we can legally, throw the book at someone that
include:
is almost never the prudent thing to do.
Prudence first, Justice second
TIG and TIS
Current and past duty positions, level of

responsibility in those positions
Duty performance
Overall behavior on/off duty
Seriousness of the infraction
Punishment given to others for the same

offense
Potential for rehabilitation
Message sent to individual, unit, family,

and community
Marital status
Financial status
Cultural background
For example, reducing a married persons pay

and a single persons pay almost never produces
the same effect. It may be devastating to the
married member, but barely faze the single
person if the decision is determined to reduce
pay. Of course, the opposite could be true in
some cases. Another example is limiting ones
freedom. Restricting ones ability to socialize is
probably much more effective on single people
than on married people. Regardless of the
punishment or the offense, NCOs must ensure
other members of the unit DO NOT treat
members undergoing punishment
unprofessionally. This is an important part of
maintaining good order and discipline.
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.
Discipline Model (DM) and Progressive Discipline Process (PDP) Symbiosis

The Discipline Model and the Progressive Discipline Process have a very intimate association
and a very cooperative relationship. Using the picture, imagine the Discipline Model as the outer
skin and the Progressive Discipline Process as the bone structure
underneath. The outer cannot function without the inner and the inner
cannot exist without the outer. The process that allows the model
to work is like the gears in a clock. The gears move and work on the
inside to allow one to see the time on the outside.
If the supervisor was effective in the Correction Arena of the DM of which they established the
Line of Acceptability, among other things, they may not have to fully use the PDP.
What makes the Correction Arena of the DM actually work is the PDP. The key to both is using
the least force necessary to change the behavior and then progressing as needed. If you are the
supervisor who has a stack of LOCs for an individual, you have not effectively used the PDP and
the concept of Correction. As you follow the PDP theory, you may be led out of the Correction
Arena of the DM into the Punishment Arena.
258
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?
259
12. State the 3 steps of the Progressive Discipline Process.

a.
b.
c.
13. Name the 3 Arenas that make up the Discipline Model.

a.
b.
c.
14. Match the correct term to the description as it applies to Discipline Model.
____ Punishment
a. stop problems of behaviors that are detrimental to the

personnel or productivity of a work center before they occur
____ Correction
b. to correct and rehabilitate those who repeatedly or grievously

violate standards
____ Prevention
c. address inappropriate behavior and seek to bring

subordinates behavior back within acceptable boundaries
using the least amount of force necessary
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?
260
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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Roles and Responsibilities

All too often, supervisors rely solely on the First Sergeant when discipline issues seemingly get
out of hand. This is unacceptable because you, the supervisor, are responsible for your people,
and as a supervisor, you must increase your knowledge of this process as to do what is best for
the institution and for the Airman, sharing the load in ensuring we have a disciplined force. The
Enlisted Force Structure states that discipline falls on not only the First Sergeant and SNCOs
shoulders, but it is also SUPERVISORS responsibility to ensure equitable and effective
discipline.4
NCO Rank and Authority

As members of the profession of arms, all enlisted members swore to support and defend the
Constitution of the United States and to obey the orders of all officers appointed over them. All
NCOs have been delegated the authority necessary to exercise leadership commensurate with
their rank and assigned responsibility.
Noncommissioned officers carry out the orders of those appointed over them by virtue of the
authority vested in their rank and by effectively employing personnel, materiel, and other
resources under their control. They represent the Air Force NCO corps to everyone they
encounter. Their personal integrity, loyalty, leadership, dedication, and devotion to duty must
remain above reproach. As an Air Force leader, manager, and supervisor, the NCO must uphold
Air Force policies, traditions, and standards. By word and example, the NCO should epitomize
the Air Force as a profession and way of life for the military and civilian communities. In the
exercise of their duties, NCOs give orders. The Enlisted Force Structure is a great resource for
explanation of some of those duties.
Details of specific and general responsibilities for all enlisted members are
contained in AFI 36-2618, The Enlisted Force Structure. General
AFI 36-2618, The
responsibilities apply to all Airmen, regardless of rank or duty position.
Enlisted Force
Chapter 4 of AFI 36-2618, Enlisted Force Structure details specific NCO
Structure
responsibilities. It states that NCOs must lead by example by exhibiting
The Little
professional behavior, military bearing, respect for authority, and the highest
Brown Book
standards of dress and appearance. Instill these types of behaviors in their
subordinates. Clarify Air Force standards regarding such things as duty
performance, safety, on- and off-duty behavior, professional and unprofessional relationships,
and personal appearance. Be alert to personnel who violate Air Force standards and immediately
correct them. Think about how you handle these responsibilities every day, and how this has
made a difference in developing, maintaining, and enforcing discipline in your duty section or
organization.
He that cannot obey cannot command.

- Benjamin Franklin
262
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.
263
Seven Basic Rights of the Accused

There are Seven Basic Rights of the Accused:
1. presumption of innocence
2. protection from compulsory self-incrimination
3. pretrial investigation
4. representation by counsel
5. fair and impartial trial
6. right of appeal
7. protection from double (former) jeopardy
1. Presumption of Innocence
Although we may often seem to operate as if someone is Guilty until proven innocent, it is
supposed to be the other way around. Treating someone as innocent until proven guilty requires
you to invoke an important element of our core values, that of giving the accused the Benefit of
the Doubt. Guilt must be beyond a reasonable doubt and be established by legal and competent
evidence. This evidence can be Direct, Circumstantial, or both:
Direct Evidence: An example would be a videotape of a theft at the BX.
Circumstantial Evidence: Tends to prove a fact indirectly, which, alone or together with
other facts or circumstances, one may reasonably infer the existence or nonexistence of a
fact in issue.
A reasonable doubt is a doubt based
on reason and common sense. A
reasonable doubt is not mere
speculation; it is an honest,
conscientious doubt suggested by the
evidence, or lack of it, in the case. An
absolute or mathematical certainty is
not required. The burden of proof lies
with the government; the accused does
not have to raise a defense. Not only
do the accused not have to raise a
defense, they are entitled to protection
from compulsory self-incrimination,
which is the second right we will
address.
264
2. Protection from Compulsory Self-Incrimination

The 5th Amendment and Article 31 of the UCMJ prohibit selfincrimination. Preventing and/or
discouraging selfincrimination is perhaps a supervisors greatest challenge because of our
natural curiosity. However, NEVER compel Airmen to incriminate themselves.
NEVER interrogate or question people suspected of an offense without:
Advising them of their rights (similar to civilian Miranda Warning)
Telling them what the offense is
Advising them that they DO NOT have to make any statements
Advising them that any statements they make, oral or written, may be used as evidence in
a court-martial.
Article 31 Rights Advisement is the military version of the civilian Miranda Warning. When
given to the Accused, the Advisement of Rights must be read and explained to the accused,
and whoever is giving the advisement needs to be certain the accused understands his/her rights.
Oftentimes, NCOs are unsure of when to advise someone of his/her rights. Remember, it is all
about protecting ones rights and it is quite simple:
If you SUSPECT a crime has been committed, and you intend to question the
individual, you MUST perform a rights advisement.
A typical scenario involves an NCO speaking with a subordinate (or any other individual), and
during the conversation, the subordinate says something that makes the NCO suspect a crime has
been committed. When this occurs, do the following:
Tell the individual to STOP TALKING.
Cease questioning, and immediately say, From what you have just told me, I believe you
may have committed a crime. To protect you and to protect the government, I must
advise you of your rights.
BEFORE conducting the Rights
Advisement, ask another NCO to
witness the procedure (when
feasible). Choose someone who you
know to be capable of keeping the
situation/information confidential.
Conduct the rights advisement. You
can use either a Rights Advisement
card or a Rights Advisement form
(AF IMT 1168, Statement of
Suspect/ Witness/Complainant).
265
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.
266
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
267
When issued Letters of Counseling (LOC), Letters of Admonishment (LOA), or Letters

of Reprimand (LOR)
Supervisors and commanders can take one of three actions upon receiving rebuttal
documents:
1. Let the adverse administrative action stand.
2. Reduce the adverse administrative actions (i.e., changes a LOR to a LOC or choose
not to place member on the control roster).
3. Remove the adverse administrative action altogether (i.e., the rebuttal convinces the
supervisor or commander that the adverse administrative action is inappropriate).
7. Former Jeopardy
Even after exhausting all of their appeal options, members still have one very important right;
protection from Former Jeopardy. Former Jeopardy is commonly referred to as Double Jeopardy
and is covered under the Fifth Amendment and Article 44 of the UCMJ. Both prohibit any
person from being tried twice for the same offense; however, constitutional law has been
interpreted by the courts to mean that no person can be tried more than once by the same
jurisdiction! Therefore, members can be tried twice for the same offense, but only if the trial is
by a higher jurisdiction. For example: Trial in a state court is not a legal bar to a later
prosecution in a federal court based on the same act or omission.
The imposition and enforcement of disciplinary punishment under Article 15 for any act or
omission is not a bar to trial by court-martial for a serious crime or offense growing out of the
same act or omission and not properly punishable under this article. The fact that a disciplinary
punishment has been enforced may be shown by the accused upon trial, and when so shown shall
be considered in determining the measure of punishment to be adjudged in the event of a finding
of guilty.
Although trial and prosecution by higher jurisdiction is possible, such dual prosecutions rarely
serve good order and discipline or serve justice; therefore, the Air Force does not pursue courtmartial or Article 15 action for the same act or omission for members tried and convicted in state
court. Only the Secretary of the Air Force can authorize exceptions to this policy. Although the
Air Force does not pursue judicial or non-judicial actions against members convicted in civilian
court, ALL administrative actions remain an option and their use is highly encouraged.
Now, take what you have learned about the 7 Rights of the Accused and complete the exercises
on the following pages. When you have completed the exercises, you will move on to the next
step in addressing your roles and responsibilities in protecting those rights beginning with,
Knowing Your Limits.
268
Rights of the Accused Exercise

List the 7 Rights of the Accused and then in your own words provide a BLUF (Bottom Line Up
Front or Gist), description of each Right of the Accused.
1. First Basic Right: _________________________________________________________

BLUF:
___________________________________________________________________________
______________________________________________________________
2. Second Basic Right: _______________________________________________________
BLUF:
___________________________________________________________________________
_______________________________________________________________
3. Third Basic Right: ________________________________________________________
BLUF:
___________________________________________________________________________
_______________________________________________________________
4. Forth First Basic Right: _____________________________________________________
BLUF:
___________________________________________________________________________
_______________________________________________________________
5. Fifth Basic Right: _________________________________________________________
BLUF:
___________________________________________________________________________
_______________________________________________________________
269
6. Sixth Basic Right: _________________________________________________________

BLUF:
___________________________________________________________________________
_______________________________________________________________
7. Seventh Basic Right: _______________________________________________________
BLUF:
___________________________________________________________________________
_______________________________________________________________
270
Rights of the Accused Scenario Exercises

Most will advocate that NCOs who are not OSI or SF should not attempt to advise people of
their rights because it is so easy to mess up. It may be easy to mess up, but it is not only the
Cops or Shirts job, but all NCOs and they must be prepared when the time comes.
This exercise is designed to see how well you recognize appropriate/inappropriate actions for the
Rights of the Accused. Read each of the following scenarios, analyze each scenario,
differentiate if the actions were appropriate or inappropriate, and justify according to the
concepts and principles in the Rights of the Accused section of chapter. Complete your answers
on a separate sheet of paper. (Answers can be found at the end of the chapter.)
SCENARIO 1:
Flight Chief to NCOIC: I heard A1C Jax smoked
marijuana while on leave. Since he violated the UCMJ, I
want you to counsel him, document the session, and then
forward it to the first sergeant for filing in his UIF
NCOIC to Flight Chief: Yes sir!
a. Are the Flight Chiefs orders appropriate or
inappropriate? Why?
b. If inappropriate, what should the Flight Chief have done? Why?
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?
b. If inappropriate, what should the NCOIC have done? Why?
271
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.
272
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?
273
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.
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SELF-REFLECTION OPPORTUNITY: Have you ever been or known someone, in the

company of another who engaged in an illegal act? If so, were you questioned as far as to
your participation/involvement? What was the outcome and impact on your career? What was
the impact on theirs?
Now that we understand the Rights of the Accused to include the Article 31 Rights Advisement,
lets make sure you understand when you are stepping over the line. You must understand the
importance of seeking help from professionals when you are outside your expertise or comfort
zone. You must know your limits for your sake, for the sake of your Airmen, and for the sake of
the institution.
Know Your Limits

It is imperative that you recognize the fact that you are not professional investigators or
attorneys, so never try to act like one and always seek their advice! As the experts, they provide
advice that helps you take appropriate actions and will keep you from doing something wrong.
ALWAYS consult the ADC, OSI, and SFS when:
directed to investigate an incident
dealing with violations of the UCMJ and you intend to pursue adverse administrative
actions or your commander intends to pursue punishment
you are unsure of how to proceed
To reemphasize the Rights Advisement remember, use it
if you suspect someone of committing a crime, AND you
intend to question them. If, while talking with or
questioning someone, they admit to committing a crime,
or you suspect they committed a crime, stop immediately
and advise them of their rights in writing whenever
possible. If they elect not to answer questions, you must
cease the discussion!
It is also important to know your limits when it comes
to your personal values and/or emotions. Personal values
and beliefs can have a powerful influence on how you
react to situations. It may cloud your judgment and cause
you to take actions, make decisions, or display behaviors that are less than ideal. If your values
and beliefs conflict with that of the person accused, you may not be able to handle the situation
in an objective manner. You may even advocate for justice without considering prudence. If
personal values or beliefs interfere with your ability to protect the Rights of the Accused, you
must immediately inform your chain of command. Failing to do so could harm the individuals
case and/or the governments case as well. Finally, always refer Airmen accused of a crime to
the ADC, the sooner they speak with an attorney the sooner their rights can be protected.
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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.
Treatment of the Accused

Knowing your limits goes hand in hand with how you and others treat the Accused. With an
understanding of the seven basic rights, consider this question, Should the treatment of the
accused depend on the nature of the crime? Absolutely not! This is an important point because
more often than not, we forget to presume people are innocent until proven guilty regardless of
the nature of the crime. Unfortunately, human nature is such that we tend to believe the worst is
true, that the accused is guilty despite what the law says you are supposed to believe.
We also forget that whether its shoplifting, molesting an 11year old daughter, or murder, the
accused still has rights and as an NCO, you must help protect those rights, no matter how you
feel about the individual or the crime.
Ensuring people inside and outside the section or unit continue to provide fair and equal
treatment to the accused may be one of the greatest challenges. Different crimes, and the people
who commit them, can affect sections, units, and the members very differently.
First of all, its not unusual for a member accused of a crime to return to their unit and even
perform their primary duty while awaiting the outcome of a pre-trial investigation, court-marital,
and/or Article 15. When members accused of a crime return to their unit, rumors will fly! This
always affects unit morale and, depending on the crime, can even polarize a unit or section. This
is especially true when the person accused of wrongdoing is well liked and respected. Members
of the unit usually fall into the I dont believe it! or the hes guilty camp. Regardless of
which camp people choose, they will talk about the case and some will even say or do very mean
and inappropriate things to the accused. As an NCO, it is your responsibility to squelch rumors,
to keep others from discussing the issue, and to keep people from treating the accused badly.
Remember the old adage, Treat others as you would like to be treated.
276
During the pre-trial and the Article 15 process or

courts-martial process, you might be the only
person standing between the accused and members
of your unit who are saying or doing very mean and
inappropriate things to the accused. Protecting the
rights of the accused and ensuring them fair and
impartial treatment can be extremely difficult,
especially when your personal values and beliefs
come into play. Nevertheless, you must persevere.
The Core Values state that EVERYONE deserves
respect, and as leaders, this is an opportunity to
walk the talk. Knowing the basic Rights of the
Accused, recognizing your personal limits, and
assuring proper treatment of the accused will help
ensure the military justice system continues to be one of the fairest systems in the world. It is
important that members of your unit not treat an accused member poorly. If your unit does not
treat the accused with dignity and respect and you do not ensure others do so, it impacts your
subordinates. Your team may lose trust and faith in you, division may be created in the work
center, it could even push the accused to commit suicide resulting in a drastic decrease in
mission effectiveness due to lack of focus. Basically, this goes against the Right of the Accused
that says, People are innocent until proven guilty and shows you, as an NCO, are not doing
your duty of protecting the rights of our people.
Remember, the accused is innocent until proven guilty, that the burden of proof rests on the
government, and that the accused does not need to raise a defense. The Fifth Amendment and
the UCMJ prohibit self-incrimination. The accused is entitled to a Fair and Impartial Pre-trial
investigation and representation by counsel during the investigation. They are entitled to FREE
military counsel, but may hire a civilian attorney at his or her own expense. A fair and impartial
trial and the prosecuting and defense attorneys having similar qualifications is an entitlement.
The accused has the right to appeal the findings of any courts-martial. Members have the right to
appeal some convictions through the civilian court process at their own expense. Air Force
policy and civilian law prohibits Former Jeopardy (AKA Double Jeopardy), and conviction in a
civilian court does not prohibit military authorities from taking administrative actions.
NCOs must know their limits especially when it
comes to personal values and beliefs. You must
understand that you are not an attorney, and you
should consult the ADC, OSI, or SFS when your
decisions or action may include adverse
administrative or punitive actions. Treatment of the
Accused should not depend on the nature of the
crime; you must presume people are innocent until
proven guilty. You must kill rumors to protect the
accused and the unit.
277
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?
278
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?
22. NCOs should advise someone of his/her rights when they:

a. suspect someone of committing a crime.
b. overhear that someone has committed a crime.
c. suspect someone of committing a crime, and they intend to question him/her.
279
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.
280

During this lesson, you have defined discipline and its many facets. From there, you looked at
the Discipline Model (DM) to include the Arenas of Prevention, Correction, and Punishment.
You also looked at what drives the DM, which is the Progressive Discipline Process (PDP). The
PDP included establishing an LOA, the fact that the PROGRESSIVE part is essential, and that
punishment is only for officers on G-series orders. Finally, you explored the supervisors roles
and responsibilities in maintaining discipline. This included the Rights of the Accused where
you addressed the NCOs responsibility when it comes to Article 31 Rights advisement, among
other rights. Next you addressed the importance of knowing your limits and treating the accused
appropriately and respectfully. You completed a few exercises and a final activity where you
provided your thoughts on how Discipline impacts mission accomplishment. Having now
successfully completed this chapter, you are aware of how essential discipline is to the
accomplishment of the Air Force mission and to developing your subordinates.
Hopefully, now, you as an enlisted leader understand disciplines importance and its impact on
mission accomplishment. As an Air Force NCO, it is critical that you employ these preventive
and corrective methods effectively to reduce the number of disciplinary problems in your unit
and our great Air Force. Ensuring that the Air Force Core Values are integrated firmly into your
personal habits will effectively provide examples for your subordinates to follow. Practicing
effective discipline methods and enforcing Air Force standards are paramount in your quest and
mandate to be effective leaders. As it was said at the beginning of the chapter, few professions
depend on discipline as much as the armed forces. The Air Force is a collection of individuals
who must set aside personal interests, concerns, and fears in order to work as a team to
accomplish the mission. The instrument that allows the Air Force to accomplish so many great
things is discipline. More importantly, effective discipline is not possible without you, the NCO,
leading the way by applying the discipline principles youve learned here in the most effective
manner possible.
By upholding your responsibilities as leaders, you play an important role in minimizing
disciplinary problems while maximizing mission effectiveness. With that, there is an excellent
foundation on which to continue building our Air Forces future. Whether at home station or
deployed, it is vital that, as an enlisted leader, you fully comprehend the impact discipline has on
you, your people, and mission accomplishment.
281
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)
282
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.
NAME, Rank, USAF

Title of member offering action
283
Continuation of LOC/LOA/LOR for Rank Last Name of Member

1st Ind, [insert rank and last name of member]
TO: [Insert rank and last name of person issuing letter]
I acknowledge receipt and understanding on
, 20XX. I understand
that I have three (3) duty days from the date of this letter to provide a response, and that I must
include in my response any comments or documents I wish to be considered concerning this
letter.
Member Name, Rank, USAF
Signature Block
2nd Ind, [insert rank and last name of member]
TO: [Insert rank and last name of person issuing letter]
Date: ______________________________
I have reviewed the allegations contained in this letter. (I am submitting the attached documents
in response) (I hereby waive my right to respond).
Member Name, Rank, USAF

Signature Block
3rd Ind, [Insert rank and last name of person issuing letter]
TO: [insert rank and last name of member]
Date: ___________________________
[(I have reviewed the matters submitted by the member.) (The member did not submit matters
within the allotted time).] [(The LOC/A/R will be removed) (The LOC/A/R will remain in effect
and will be filed in the members PIF) (The LOC/A/R will remain in effect and will be filed in the
member's UIF.)]
Name, Rank, USAF
Title of member offering action/issuing letter
284
Attachment 3
Attachment 4
285
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) 36-2626. 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
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 _______________.
a. task discipline; substandard performance by her Airmen

b. task discipline; stellar performance by her Airmen
c. prevention; substandard performance by her Airmen
d. prevention; stellar performance by her Airmen
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1. Discipline is training expected to produce a specific character or pattern of behavior,
especially training that produces moral or mental improvement.
2. Increases personnel readiness
Builds professional skills of personnel
Strengthens personal discipline
Promotes camaraderie, esprit de corps, and morale
Enhances national security and the nations confidence in the Air Force
Helps to maintain air and space superiority
3. Set standards, establish rapport, and create a climate of accountability. The NCO/supervisor.
4. Progressive Discipline Process
5. Corrective actions NCOs can use to rehabilitate subordinates include:
- Verbal counseling, admonishment and reprimand
- Letters of counseling, admonishment and reprimand
- Recommend establishment of a UIF
- Recommend placement on control roster
- Recommend administrative demotions
- Recommend denial of reenlistment
- Recommend nonjudicial punishment action
- Awareness training (as a deterrent)
6. Correcting substandard behavior not only maintains good order and discipline, it motivates
Airmen to accomplish the mission in the most effective and efficient manner possible.
7. The primary purpose of the Correction Arena is to get subordinates behavior back to the
standard using the least amount of force necessary.
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.
291
20. When handling disciplinary actions, a NCO should;

- use the Discipline Model and PDP effectively.
- protected the rights of the accused.
- know their limits.
- ensure accused are treated with respect.
21. NCOs must ensure other members of the unit DO NOT treat members awaiting trial
unprofessionally. This is an important part of maintaining good order and discipline. As an
NCO, it is your responsibility to squelch rumors, to keep others from discussing the issue,
and to keep people from treating the accused badly. Always remember, Innocent Until
Proven Guilty
22. If you SUSPECT a crime has been committed, and you intend to question the individual, you
MUST perform a rights advisement.
292

RATIONALE:
a. This answer is INCORRECT. The scenario does not best illustrate punishment which, according
to the Discipline chapter, can only be administered by officers on G-series orders to the enlisted
members. The scenario depicts ineffective use of the Progressive Discipline Process which, if
followed, Smith should have given Green some sort of documentation for his substandard
behavior.
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.
c. This answer is CORRECT. According to the Discipline chapter, supervisors should

take the least amount of action necessary to correct behavior and then progress up
from there. Smith is not using the Progressive Discipline Process effectively; rather
than use progressive discipline (i.e. LOC then LOA then LOR), he continues with
verbal counseling for the same infraction which has not been effective.
293
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.
294
Discipline Definition Review Answers
295
Discipline Model Activity Answers

Scenario 1: DM Arena 1 Prevention
Inappropriate: The keys to prevention are: setting clear standards, establishing rapport, and
establishing a climate of accountability. None of this was done with this interaction between the
supervisor and SSgt Moore. No standards were set, she just assumed Moore knew them because
he is an NCO; no effort was made to establish rapport or get to know him better. Nothing was
said about holding Moore to any standard which would have created a climate of accountability.
Scenario 2: DM Arena 2 Correction
Appropriate: Given the condition Geidner found the room in and his previous verbal reminder of
the standard, the most appropriate action within the Correction Arena, according to the
Progressive Discipline Process, is a is a written LOC.
Scenario 3: DM Arena 3 Punishment
Inappropriate response because NCOs must know their subordinates well enough to advise
commanders on the most effective disciplinary actions. They should know their subordinates
on-duty work performance and behaviors and off-duty issues including finances, family,
education, second job, etc. They should know their Airmen well enough to know what type of
disciplinary action will be most effective in changing the behavior without crushing the person
and with minimal unintended consequences.
Scenario 4: DM Arena 3 Punishment
Appropriate: the supervisor knew his subordinate well enough to advise the commanders to
avoid any unintended consequences.
Scenario 5: DM Arena 2 Correction
Inappropriate: The Correction Arena is about taking actions to change a behavior, specifically
taking the least amount of action necessary to change a behavior. The LOA set by the AFI is to
walk the entire 1.5 miles. Because SSgt Jikes intentionally went against AFI 36-2905, Fitness
Program, AFI 36-2618, Enlisted Force Structure, the Core Values, and the UCMJ, the severity of
the infraction warrants stronger action. The supervisors action did not effectively address Jikes
behavior.
Scenario 6: DM Arena 1 Prevention
Appropriate: The keys to Prevention are: setting clear standards, establishing rapport, and
establishing a climate of accountability. All of these were done with this interaction between the
supervisor and SSgt Chortol. Standards were set (AF fitness, unit fitness schedule), the
supervisor established rapport (biking, video games, family). A climate of accountability was
established, (Chortol was told that he will be held accountable to PT standard and the entire
section holds each other accountable).
296
Rights of the Accused Exercise Answers

1. Presumption of Innocence
BLUF: All are innocent until proven guilty and MUST be treated as such
2. Protection from Compulsory Self-Incrimination
BLUF: Individual cannot be put in a situation where they have to admit to a crime
3. Pretrial Investigation
BLUF: Ensures all elements are out in open and evidence is presented
4. Representation by Counsel
BLUF: All members will have a lawyer, the free military counsel or pay for their own
civilian lawyer
5. Fair and Impartial Trial
BLUF: Counsel always has a separate chain of command than accused, counsels will have
similar qualifications, court or members will not be influenced, judge and members will act
in good faith
6. Right of Appeal
BLUF: Everyone gets a second look
7. Former (Double) Jeopardy
BLUF: Cannot be tried twice for same offense
297
Rights of the Accused Scenario Exercise Answers

Scenario 1: Presumption of Innocence
Inappropriate: Flight Chief and NCOIC are treating Jax as guilty because of a rumor they heard.
Justification: Members are innocent until proven guilty.
Scenario 2: Protection from Self-Incrimination

Inappropriate: NCOIC asks Jax, Is it true? causing him to self-incriminate. NCOIC should
have told him that because of what he was about to ask is a crime he should have read him his
rights, told him what the potential crime was, advised him that he DID NOT have to make any
statements and that any statements he makes, oral or written, may be used as evidence in a courtmartial.
Justification: NEVER interrogate or question people suspected of an offense without:
- Advising them of their rights (Miranda Warning)
- Telling them what the offense is
- Advising them that they DO NOT have to make any statements
- Any statements they make, oral or written, may be used as evidence in a court-martial.

Appropriate: King admits to unknowingly committing to a crime. The NCOIC stops him and
reads him his rights.
Justification: If while interviewing a witness, something the witness says indicates he/she should
rightfully be a suspect, then immediately do the following:
-
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.
298

Appropriate: King does not want a lawyer at first and does answer questions. As soon as King
no longer wants to answer questions and asks for a lawyer, the NCOIC RESPECTFULLY
obliges and calls the ADC.
Justification: If, after advising them not to answer questions and to get a lawyer, they may still
want to answer questions and do not think they need a lawyer that is ok. AFTER you have read
them their rights, ask any questions you deem appropriate. If at ANY time they no longer feel
comfortable answering questions, with RESPECT, stop questioning and have them contact the
ADC.
299
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.
AFP 50-34, Vol I, 1 Apr 90, page 125
Manual for Courts-Martial United States, Page A2-3
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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This Page Intentionally Left Blank.
CHAPTER SIX: Emergent Leadership Issues

Wingman Concept and Philosophy
Suicide Awareness and Prevention
Substance Misuse and Intervention
Stress Management
Equal Opportunity/Human Relations
Sexual Assault Prevention/Response
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?
Wisdom is knowing what to do next; virtue is doing it.

- David Star Jordan
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Chapter Six: Emergent Leadership Issues

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend emergent leadership
issues and their impact on NCO, Unit,
and Mission Effectiveness.
Behavior:
1. Explain emergent leadership
issues and their impact.
2. Give examples of emergent
leadership issues and their
impact.
3. Predict the impact of emergent
leadership issues.
4. Apply concepts and principles
associated with emergent
leadership issues to simulated
situations.
Value the importance of eliminating
and/or minimizing the impact of
emergent leadership issues.
1. Willingly discuss the importance
of eliminating and/or minimizing
the impact of emergent
leadership issues.
2. Freely share personal experiences
involving emergent leadership
issues.
Unfortunately, this scenario plays out far too often in the

Air Force. How you respond to this type of situation
directly affects your Airmen! As an enlisted leader, your
ability to think on your feet, know resources, and make
the right call directly affects your subordinates and their
ability to carry out the Air Force mission.
Todays Air Force leaders face a variety of issues and
problems on a daily basis. To be effective, unit
managers must be proactive when it comes to dealing
with these concerns. To ensure the Air Force mission,
people, and the country reflect the highest state of
readiness, direct involvement by supervisors is needed.
The purpose of this chapter is to provide some
background information that will enhance your ability to
deal with some of the more common issues. This is not
an all-inclusive list, and it does not take the place of
training, support agencies specific to your duty location,
or intra-organization communication. This chapter
covers various issues that NCOs face regularly. These
common issues include stress, substance misuse,
EO/human relations, sexual assault, workplace violence,
and suicide. The chapter also covers the four dimensions
of wellness. Being familiar and knowing how to handle
these issues enhances your comprehension of emergent
leadership effectiveness. When you graduate from the
NCOADLC, you will be better prepared to lead and
manage units.
Although you face unique challenges every day, it all

starts with how you treat and respond to others when
assistance is needed. Having someone you can count on in times of need can go a long way.
This chapter will give you the skills needed to fulfill your leadership role and manage units as
evidenced by your comprehension of emergent leadership issues. The Emergent Leadership
Issues chapter supports the Air Force Institutional Competency/sub-competency: Leading
People Takes Care of People. The Emergent Leadership Issues chapter is also a guideline for
you to execute your responsibilities outlined in AFI 36-2618, Enlisted Force Structure, and
techniques identified in the AFPAM 44-160, Air Force Suicide Prevention Program. With this
in mind, the chapter will begin by exploring the Wingman Concept/Philosophy.
303
Wingman Concept and Philosophy

The wingman is absolutely indispensable. I look after the wingman. The wingman
looks after me. Its another set of eyes protecting you. That is the defensive part.
Offensively, it gives you a lot more firepower. We work together. We fight together. The
wingman knows what his responsibilities are, and knows what mine are. Wars are not
won by individuals. Theyre won by teams.
- Col Francis S. Gabby Gabreski, USAF
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.
304
Knowing these Bold Face indicators, Wingmen should always:
Assess the desire for self-harm.
Assess the means for self-harm. Does this person have a plan? Are there guns or
weapons in the home?
Assess the status of the Four Dimensions of Wellness.
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.
Look out for your fellow Airmen.
Show sincere concern and actively listen.
Appropriately intervene.
Dont allow your fellow Wingman to engage in self-destructive behavior.
A good wingman is alert, gets involved, and takes

action because they believe getting help is a sign of
strength, NOT weakness! In addition to these
indicators, the Wingman Concept incorporates the
skills of Ask, Care, and Escort (ACE)
Ask your Wingman: Have the courage to ask

the question, Are you thinking of killing
yourself? while remaining calm.
Care for your Wingman: Calmly control the

situation. Do not use force; be safe while
actively listening to show understanding and
to produce relief. Remove all means of selfinjury.
Escort your Wingman: Never leave your

friend alone. Escort them to your chain of
command, chaplain, mental health
professional, or primary care provider, or call
the National Suicide Prevention Lifeline.
Remember, only a commander can direct a
military member to mental health.
305
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:
suicide awareness and prevention
sexual assault response and prevention
domestic violence intervention and prevention
workplace violence intervention and prevention
substance misuse intervention
financial management
responsible decision-making and behavior in all phases of peoples lives
SELF-REFLECTION OPPORTUNITY: Think of a situation in your workplace that

presented a chance for the Wingman concept to be employed. How did your knowledge of
the Wingman concept enhance your ability to handle the situation? If you did not apply the
concept, how could it have enhanced your ability to handle the situation? What can you do in
the future to be more effective as an NCO?
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.
306
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.
307
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.
AFI 36-2618, the Enlisted

Force Structure, requires
that each NCO must, Be
mentally ready to
accomplish the mission.
These types of issues hinder ones ability to focus, decrease

motivation, erode positive attitude, and negatively affect
duty performance. Relevant to their roles and responsibilities as
military leaders, NCOs must constantly watch for and tend to issues
that disrupt not only their emotional state but also the emotional
wellness of their peers, subordinates, and supervisor!
According to HelpGuide.org, being emotionally healthy makes for a
happy, healthy, and prosperous life! People who are mentally and
emotionally healthy have:
A sense of contentment
Self-confidence and high self-esteem
A zest for living and the ability to laugh and have fun
The flexibility to learn new things and adapt to change
A balance between work and play, rest and activity, etc.
The ability to build and maintain fulfilling relationships
308
The ability to deal with stress and bounce back from adversity
A sense of meaning and purpose, in both their activities and relationships
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.
309
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.
Developing a social support network is as easy as volunteering to assist or participate in

community events, joining a local gym or club, taking college classes, or even using social media
technology. Nurturing these relationships is even easier.
310
Making family time a priority, staying in touch with

distant friends and relatives, participating in casual
conversations with neighbors, having coffee with
coworkers, and visiting a local church are all excellent
ways to foster lasting relationships with the people
closest to you.
Basic Support Sources

There are numerous support sources available to assist
Airmen when dealing with these type issues. NCOs
should be able to properly identify Airmen that may need
assistance. It is also your responsibility to be familiar with and identify the appropriate support
source needed for basic support. While there are agencies designed to assist those that may need
help, there may be others that can help. They may include close friends/family, mentors,
respected co-workers/leadership, and any others that may be outside-the-box, and have the
ability to assist those that are in an unhealthy state of wellness.
It is important to remember that another issue many of our Airmen face is taking care of a
family. Airmen must have peace of mind at home in order to focus on the mission at work.
Many of the support sources available to Airmen also have services that assist family members.
Included is a list of basic support sources you should know to ensure a safe hand off to the
proper agency or competent individual. A summary of their missions can be found at the end of
this chapter. (see Appendix 1)
Alcohol and Drug Abuse Prevention Treatment Program (ADAPT)
American Red Cross
Chaplain Services
Employee Assistance Program
Family Advocacy
Family Member Programs
Life Skills Support Center (LSSC)
Airman & Family Readiness Center
Health & Wellness Center
Mental Health Clinic
Military Equal Opportunity
Sexual Assault Response Coordinator
Victim Witness Assistance Program
Wingman Support Coordinator
Organization Consulting
Special Needs Identification and Assignment Coordination (SNIAC)-
Air Force Survivor Assistance Program
Base Safety Office
Base Legal Office
311
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.
312
Progress Check
1. How would you summarize the wingman concept/philosophy?
2. Identify the four dimensions of wellness based on the descriptions.

_____________________ 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.
_____________________ This dimension of wellness determines ones 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.
_____________________ This type of wellness requires a support network consisting of
family, friends, and coworkers offers tremendous benefits for
your health and wellness especially when dealing with
difficult situations.
_____________________ This type of wellness requires one to focus on five specific
components: Cardio respiratory Endurance, Muscular
endurance, Muscular strength, Body composition, and
Flexibility.
313
Suicide Awareness and Prevention

Although no one knows for sure, there are several theories why people kill themselves. One well
accepted theory suggests it is the combination of burdensomeness and thwarted belongingness
that comprises the desire for suicide.
Perceived burdensomeness is a sense that, I
am a burden to others, I do not contribute to
the group, and I am a liability to the group's
well-being or safety. Thwarted
belongingness is a sense that, I have no
connection to others and those previously
meaningful relationships that I did have
been strained beyond recovery or lost
outright.
In theory, both perceived burdensomeness
and thwarted belongingness can be
"corrected" with increased social support.1
In addition to a strong Wingman culture that provides a great deal of social support, the Air
Force has 11 specific policy and training elements that collectively comprise the Air Force
approach to taking care of Airmen.
These include:
Leadership involvement
Professional Military Education
Use of mental health services
Community preventive services, education, and training
Investigative interview policy
Trauma stress response
Integrated delivery system (IDS) and community action information board (CAIB)
Limited privilege suicide prevention program
Integrated delivery system consultation assessment tool (formally behavioral health

survey)
Suicide event surveillance system
314

Suicide is the second leading cause of
death for active duty personnel. It
accounts for 24% of the active duty
deaths annually and is second only to
deaths from unintentional injuries.
Suicide is a problem not only for the Air
Force but for all military services.
Compared with the other armed
services, the Air Force is about even.
The Navys rate is significantly lower,
while that of the Marine Corps is just a
little higher than the other services.
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.

Suicide Awareness: Defined as heightened individual
and community awareness of suicide, suicide risk
factors, and the fact that suicide is only the tip of the
iceberg of psychosocial problems.
Risk Factors: Includes, but is not exclusively limited
to, such factors as relationship difficulties, substance
misuse, legal, financial, medical, mental health, and
occupational problems, along with depression, social
isolation, and previous suicide threats/gestures, which
may increase the probability of self-harm.
Suicide Prevention: A community-based approach, that includes family, friends, and many
different professional and social service providers, committed to reducing suicide by creating a
safety net that provides protection and adds support for those in trouble by addressing the entire
iceberg of afflictions to individuals, families, and their communities. Trend data also highlights
the following:
315
Air Force Suicide Demographics

90% of ADAF suicides were male
53% of suicide events involved alcohol
58% unmarried (single, sep, or divorced)
35% had history of alcohol use disorder in past

year
39% aged 17-24; 39% were aged 25-34
58% received mental health care in previous

year
77% Euro-American ethnicity
39% received mental health care in previous

month
16% had deployed in past year
26% were diagnosed with a psychiatric illness
58% ranked E1-E4; 35% were E5-E7
19% had attempted suicide previously
52% died by gunshot
39% died by asphyxiation
Risk factors for Airmen include:
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.
Common barriers to seeking help include:
Denying the problem exists
Avoiding the problem all together
Fear that accessing help will result in a negative career impact
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.
316
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
Factors associated with preventing suicide:
Risk factors associated with suicidal behavior:
Unit cohesion and camaraderie
Current/pending disciplinary or legal

action
Peer support
Relationship problems
Easy access to helping resources
Substance misuse
Belief that it is okay to ask for help
Financial problems
Optimistic outlook
Work related problems
Effective coping and problem-solving

skills
Transitions (retirement, PCS, discharge,

etc.)
Social and family support
A serious medical problem
Sense of belonging to a group or

organization
Significant loss
Marriage
Setbacks (academic, career, or personal)
Physical activity
Severe, prolonged, and/or perceived

unmanageable stress
Participation and membership in a

community
A sense of powerlessness, helplessness,

and/or hopelessness
A measure of personal control of life

and its circumstances
Presence of a weapon in the home
Religious or spiritual connectedness
History of previous suicide attempts
Although being able to recognize basic and protective factors is important, its critical that you
recognize the following advanced warning signs associated with suicide.
317
Advanced Warning Signs
Expresses an intention of harming self or others
Behaves in a manner which would lead you to conclude that there was imminent risk of
this harm
Decreased or impaired emotional status
Thoughts of suicide
A suicide plan
Access to the method of suicide described
Stating they intend to complete the 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
Infant and toddler play groups
Employment assistance
Life skills groups (stress management,

depression, anxiety, anger, etc.)
Couples group
Parenting groups
Workshops (conflict resolution, dealing with

difficult people, supervising, etc)
Respite Care
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Leadership Knowledge, Skills, and Attitudes

As NCOs, you are expected to support proactive suicide prevention programs and, when
necessary, deal with situations associated with attempted and actual suicide. To be effective in
this endeavor, you must first acknowledge and then deal with your own personal reactions to
suicide. Most people have one of three common reactions:
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
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
Ignore what you see or

hear
Be direct and matter-of-fact.
Debate what is right or

wrong
Criticize or condemn them
Are you thinking about suicide?
How do you think you might do it?
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Listen openly without judgment.
Whats been going on?
Tell me what happened.
Accept their feelings.
Its okay to be depressed / angry.
It makes sense youd feel that way.
Act shocked or repulsed, or Show interest and support.

avoid them
What can I do to help?
Keep secrets
Get help.
Leave them alone
Lets talk with someone who can help.
Stay with them.
Assume theyll be okay
Im concerned about you.
Lets go to Mental Health together.
Remove potential means of self-harm.
Let me keep your gun for a while until youre feeling

better. Ill give it back then.
Do you have medications at home?
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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.
Confidentiality and Privacy Rules

Leaders should also be familiar with the
confidentiality and privacy rules as it relates to
suicide. It is important to follow these rules
correctly when dealing with at-risk personnel.
Leaders are to be familiar with the following
confidentiality and privacy rules as stated in AFI 44109: Communications between a patient and a
psychotherapist or an assistant to a psychotherapist
made for the purpose of facilitating diagnosis or treatment
of the patients mental or emotional condition are
confidential communications and shall be protected from
unauthorized disclosure.
However, confidential communications will be disclosed to
persons or agencies with a proper and legitimate need for
the information and who are authorized by law or
regulation to receive it, unless the evidentiary privilege
applies. Please refer to AFI 44-109 for more information
regarding evidentiary privilege.
As stated in AFI 44-109, Mental

Health, Confidentiality, and Military
Law, confidential communication is
defined as a communication not
intended to be disclosed to third
persons other than those to whom
disclosure is in furtherance of the
rendition of professional services to
the patient or those reasonably
necessary for such transmission of the
communication.
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Aftermath of a Critical Incident

Providing support and preventing further
harm is essential for survivors of critical
events. 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.
Leaders will need to collaborate with the DMH team and base helping agencies to address the
needs of survivors. Subsequent to a critical incident, the following are recommended:
Demonstrate concern for unit members well-being
Ensure that the basic needs of survivors are met (i.e., shelter, food, safety, and security)
Let people talk about their experience (emotional first aid)
Minimize exposure to environmental stressors (e.g., heat, cold, noise, disturbing visual
scenes)
Be attentive to the needs of family members.
Provide factual information; prevent the spread of rumors.
Continuously evaluate the environment for additional threats; ensure that needs
continued to be met.
Foster unit cohesion.
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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Common reactions experienced by persons following a

sudden death include:
DisbeliefThis can't be true.
Questioning the reasons/justifications for the

death
Anger at being deprived by the death.
Guilt/blame.
Helplessness.
Sleep difficulty.
Nightmares.
Difficulty with concentration.
Numbness and detachment.
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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The Bottom Line

Suicides are not prevented in the hospital emergency room; they are prevented in the unit by
addressing quality of life concerns on a daily basis. Suicide is a major concern for the Air Force.
The simple fact that one out of every three Airmen is having a major life problem right now and
is not currently getting help for it is reason enough for every NCO to be an active participant in
suicide prevention. This requires
knowing protective factors, risk factors,
and advanced warning signs, as well as
knowing what to do and how to do it
when others appear to need help.
Its paramount for NCOs to focus on
early recognition and intervention, to be
visible in their concern about suicide,
and to create an atmosphere of
teamwork and camaraderie while
continuously affirming and encouraging
help-seeking behavior.
Due to the sensitive subject matter and to protect the privacy of service members and their
families, current suicide and/or ongoing suicide investigation statistics are not available on a
public forum. However, limited information can be requested through the Air Force Suicide
Prevention Program at the Office of the Surgeon General of the Air Force Healthcare Operations
(SG3) at 7700 Arlington Blvd Suite 5158, Falls Church, VA 22042-5158.
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Progress Check
3. Why do people commit suicide?
4. List some advanced warning signs of suicide.
5. According to trend data, what are the most prevalent problems associated with suicide?
6. What are common barriers to seeking out help by at-risk personnel?
7. How can NCOs/leaders/supervisors help themselves and others seek help to prevent suicide?
8. What would be common reactions to actual or potential suicide situations?
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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?
12. What are the general goals for post-suicide intervention?
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Substance Misuse and Intervention

As a Wingman, substance misuse is another major issue
you need to be prepared to confront. The Air Force
places significant emphasis on the prevention, detection,
and treatment of substance misuse problems. All Air
Force members play important roles in this process, and
you must be aware of the readiness and mission impact
that can occur if misuse goes unchecked. Beyond the
professional realm, increased episodes of family
violence, financial problems, DUIs, and suicide are also
associated with alcohol and drug abuse.
You must enhance your knowledge of commonly used
drugs and the effects they have on individuals. If you
follow local news and military media, youll find trends
in drug abuse by military members. Drug abuse is on the
rise, especially among younger people. The illegal drug
industry is a sophisticated globalized network and
considered one of the largest businesses in the world.
Definitions and Terms

As you can see, drugs are a problem that affects the daily lives
of many people. In order to maintain you mission during your
current operations, you must focus your attention toward
eliminating drug use, due to the ill effects these substances have
on the human body and mind. You should be familiar with the
following definitions.
Drug: Any controlled substance included in Schedules I, II,
III, IV, and V in Title 21, United States Code, Section 812,
including anabolic or androgenic steroids, or any intoxicating
substance, other than alcohol, that is inhaled, injected,
consumed, or introduced into the body in any manner to alter
mood or function.
AFI 44-121 is the Air Force

Instruction (AFI) which
establishes guidance for the
United States Air Force
(USAF) Alcohol and Drug
Abuse Prevention and
Treatment (ADAPT)
Program.
a. A Depressant or Stimulant Substance is a substance

which contains any quantity of a substance that is habit-forming or has a potential for
misuse because of its stimulant, depressant, or hallucinogenic effect as determined by the
Attorney General of the United States (amphetamines, barbiturates, LSD, mescaline,
STP, PCP, inhalants, etc.).
b. Marijuana is any intoxicating product of plant (including hashish) or any cannabis
synthetic. *See note.
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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.
What Is Substance Misuse?

You are aware that the Air Force places
substantial emphasis on deterring, detecting,
and decreasing substance misuse. Because the
problem of substance misuse is so broad, there
is more than one way to define it.
Substance misuse falls into three categories as
outlined in AFI 44-121: the use of any illicit
drug, the misuse of any prescribed medication,
or the abuse of alcohol.
The Air Force does not tolerate illegal or
improper use of drugs by Air Force personnel,
and such use is considered:
A serious breach of discipline
Not compatible with service in the Air

Force
A factor that automatically places the

members continued service in
jeopardy
Behavior that can lead to criminal
prosecution resulting in a punitive
discharge or administrative actions,
including separation or discharge
under other than honorable conditions.2
The Air Force Defines Substance Misuse as:
The use of any illicit drug, the misuse of any

prescribed medication, or the abuse of
alcohol
Any substandard behavior or performance in

which the consumption of alcohol is a
primary contributing factor
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
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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Alcohol-related misconduct is defined in AFI 44-121 as a type of conduct or offenses that is a

breach of discipline. This can include (and not limited to):
Intoxicated driving
Public incidents of intoxication and misconduct
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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NCO Responsibilities as Related to Substance Misuse

The Air Force charges enlisted members at all levels to
be mentally ready to accomplish the mission. Issues that
can affect and detract from mental readiness are quality
of life, financial problems, sexual harassment,
discrimination, stress, marital problems, substance misuse
, and lack of recognition. These types of issues can
prevent individuals from focusing on the mission,
diminish motivation, erode a positive attitude, and reduce
the quality of work.3 As enlisted leaders, it is imperative
that you ensure your subordinates conduct themselves
within this standard.
Prevention
Prevention is one way leaders can ensure Airmen adhere
to set standards. Here are some ways leaders can prevent
substance misuse issues: The Air Force is working hard
to promote a culture of responsible choices.
The Air Forces approach to

preventing substance misuse
focuses on:
Substance misuse prevention, which
is a collaborative effort shared
among various agencies to include
the mental health (ADAPT), drug
demand reduction, and health
promotions and includes
Education
Counseling
Referral
Follow-up
To aid in this culture shift, the Air Force has adopted a

guideline from the United States Navy. This
scientifically developed formula, 0-0-1-3, is preventive
in nature and designed to promote responsible actions
regarding alcohol.4
Environment
Leaders must promote an environment that encourages
members to come forward and seek help. Whether it is a
personal problem or a concern about a coworker, the right
environment can go a long way to ensuring that timely
intervention occurs. When leaders promote an
environment where open communication and genuine
concern for subordinates is the norm, substance misuse
problems are less likely to occur.
The Air Force has instituted a guideline to make alcoholrelated problems less prevalent. This guideline is easy
and simple to follow.
The numbers 0-0-1-3, are a scientifically based formula
that should reduce situations where loss of inhibitions,
poor judgment, or violence occurs.
The first 0 relates to the goal of no underage drinking.
The 0-0-1-3 Formula
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:
Prevent further occurrences
Allow for early intervention
Demonstrate enforcement of standards
Alleviate regrets
How might delaying or failing to document substance misuse behavior associated with substance
misuse affect the work center?
Deterioration of behavior continues
Increased risk for more severe behavior
Demoralization of other Airmen who are aware of the behavior
Undermines good order and discipline
Negative behaviors may be imitated by peers
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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.
The five methods used by the Air

Force to identify substance abuse
are:
Self-identification
Commander referrals
Medical identification
Substance-related incidents
Drug-testing
Notifying the first sergeant and commander immediately

of your suspicions will lead to formal referrals and legal
actions. In some cases, drug abuse will have nothing to
do with illegal street drugs. For example, you may come
across a situation where a young Airman is using a friend or roommates medication to treat a
medical condition they are also suffering from. At that point, you must intervene and should
broaden his or her actions to include assistance from medical personnel. You still need to
document these situations, as well as ensure that the subordinate receives medical intervention
immediately. Documentation should contain reference to the situation as well as the follow-up
along with immediate commander and first sergeant notification.
Prevention is an effective way you can minimize the effects of substance misuse in the
workplace. However, you must know how to identify substance misuse symptoms for those
times when subordinates are struggling with these issues.
Methods for Identifying Substance Misusers
As NCOs we must ensure our personnel do not abuse alcohol or drugs. To comply with this,
there are five structured methods used to identify substance misusers in the Air Force.
Self-Identification: Members who are not currently under investigation or pending action
because of an alcohol-related incident are eligible to self-identify. Following the assessment, the
ADAPT program manager will consult with the treatment team and determine an appropriate
clinical course of action. For drug abuse, members may voluntarily disclose evidence of
personal drug use or possession to their leadership or a military medical professional.
Commanders will grant limited protection for Air Force members who reveal this information
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with the intent of entering treatment. Disclosure is not

voluntary if investigation, apprehension, drug abuse
treatment, recommendation for separation, or selection
for drug testing has occurred.
Commander Referrals: Commanders shall refer all
members for an assessment when substance use could be
a contributing factor in an incident. Failure to make this
referral places members in jeopardy for increased misuse
problems and negative mission impact. Commanders
will coordinate with the staff judge advocate within 24
hours of suspected misconduct and should ensure that
blood alcohol tests (BAT) are accomplished as soon after
the incident as possible.6
Medical Identification: Healthcare providers who
suspect substance problems must refer the member to the
ADAPT program for evaluation.
The effects of substance abuse

are far reaching. Substance
abuse prevention promotes:
Responsible behavioral
patterns
Environment of open
communication
Less time spent on

administrative actions
A decrease in physical and

mental health related expenses
A reduction in lost duty time
Substance-Related Incident: The majority of members

who enter ADAPT are identified because of an alcoholrelated incident. The commander will refer the member
to ADAPT after notification in such instances that law enforcement or other disciplinary
authority becomes involved. Commanders will direct drug testing within 24 hours of suspected
alcohol-related incidents, misconduct, episodes of bizarre or aberrant behavior, or where there is
a reason to suspect drug use and the member refuses to provide testing consent. For alcohol
incidents, the commander is encouraged to secure a blood alcohol test as soon as possible after
the event to determine the level and intensity of alcohol involvement.
Drug Testing: This is the overarching umbrella for the substance misuse program. Testing
occurs for a variety of reasons: probable cause, random selection, voluntary consent, command
directed, self-identification, and rehabilitation. The intent of this program is to deter and detect
illicit drug use.
What are some observable behaviors that may help you to identify substance misuse issues
affecting your subordinates? The Airman blames others for his or her own problems and
shortcomings and has complaints leveled concerning domestic disturbances or problems at home.
He or she frequently deals with financial shortages, complains of vague illnesses, avoids friends
and colleagues, and demonstrates a decline in personal appearance.
In a work center, what happens to one person often affects the entire duty section. All members
will watch the situation closely, which can have a profound impact on how they view the duty
section, their peers, and their leaders. The five methods used by the Air Force to identify
substance misuse can be very effective.
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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:
Alcohol on the breath at work
Glazed eyes or trouble focusing
Appearing intoxicated or disoriented during duty hours
Appearing disheveled or hung over at work
Indication of withdrawal, such as tremors, sweating, anxiety, and irritability
Frequent absences from work for vague illnesses
Interpersonal problemswith family, friends, and/or coworkers
Changes in work quality, work quantity, or duty performance
Overly frequent bathroom breaks, sleeping at work, extreme fatigue
Changes in habitsuniform wear, tardiness, forgetfulness
Referral Agencies/Treatment Programs

The primary purpose of the Air Force Alcohol and Drug Abuse Prevention and Treatment
Program (ADAPT).7 is to:
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
Provide comprehensive education and treatment to individuals who experience problems

attributed to substance misuse
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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All personnel who are referred to the ADAPT program will
attend a minimum of three sessions of awareness education
aimed at assisting participants to make appropriate behavioral
changes. Substance misuse education does not just take place
after a referral to ADAPT. Education is required for
personnel at all levels in the Air Force from first duty station
members all the way through members involved in substance
misuse-related incidents.9
As a supervisor, you must be aware of negative effects that
can occur after identifying substance misuse, such as
individual isolation, stereotyping or labeling, gossiping, low
self-esteem, and low self-confidence.
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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Immediate supervisors contact the ADAPT staff

before an assessment to provide pertinent information
on the members duty performance, on and off duty
Blood Alcohol Tests (BAT)
behavior, or other incidents. The Air Force tests for
determines the level and intensity of
marijuana, cocaine, amphetamines,
alcohol involvement.
methamphetamines, PCP, LSD, opiates, and
barbiturates. Additionally, the test for ecstasy is
issued when the methamphetamine test is positive.10
You should report all substance misuse or suspected
substance misuse incidents (i.e. showing to work smelling of alcohol, use of illicit drugs).
Observe and listen to subordinates problems and assist them by making appropriate referrals.
Make sure to document all incidents of deteriorating work performance, unexcused absences or
tardiness, unacceptable conduct, and any steps already taken to help members resolve these
problems (Contact the Civilian Personnel Office for guidance when dealing with civilian
employees). When directed by the commander, provide pertinent information to the ADAPT
office on patients duty performance, on and off duty behavior, drinking patterns, or other
incidents. Know your subordinates in order to take
an active role in assisting them with recovery.
Report all slips and relapses so the treatment team
can assist the member to get back on track before an
As an NCO/leader, effective methods
incident occurs.
Your communication as an NCO and leader are
necessary during intervention for suspected
substance misuse. This ensures subordinates know
what behaviors have been observed. This allows no
room for confusion or deception and opens the path
to clearly discuss issues that may be contributing to
questionable behaviors. To effectively find the root
source of substandard performance you should let
subordinates know that you are really attempting to
assist with substance misuse recovery.
When you suspect civilian personnel, be aware that a
supervisor is limited to discussing only observed
behavior and performance. Inquiring into a civilians
personal lifestyle is prohibited.
to communicate your observations

concerning substance abuse issues
with a suspected abuser are:
Private counseling or feedback

session
Firm questions, yet sensitive to

subordinates situation and needs
Inquiring with a nonjudgmental,

open-minded attitude
Sincerity and genuine concern in

actions
Using observed behaviors and other

facts as the basis for discussion
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Education, Counseling, Referral, and Follow-up

Substance misuse prevention is a collaborative effort shared among various agencies to include
the mental health, drug demand reduction, and health promotions. The focus changes depending
on the members status, two examples are:11
Military members arriving at their first

permanent duty assignment receive a class
on prevention, peer acceptance, role
models, responsible behavior, healthy
alternatives, and legal/ administrative
consequences of substance misuse
Military members in the grade of E5

through E9 and officers receive a class on
unique elements of the commands
substance misuse prevention and treatment program, local substance misuse threat,
military and civilian resources, identifying substance misusers, the referral process, and
supervisors' responsibility in the treatment/ process
When education fails to prevent substance misuse,
additional strategies have been designed to treat and
prevent further misuse including referral,
counseling, and follow-up.
These effective prevention programs lower social
care costs, lower healthcare costs, result in fewer
missed workdays, higher production, better quality
of work and smarter better decision-making.
In addition, it returns the most valuable resource

(people) to a productive status (as opposed to loss
through termination, sickness, death, etc.). Finally, prevention and treatment programs help
reduce suicides, accidents and accidental deaths and they help reduce relationship problems.
Influence of Leaders Attitudes on Substance Misuse
Perhaps the most important thing to remember is, as a leader, how much influence your attitude
toward substance misuse can have on a unit. When you model behavior expected from members
of the Profession of Arms, it results in higher mission readiness, better morale and increased
health and wellness. It also establishes an environment where members seek help for problems
with alcohol and substance misuse without fear of negative consequences.
339
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?
340
17. What do the numbers in the 0-0-1-3 formula represent?
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?

22. What might be some far-reaching effects of substance misuse prevention?
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?
26. Why is documentation so important for leaders, especially in this arena?
341
342
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?
30. How would define intervention as it relates to substance misuse?
31. Why is an NCO/leaders communication necessary during intervention for suspected

substance misuse?
343
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?
34. When should a supervisor refer a subordinate to ADAPT?
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?
344
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
Health and Wellness
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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.
Since 1956, popular culture has

wholeheartedly embraced the
concept of stress. Today, the
cultural meaning of stress often
overpowers its actual definition.
Some see stress as an excuse, a
state of mind, a marketing tool,
and even a physiological
phenomenon. Stress and its
noted effects tend to become
more visible when events and
situations become
uncontrollable. Modern-day
stress has become a
classification, personification,
and for many a diagnosis to justify a problem. Stress is an unavoidable consequence of life for
people, and for some, can be enough to drive them over the edge and to points of no return.
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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.
Potential Sources of Stress

Organizational Factors
According to Steven P. Robbins in
his book, Organizational Behavior,
there are no shortages of factors
within the organization that can
cause stress: Pressure to avoid errors
or complete tasks in a limited time
period, work overload, a demanding
and insensitive boss, and unpleasant
coworkers are a few examples.
These factors are categorized around
task, role, and interpersonal
demands; organizational structure;
organizational leadership; and the
organizations life stage.
Task demands are factors related to a persons job. They include the design of the individuals
job (autonomy, task variety, degree of automation), working conditions, and the physical work
layout. Assembly lines can put pressure on people when their speed is perceived as excessive.
The more interdependence between a persons tasks and the tasks of others, the more potential
stress there is. Autonomy, on the other hand, tends to lessen stress. Jobs where temperatures,
noise, or other working conditions are dangerous or undesirable can increase anxiety as can
working in an overcrowded room or in a visible location where interruptions are constant.
Role demands relate to pressures placed on a person as a function of the particular role he or she
plays in the organization. Role conflicts create expectations that may be hard to reconcile or
satisfy. An individual experiences role overload when time does not permit him or her to
complete all assigned tasks. Role ambiguity is when the individual is not sure what his or her
role expectations are.
Interpersonal demands are pressures created by other individuals. Lack of social support from
coworkers and poor interpersonal relationships can cause considerable stress, especially among
individuals with a high social need.
Organizational structure defines the level of differentiation in the organization, the degree of
rules and regulations, and where decisions are made. Excessive rules and lack of participation in
decisions that affect an individual are examples of structural variables that might be potential
sources of stress.
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Organizational leadership represents the managerial style

of the organizations senior executives. Some chief
executive officers (CEO) create a culture characterized by
tension, fear, and anxiety. They establish unrealistic
pressures to perform in the short run, impose excessively
tight controls, and routinely fire individuals who dont
measure up.
For instance, when Harold Geneen was chairman and CEO
at International Telephone and Telegraph (ITT), division
executives had to formally present their annual business
plan to Geneen and his senior staff group. Each division
executive would then be interrogated about every number
in every graph, exhibit, and analysis in the plan. The
exercise was known to put fear in the hearts of all the
division executives, and occasionally to bring tears to
some of their eyes.
Organizational stress factors

prevalent in your organization
are:
Task demands
Role demands
Interpersonal demands
Organizational structure
Organizational leadership
Organizations go through a cycle. They are established,

they grow, they become mature, and they eventually decline. An organizations life stagethat
is, where it is in this four-stage cyclecreates different problems and pressures for individuals.
The establishment and decline stages are particularly stressful. The former is characterized by a
great deal of excitement and uncertainty, while the latter typically requires cutbacks, layoffs, and
a different set of uncertainties. Stress tends to be least in maturity where uncertainties are at their
lowest ebb.12
Individual Factors
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.
349
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.
350
Evidence indicates that when people are placed

in jobs that make multiple and conflicting
demands, or in which there is a lack of clarity
as to the employees duties, authority, and
responsibilities, both stress and dissatisfaction
are increased. Similarly, the less control people
have over the pace of their work, the greater the
stress and dissatisfaction. While more research
is needed to clarify the relationship, the
evidence suggests that jobs providing a low
level of variety, significance, autonomy, feedback, and identity to employees, create stress and
reduce satisfaction and involvement in the job.
Behavioral Symptoms
Behaviorally-related stress symptoms 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.14
So far, youve read about organizational and individual factors that cause stress, learned that
people react differently to stressors, discussed the three types of symptoms and briefly looked at
the most obvious psychological effect from stress. Now, it is time to look at individual and
organizational approaches to stress management.
Stress Management Strategies

From the organizations standpoint, management may not
be concerned when individuals experience low to
moderate levels of stress. The reason is that such levels
of stress can be functional and lead to higher individual
performance. However, high levels of stress or even low
levels sustained over long periods can lead to reduced
performance and, thus, require action by management.
While a limited amount of stress may benefit
performance, do not expect individuals to see it that way.
From the individuals standpoint, even low levels of stress
are likely to be perceived as undesirable. It is likely that
most subordinates and management have different notions
of what constitutes acceptable levels of stress on the job.
What management may consider as a positive stimulus
that keeps the adrenalin running is very likely to be seen
by subordinates as excessive pressure. Keep this in
mind as the chapter continues by discussing individual
and organizational approaches toward managing stress.
351
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.
352
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.
353
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.
354
Combat and Operational Stress

Combat and operational stress is defined as:
The expected and predictable emotional, intellectual, physical, and/or behavioral
reactions of Service members who have been exposed to stressful events in war or
military operations other than war. Combat stress reactions vary in quality and severity
as a function of operational conditions, such as intensity, duration, rules of engagement,
leadership, effective communication, unit morale, unit cohesion, and perceived
importance of the mission.
- DOD Dictionary of Military Terms
Combat Stress- Combat stress happens when there is a

change in mental function or behavior because of combat.
The changes can be positive by allowing an increase in
confidence in both self and peers, or it can create symptoms
of a combat/operational stress injury.
Operational Stress- Operational stress occurs when there are
changes in mental functioning or behavior due to military
operations other than war.
Stressor- A stressor is any mental or physical challenge or
challenges.
Risk Factors
It is important to recognize that everyone has a breaking point
no matter what their deployment experience may be. There
are both internal and external factors that may cause one to
reach that breaking point. There are certain risks factors that
may increase the likelihood that these stress reactions will occur. Having knowledge of these
risk factors can help leaders modify, reduce or eliminate the possibility of combat/operational
stressors. Some of the risk factors to watch out for include:
Duration of deployment greater than six months
Repeat deployments with sufficient time to recover and reset
Sleeping less than 6-8 hours per day on average
Witnessing death close up, especially of other Airmen or civilian non-combatants
Being responsible for the death of serious injury of a non-combatant or allied combatant
Being physically injured
Handling remains, especially other Airmen
History of previous stress injuries, whether sustained during or prior to service
Previous mental health problems
Lack mutual trust with other unit members
Being impacted by family, relationship, or other home front stressors
Being young and inexperienced
Potential exposure to nuclear, biological, and chemical agents
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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
Emotional display over dead or wounded
Decreased attention to detail
Loneliness and isolation
Unclear thinking
Sleep troubles
Diminished confidenceloss of trust in self

and unit
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
Frantic, panicky behavior
Apathy
Emotional Outbursts
Irritable or angry
outburst
Confusion
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Leaders, supervisors, and peers
should know that these warning
signs deserve immediate
attention. It may warrant
evaluation at a medical treatment
facility but doesnt necessarily
mean the Airman must be
relieved of duty. If the warning
signs or symptoms continue and
cause the Airman to be unable to
perform his or her duties, prompt
treatment will enable the Airman
to return to duty.
The potential effect of combat

and operational stress not only affects the Airman but may also have a huge impact on their
families. Leaders and supervisors must take into account that families may need assistance due
to stress from deployments.
It is imperative that you know the available base support agencies. They can get assistance from
the base legal office for preparing a will or power of attorney.
The Airman and Family Readiness Center can provide advice on finances and allow family
members the opportunity to communicate with the member while deployed.
Family members can experience stressors due to deployments. The remaining spouse may have
to take on the role as single parent and have to start making decisions that the deployed spouse
usually makes or that they make together. If the family is in an isolated or foreign area, they
may not have adequate emotional or social support. Some of the reactions to stress by adult
family members may include:
Sadness
Difficulty with children
Anger
Fear for the deployed spouse
Anxiety
Depression
Nervousness
Children of deployed members may show various reactions, such as changes in:
Sleep habits
Eating habits
Interests
Behaviors
Energy
357
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
Remaining spouse experiences of

loss of job
Remaining spouse is pregnant
Medical problems
Remaining spouse being a victim of

a crime
Substance misuse issues
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).
Post-Traumatic Stress Disorder (PTSD)

The mind is its own place, and in itself, can make a heaven of Hell, a hell of Heaven.
- John Milton, Paradise Lost
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:
Combat or military exposure
Child sexual or physical abuse
Natural disasters, such as a fire,

tornado, hurricane, flood, or
earthquake
Sexual or physical assault
Serious accidents, such as a car

wreck
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.
358
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 intense the trauma was or how long it lasted
If you lost someone you were close to or were hurt
How close you were to the event
How strong your reaction was
How much you felt in control of events
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:
Hearing a backfire bringing back memories of gunfire
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.
Avoiding Situations That Remind You of the Event:

You may try to avoid situations or people that trigger memories of the traumatic event. You may
even avoid talking or thinking about the event. For example:
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.
You may not have positive or loving feelings

toward other people and may stay away from
relationships.
You may not be interested in activities you used
to enjoy
You may not be able to remember parts of the
traumatic event or not be able to talk about them.
Recognize the warning signs or

symptoms of PTSD
Reliving the event
Avoiding situations that

remind you of the event
Feeling numb
Hyperarousal
Feeling Keyed up (Also Called Hyperarousal):

You may be jittery or always alert and on the lookout for
danger. This is known as hyperarousal. It can cause you to:
Suddenly become angry or irritable
Have a hard time sleeping
Have trouble concentrating
Fear for your safety and always on guard
Be very startled when something surprises you
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.
360
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?
41. How would you summarize the factors of the following?
Task demands
Role demands
42. Why do people react differently to various stressors?
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362
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
________________
Long/repeat deployments with insufficient time to

recover and reset
________________
Spaced out appearance
________________
Anxiety
________________
Appetite changes
________________
Being injured in combat
________________
Diminished confidence
________________
Emotional display over dead/wounded
________________
Handling remains
________________
Hyperactivity
________________
Irritability
________________
________________
Memory loss
________________
Misconduct
________________
Poor hygiene
________________
Reckless behavior
________________
Significant mood changes
________________
Sleep troubles
________________
Withdrawal
________________
Witnessing death close-up
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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
______________
Backfire brings back memories of gunfire
______________
Easily startled
______________
Fear for safety--always on guard.
______________
Hard time sleeping / concentrating
______________
Hard to express feelings
______________
Incapable of having/showing positive or loving feelings toward

other peopleavoids relationships.
______________
Lost all interest in activities once enjoyed
______________
Not talking or thinking about an event
______________
Seeing a news report of sexual assault brings back memories of

ones own sexual assault
______________
Seeing an accident reminds one of a crash survivor or their own

accident
______________
Staying away from situations or people that trigger memories of

the traumatic event
______________
Sudden anger or irritability
______________
Unable to remember or talk about parts of the traumatic event
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Equal Opportunity/Human Relations

In a speech at the US Air Force Academy, then Secretary of Defense William Cohen told
graduates,
To serve as America's guardians, you must uphold the highest standards of
conduct in the worldcharacter, integrity, excellence, service, teamwork. You
must treat every man and woman with dignity and respect, every man and every
woman. And you will be held to these standards because the eyes of the nation
and the world will be upon you.... You are ambassadors of this country, and you
spread our values and our virtues wherever duty takes you.17
These words were spoken in
1997, but they are no less true
today. Every person with
whom you come in contact
must be treated with dignity
and respect, especially your
fellow Airmen. Much of a
military professionals time is
spent developing the type of
working environment
conducive to mission
accomplishment. This
environment is crucial if all personnel are to achieve their full potential and maximize their
contributions. The way team members relate to one another can either help or hinder work
center performance.
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
The basic definition

of human relations
is very simple. It is
the relations
between two or more
people.
3.Willingness to listen and respond

4.Demonstrating trust and confidence in each individuals ability to do the job
5.Treating individuals and groups with dignity
6.Personal commitment for the growth, development, and advancement of all people
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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.
Air Force Equal Opportunity and Treatment (EOT) PolicyMilitary

It is Air Force policy to conduct its affairs free from unlawful discrimination, according to
United States laws, and to provide equal opportunity and treatment for all military members
irrespective of their color, national origin, race, religion, or sex. The
Air Force will not tolerate unlawful discrimination by act or by
inference against military personnel or their family members, on or off
Unlawful
base.
discrimination
Commanders must take the appropriate administrative or judicial
action to eliminate or neutralize discrimination and its effects. When
commanders suspect discrimination but cannot prove it, they must
correct any management deficiencies revealed through examination of
the circumstances.
includes
discrimination based
on color, national
origin, race, religion,
or sex.
Reporting and reviewing officials must rate and comment on how

individuals support or fail to support this policy.
Military personnel and their family members must
not be unlawfully denied access to on- or off-base
facilities in the United States or overseas.
Organizations that unlawfully deny personnel access
may not use military facilities or resources. This
applies to those organizations that, in the judgment
of the commander, are engaging in discrimination
whether overt or covert, intentional or
unintentionalthrough their bylaws, rules,
regulations, and constitutions.
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Air Force Equal Employment Opportunity

(EEO) PolicyCivilian
The Air Force recognizes and supports the principles of
EEO. Air Force managers and supervisors are responsible
for effecting these principles through personnel management
decisions and for making EEO considerations an integral
part of the management process. It is Air Force policy that
personnel management be accomplished in a manner that is
free from discrimination and provides equal opportunity for
all applicants and employees regardless of their race, color,
religion, age, sex, national origin, or handicapping
condition.
The Air Force Affirmative Employment Program (AEP) is
designed to facilitate opportunities for the employment and
advancement of underrepresented groups in the work force,
remove artificial barriers in personnel systems and practices,
and eliminate discrimination by act or inference. Management personnel at all levels and
designated AEP officials share responsibility for implementation of Air Force policy. The AEP
is designed to ensure that:
1. All personnel actions and employment practices are based solely on merit and fitness.
2. All facilities, activities, and servicesoperated by, sponsored by, or participated in by the
Air Forceare not segregated and their use will not be determined by race, color, religion,
age, gender, national origin, or handicapping condition. They will be made available to
eligible personnel on an equal basis.
3. The Air Force continues to seek out and correct or eliminate any personnel management
policy, procedure, or practice that may result in any advantage in employment or deny
equality of opportunity to any group or individual on the basis of race, color, religion,
gender, age, national origin, or handicapping condition.
4. Reasonable accommodation will be made to religious needs of employees, including those
who worship on a day other than Sunday, when such changes can be made (by granting
leave, changing tours of duty, etc.) without undue hardship on the Air Force mission.
5. Reasonable accommodation will be made to the physical and mental handicaps of otherwise
qualified employees or applicants for employment when these accommodations can be made
without undue hardship on the Air Force mission.
6. The skills of Air Force employees will be used to the fullest possible extent. Underutilized
employees will be identified and, when possible, provided with working opportunities in
concert with mission requirements and commensurate with their knowledge, skills, and
abilities.
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1. Unlawful discrimination includes discrimination based on color, national origin, race,
religion, or sex that is not otherwise authorized by law or regulation.
2. Personal DiscriminationIndividual actions taken to deprive a person or group of a right
because of color, national origin, race, religion, or sex. Such discrimination can occur
overtly, covertly, intentionally, or unintentionally.
3. Systemic DiscriminationThe action by an institution (or system) that, through its policies
or procedures, deprives a person or group of a right because of color, national origin, race,
religion, or sex. Such discrimination can occur overtly, covertly, intentionally, or
unintentionally.
4. Sexual HarassmentSexual 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:
a. Submission to such conduct is made either explicitly or implicitly a term or condition of a
person's job, pay, or career (quid pro quo sexual harassment).
b. Submission to or rejection of such conduct by a person is used as a basis for career or
employment decisions affecting that person (quid pro quo sexual harassment).
c. Such conduct has the purpose or effect of unreasonably interfering with an individual's
performance or creates an intimidating, hostile, or offensive working environment.
This definition emphasizes that for workplace conduct to be actionable as abusive work
environment harassment, it need not result in concrete psychological harm to the victim
but rather need only be so severe or pervasive that a reasonable person would perceive,
and the victim does perceive, the work environment as hostile or offensive. Keep in
mind that, for military members, workplace is an expansive term that may include
conduct on or off duty 24 hours a day.
Any person in a supervisory or command position who uses or condones any form of
sexual behavior to control, influence, or affect the career, pay, or job of a military
member or civilian employee is engaging in sexual harassment. Similarly, any military
member or civilian employee who makes deliberate or repeated unwelcome verbal
comments, gestures, or physical contact of a sexual nature in the workplace is also
engaging in sexual harassment.
5. ComplaintAn allegation of unlawful discrimination based on race, color, national origin,
religion, or sex.
a. Formal ComplaintAllegation of unlawful discrimination or sexual harassment that is
submitted in writing on AF Form 1587 to the authority designated for receipt of such
complaints.
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b. Informal ComplaintAllegation of unlawful discrimination or sexual harassment made

either orally or in writing on an AF Form 1587-1 that is not submitted as a formal
complaint.
6. Equal OpportunityThe right of all persons to participate in, and benefit from, programs
and activities for which they are qualified. These programs and activities shall be free from
social, personal, or institutional barriers that prevent people from rising to the highest level of
responsibility possible. Persons shall be evaluated on individual merit, fitness, and
capability, regardless of race, color, sex, national origin, or religion.
7. Human Relations ClimateThe prevailing perceptions of individuals concerning
interpersonal relationships within their working, living, and social environment.
8. PrejudiceA judgment against or an opinion contrary to anything without just grounds or
sufficient knowledge.
9. StereotypeExaggerated belief about a category of people. It rationalizes a persons
conduct toward that category.
10. RacismAny attitude or action of a person or institutional structure that subordinates a
person or group because of race.
11. SexismAttitudes and beliefs that one sex is superior to another.
Supervisors Responsibilities on Equal Opportunity and Treatment

Supervisors responsibilities are to make sure
the members of their work centers are able to
present complaints in an atmosphere not
conducive to retaliation. The members are
encouraged to discuss problems and
complaints and know that unlawful
discrimination is illegal and will not be
tolerated.
Supervisors are also responsible to provide
information to their work center members on
the various channels and procedures for
filing complaints or otherwise seeking
outside assistance. Supervisors must also
implement preventive measures to promote
equal opportunity and treatment in the work
center and take action to address allegations
of discrimination.
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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?
47. What makes certain types of discrimination lawful?
48. How would you define unlawful personal discrimination?
49. What are some examples of unlawful personal discrimination?
50. How would you define unlawful systemic discrimination?
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372
51. What are some examples of unlawful systemic discrimination?
52. How might NCOs become guilty of unlawful systemic discrimination?
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?
374
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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Sexual Assault Prevention and Response

The Sexual Assault Prevention and Response Program (SAPR) reinforces the Air Force's
commitment to eliminate incidents of sexual assault through awareness and prevention training,
education, victim advocacy, response, reporting, and accountability. The Air Force promotes
sensitive care and confidential reporting for victims of sexual assault and accountability for those
who commit these crimes.
The Air Force has zero tolerance for any type of sexual assault or attempted assault. The wellbeing of all Airmen is a primary concern for the Air Force. This concern is displayed by:
Mutual respect: No Airman should ever be afraid of another Airman.
Mutual support: Wingmen always take care of their fellow Airmen.
A strong team: Healthy relationships contribute to a strong team.
Success: Airmen are winners when they are at their best and take care of each other.
The Impact of Sexual Assault

Sexual assault affects people at multiple levels: individual, unit, and Air Force. No Airman
should be afraid of another Airman in any situation. In combat, you depend on each otheryou
trust each other with your lives. When sexual assault occurs by an Airman against another
Airman, trust is broken, cohesion is destroyed, and lives are altered. Rebuilding trust, cohesion,
and lives can take a long time.
In the general population, the highest at-risk age group for sexual assault is the 18-24 year old
group. This means that, in the Air Force, NCOs are guiding a large population who is at a high
risk for this crime both in terms of
victimization as well as
perpetration.
Your subordinate supervisors are
teaching their subordinates to
protect each other in times of
danger. That requires a tremendous
amount of trust. Sexual assault
betrays and breaks that trust,
sometimes permanently. It can turn
Airmen against each other, cause
them to take sides, and undermine
the entire unit.
Being a leader comes with duty and
responsibility. Part of that responsibility is to coach and sometimes direct your subordinates to
act with integrity and to model that behavior yourselves.
376
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.
Understanding Sexual Assault

What is Sexual Assault? Sexual assault is intentional sexual contact, characterized by use of
force, threats, intimidation, abuse of authority, or when the victim does not or cannot consent.
Sexual assault includes rape, forcible sodomy (oral or anal sex), and other unwanted sexual
contact that is aggravated, abusive, or wrongful (to include unwanted and inappropriate sexual
contact), or attempts to commit these acts.
Sexual assaults can occur without regard to gender, spousal relationship, or age of victim. This
definition does not affect in any way the definition of any offense under the Uniform Code of
Military Justice.
Consent shall not be deemed or

construed to mean the failure by
the victim to offer physical
resistance. Consent is not given
when a person uses force, threat of
force, coercion, or when the victim
is asleep, incapacitated, or
unconscious.
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.
The Role of Alcohol and Drugs

Alcohol is the most common drug used by perpetrators in a sexual assault. Perpetrators use
alcohol to render potential victims more vulnerable or to incapacitate them. In many cases, a
perpetrator cleverly calculates his or her moves often appearing as social or nice while
planning an assault. However, an incapacitated individual CANNOT give consent to sexual
contact the person is mentally impaired by the alcohol and therefore not able to make a
knowing and voluntary decision or is unconscious or asleep.
There are also times when one may voluntarily choose to consume alcohol. Perpetrators may
look at these situations as potential opportunities to commit sexual assault as well. This is why it
is important for alcohol consumers to be aware of their tolerance levels. They should also be
aware of the individuals they are socializing with while consuming alcohol.
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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.
Air Force Culture of Responsible Choices

The Culture of Responsible Choices (CoRC) initiative helps focus on behaviors that impair
mission readiness. A great deal of emphasis is placed on responsibilities when it comes to
drinking alcohol and, as such, has set behavioral guidelines. But, there is also a broader view of
responsible choices in many settings. This initiative ties into protecting each other against sexual
assault.
Date-Rape Drugs
Drug-facilitated rape occurs when a perpetrator uses a substance that incapacitates another
individual so that the perpetrator can sexually assault him or her. This substance may leave
victims with a gap of time in which they cannot remember anything or they remember only bits
and pieces. The perpetrator might play the role of hero by appearing to help the victim once
symptoms start taking effect.
There are a variety of substances that
perpetrators may use to sexually assault
another individual. Several common
types are legal and easily attainable drugs
such as tranquilizers and Benadryl.
Perpetrators also use illegal drugs to
incapacitate a victim. Such drugs include
Ecstasy, Rohypnol, and GHB and are
often slipped into a persons drink
whether the drink contains alcohol or not.
Perpetrators will take advantage of
individuals who leave their drink
unattended or accept already-made or
purchased drinks. If a perpetrator gives a victim these drugs, the victim might seem rational in
the moment and then be unable to remember what happened the next day. Someone under the
influence of these drugs CANNOT give consent to sexual activity.
The Responsibility of a Leader
The Responsibility of a Leader is important. You should understand that sexual assault and
related behavior occurs among all ranks and ages. As a senior leader, you may not typically
socialize with your subordinates off duty, so you are much less likely to observe this behavior
directly.
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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.
Individuals Involved in a Sexual Assault

Most assaults (80%) are committed by an acquaintance, and often, other people are involved in
events that lead to an assault.
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 facilitator is a person who enables, encourages, or creates a situation or environment

that allows a perpetrator to act. They may also fail to stop someone else even though
they know an attack is possible.
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.
Preventing Sexual Assault - What Is Your Responsibility?

The crime of sexual assault negatively
impacts Air Force mission readiness
and thus requires the full attention of
all Air Force members. Historically,
issues related to sexual assault have
been viewed as womens issues and as
such, educational efforts have been
geared toward risk reduction versus
true crime prevention.
379
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.
Reporting Options and Procedure

Responding to Sexual Assault
Law enforcement experts recognize that sexual assault is one of the most underreported crimes
committed. Many surveys indicate fear and embarrassment as the top reasons why this crime is
not reported.
Instead, victims suffer in silence. Some of that fear and reluctance occurs because, in general,
little is done in society to protect and support victims of sexual assault even among groups. You
can help change this. If you are sensitive to victims of sexual assault, your troops will know and
will be more likely to come to you
if they are assaulted.
If victims are treated supportively
and without judgment and receive
the care they need, they are more
likely to elect an unrestricted
report. This is to the benefit of
the Air Force as a whole; sexual
assaults should be investigated
and the perpetrators held
accountable for their actions.
When a victim comes to you, your
first priority is her or his safety
and well-being.
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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:
Attend to safety and medical

considerations first
Contact the SARC and notify Security
Forces
Be aware of personal biases that might

get in your way
Listen with sensitivity
Be a role model for other responders
Blame the victim
Judge
Press for details
Assume that there is only one

appropriate reaction to a sexual assault
Reporting a Sexual Assault

Because the Air Force is serious about supporting victims
of sexual assault, it adopted a new reporting policy in
2005. The revised policy offers two options for reporting
a sexual assault: Restricted and Unrestricted.
The new reporting policy has one key goal; to help
anyone who is sexually assaulted, regardless of whether
an individual chooses to make a Restricted report or
makes an Unrestricted report. Unique aspects of
Restricted reporting include:
1. Reporting can remain confidential
2. This option applies to ALL military members (to
include Guard/Reserve members regardless of duty
status) and to dependents 18 years of age or older*
3. A law enforcement investigation will not be triggered
4. The chain of command is not involved, other than being notified that an alleged sexual
assault has occurred. (No names or other personally identifying information are given.)
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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
committed by a spouse of intimate partner (DoDI 6400.1 and DoDI 6400.06)

It is important to note that everyone has access to a sexual assault forensic medical examination
(within a certain time frame), medical care, counseling, and victim advocate services, regardless
of whether they make a restricted or unrestricted report. The SARC and assigned Victim
Advocate, and VWAP liaison provide victims with important information about reporting, law
enforcement, and criminal justice processes. In 2012, the Air Force received 790 sexual assault
reports. In total there were 3,374 reports spanning all branches of service.
Victim Reporting Options
RESTRICTED
UNRESTRICTED
Confidential
Yes (when made to a SARC, No

VA, or healthcare
personnel)
Eligibility
ALL Military & Dependents

18 yrs and older
ALL military, DoD

Civilians & dependents*,
and DoD Contractors*
Law enforcement
investigation
No
Yes
Command involvement
No
Yes
Medical exam
Forensic exam
Yes
Medical services
Available
Forensic exam, *Limited

services
Counseling services
Available
Available
Victim advocate services
Available
Available
Support for Victims of Sexual Assault

The Air Force has many professionals available to help victims of sexual assaults. These
resources include: the Sexual Assault Response Coordinator or the SARC, a Victim Advocate,
Victim Witness Assistance Program (VWAP) liaison, and Mental Health Clinic. Your chain of
command and local civilian agencies are additional resources you may choose to access. Keep in
mind that you have a duty to report to law enforcement and to your chain of command when you
become aware of a sexual assault.
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Sexual Assault
Response Coordinator
(SARC)
The SARC is the first point of contact for reporting a sexual

assault and is considered the center of gravity when it comes to
issues of sexual assault. Starting in 2005, a Sexual Assault
Response Coordinator is responsible for education, victim
support, and maintaining a volunteer staff of Victim Advocates.
The SARC is located on your base or at the base that provides
your support. The SARC is linked to helping agencies
throughout the base and local area.
Victim Advocate
Victim Advocates are individuals who are specially trained to

support victims of sexual assault. They are not counselors and
are not part of the legal or law enforcement agencies.
Instead, they are volunteers whose main purpose is to provide
support to a sexual assault victim and to help them get the care
that they need.
Victim Witness
Assistance Program
(VWAP) Liaison
VWAP liaisons are individuals (medical or mental health care

provider, judge advocate, paralegal, or other appropriate person)
who assist a victim during the military justice process.
A liaison is also responsible for making contact between victims
and service agencies and arranging for those services when
appropriate.

The staff at the Mental Health Clinic offers many types of
counseling and support programs for victims of sexual assault.
They have trained psychiatrists and psychologists on staff to
assist victims with recovery.
Sexual Assault Summary

The United States Air Force has zero tolerance for sexual
assault both because it is a crime, and it goes against Air Force
core values. The Air Force is a family. They dont prey on one
another; they protect one another.
383
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?
65. What are your guidelines for immediate response?
66. When do you report a sexual assault to your commander?
385
67. With unrestricted and restricted reporting, the victim is entitled to medical treatment and
counseling. What are the important differences between the two?
68. Why do so few victims report sexual assault?
69. How might trust and unit cohesion break down while a sexual assault is being investigated?
70. How do you restore trust and unit cohesion?
386
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.
387
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.
Factors and Common Triggers
Changes in policy, procedures, and

working conditions
Projection of blame, I didnt do

anything, theyre out to get me.
Frustration over an unmet need or

demand
Concluding that They cant get

away with this.
Perceived/actual rejection or loss of

love (fatal attraction, end of a
relationship, and divorce)
Alcohol or drugs
Perceived or actual loss of status (loss

of position, title or rank)
Sleep deprivation.
Perceived or actual loss of

advancement (passed over for
promotion, reduction in force, not
selected for special positions or
assignments)
Feelings of humiliation and rage
Perception of supervisor (or

organization) as unjust (rewards,
recognition, excessive temporary
duty/denial of leave, long working
hours, inappropriate distribution of
work tasks)
Loss of employment benefits or

entitlements
Discrimination
Discharge for discipline or poor

performance
Financial difficulties
Retirement concerns
Selective Early Retirement Board

determination
Death of family member
Unemployment and fear of job loss
389
390
Theory of Negligent Supervision

In an article titled, Making sense of violence in the workplace (Risk Management, Oct 1995)
author Susan Kelley notes that, Courts frequently recognize the theory of negligent supervision
when one employee alleges that an employer
should have taken reasonable care in
supervising a second employee who is
threatening the first with violent conduct.
As a representative of your employer, you
must be diligent about preventing workplace
violence. Nevertheless, despite best efforts,
violence does occur, and when it does, you
must be prepared to take appropriate,
effective, and legal action.
Threat Assessment Protocol

Threat Assessment Protocol provides a meaningful line of inquiry to help collect information
after learning of a possible threat of violence. Use it to guide your assessment of the potential
threat and to help predict future violence (further threats or actions). Caution, this protocol is not
meant to subsume or interfere with an administrative investigation or a criminal investigation
and/or prosecution.
391
Your goal is to keep the workplace and the potential

individual targets safe by gathering source data and
subject interview data and by predicting future violence.
Source data is information that answers the following
questions:
What exactly was said or done?
Are any other employees involved,

perhaps in a love triangle?
What is the relationship between

the subject (threatener) and the
hearer (potential victim)?
What is the context of the threat, gesture,

or act?
How long has there been a

problem?
What happened just before and just after

the threat, gesture, or act?
Has the victim sought restraining

orders?
Why does the hearer feel concerned or

fearful?
Does the perpetrator know the

victims work schedule?
Are there other witnesses or individuals

with relevant information?
Does the perpetrator know other

employees?
Where is the subject now?
Subject interview data is information that answers the following questions:
Intent, plan, and means to

perpetrate violence?
Subjects perspective on the trigger

incident/accusation?
Any compulsive, paranoid,
antisocial, or dependent
personality features?
Any features of impulsiveness,

brooding, or sense of being
wronged?
What is subjects history?
Alcohol and drug use/abuse?
Any history of violence against the

victim or former romantic partners?
History of other forms of violence?
Does psychological testing show

evidence of severe mood, thought, or
personality disorder (see DeBecker
below)?
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:
Does the person feel justified in using violence?
(A) Perceived Alternatives:
Does the person perceive available alternatives to

violence?
(C) Perceived Consequences:
How does the person view the consequences associated

with using violence?
(A) Perceived Ability:
Does the person believe he/she can successfully deliver

the blow, bullet, or bomb?
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:
Unwarranted or invalid criticism or

blame without factual justification
Being treated differently than

others
393
Purposely withholding vital information
Impossible goals for subordinates
Blocking potential training/employment
Exclusion or social isolation
Tampering with targets belongings
Being sworn or shouted at/being

humiliated
Removing responsibility without cause
Physical intimidation (proximal)
Being the target of practical jokes
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
Methods for Dealing with Difficult People

Be aware of what is going on around you. For example, if you overhear loud, angry, or abusive
remarks directed at a member of your team, distract the visitor by asking a question or saying
hello. Then, if possible, escort the person to a more private location to continue the conversation
in a calmer atmosphere.
If you know you will be meeting with someone who may become upset or threatening, have your
supervisor or a coworker sit in on the meeting or remain within earshot. Otherwise, notify others
in the office area to get your supervisor or manager if they hear the person become, and remain,
loud and angry.
If a person becomes abusive or threatens you while you are in your work area, especially a
closed room, get up and walk to the door while you continue to talk with the individual. Tell the
person you need to get some information and walk out of your office.
If you sincerely feel you face imminent harm, fake illness or a forgotten errand and leave your
work area. Explain why youre leaving and say youll be right back. Notify your supervisor or,
if necessary, the Security Police via the crime stop line or 911 immediately.
If you have reason to believe an abusive person is intoxicated, under the influence of drugs, or
may not be in touch with reality, dont take chances that the person could become violent
notify Security Forces immediately.
Most often, you can defuse unpleasant situations by simply listening to the persons complaints.
Listen patiently, ask questions, avoid defensiveness, and truly attempt to assist the person. This
alone often reduces the potential for violence. In addition, speaking softly and slowly may
encourage the person to turn down the volume.
Always remember, you do not have to put up with abuse whether verbal or physical. If the
situation does not improve after trying the above actions, get away from the person and notify
your supervisor and/or Security Forces immediately. If you must call Security Forces, be
prepared to tell them why you are calling, your location, your name, and how the person is
threatening you (e.g., fist, weapon, etc.).
As senior enlisted leaders, you must be
vigilant about potentially dangerous
situations and act prudently in reducing
conflict. This means you must be alert
to potentially violent persons and be
diligent about observing the behaviors of
those around you. Below are four
observable behaviors of a potentially
violent person.
395
Standing history of complaints
Feelings of victimization related to a failure to accurately perceive their role in poor

interpersonal relationships or in adverse administrative actions
Increasing angry or sullen moods
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
Supervisor Actions Following a Threat Allegation

While these may seem like questions for Security Forces or the OSI, the concerned supervisor
should also be in the loop for this information. Its recommended the supervisor take the
following actions when possible, once a threat allegation has been made:
Relocate the workstation of threatened employees.
Alter the employees work schedule.
396
Provide photographs of stalkers or alleged perpetrators (spouses) to receptionists and

security officers/forces.
Encourage law enforcement to enforce restraining orders.
If threats are recent, provide employees with time off.
Deploy security cameras near entrances to employees work areas.
Place silent alarms at employee workstations.
Recovering From a Workplace Violence Emergency

As mentioned earlier, despite best efforts, workplace violence occurs. When it does, NCOs must
be aware of the three stages of crisis reaction following a violent incident.
Stage One:
Unit members experience emotional reactions characterized by shock, disbelief, denial, or
numbness. Physically, members experience shock or a fight-or-flight survival reaction in which
the heart rate increases, perceptual senses become heightened or distorted, and adrenaline levels
increase to meet a real or perceived threat.
Stage Two:
This is the impact stage where unit members may feel a variety of intense emotion, including
anger, rage, fear, terror, grief, sorrow, confusion, helplessness, guilt, depression, or withdrawal.
This stage may last a few days, a few weeks, or even a few months.
Stage Three:
This is the reconciliation stage in which unit members 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. Understand that this stage may be a long-term
process.
While it is difficult to predict how an incident will affect a given individual, several factors
influence the intensity of trauma. These factors include the duration of the event, the amount of
terror or horror the victim experienced, the sense of personal control (or lack thereof) the
member had during the incident, and the amount of injury or loss the victim experienced (i.e.,
loss of property, self-esteem, physical well-being, etc.). Other variables include the persons
previous victimization experiences, recent losses such as the death of a family member, and other
intense stresses.
397
Proactive Steps to Prevent Violence in the Workplace

Many incidents of workplace violence can be prevented by some direct, if not always simple,
precautionary actions. Physical Security Measures include reducing the number of exterior
entrances, adding entry control devices and panic buttons (alarm indicators to alert security), and
periodic physical security surveys. Other actions include using an internal rumor control hot
line to reduce stress and use of local resource protection crime prevention specialist for training,
education, and evaluation.
Pre-assignment Screening is one of the best ways to prevent violence in the workplace by not
hiring a violence-prone individual in the first place. A good checkpoint is the screening process,
which occurs whenever a member, contractor, or other personnel need to have special credentials
for the performance of their duties. Examples include security clearance, unescorted entry, and
work with the Personnel Reliability Program. In these and other credentials situations the
Defense Investigative Service screens all personnel. For members already on active duty, mental
health and/or the aero medical squadron carefully screen any potentially disqualifying
information.
Training: The following topics are considered essential for supervisors to help them create a
workplace environment in which violent outbursts may be less likely to occur. When leadership
is knowledgeable about these issues they can be confident that their workplace is equipped to
prevent, defuse, or respond to violence.
You Should Establish Clear Policies: Zero tolerance for violence, including intimidation
through verbal or physical means, and require a 100% reporting policy for all incidents.
Give Members a Voice: Promote communication channels that keep members from feeling
helpless and helps resolve conflict. Establish an atmosphere where individuals know they can,
without fear of retaliation, approach you for complaint resolution. Remember, a smoldering pot
will always boil over.
Stress Management: The old mindset saw expressions of stress, depression, marital problems,
decreased morale, and productivity as signs of individual failure. Today, everyone knows that
seeking help for these issues is a strength not a weakness. As a leader, you must ensure the Air
Force family is aware of and takes advantage of all support/resources possible to help decrease
stress.
Marital/Relationship Counseling: Military supervisors at all levels often expect members to
leave their personal problems at the front door. However, quality of life surveys consistently
find that people work (and fight) their best when they know their loved ones are taken care of
back home. Therefore, it is incumbent on everyone to provide all available resources to people
to preserve their marital or intimate relationships.
Alcohol/Drug Abuse: Because supervisors are key to identifying potential abusers and
reducing possible violence in the workplace, it is paramount that NCOs understand alcoholism,
drug abuse, and other destructive behaviors.
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
Give separation notices at the end-of-the-day
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
Section II: Intervention/Initial Response
Section III: Recovery
399
400
Included in your response may be the three stages of crisis reaction following a violent
incident:
Stage One
Stage Two
Stage Three
Section IV: Follow-up / Evaluation
401

These emergent leadership issues are concerns Air Force leaders will continue to face. It is
imperative that leaders get to know their Airmen, provide an environment of open
communication, and be familiar with the various agencies that can assist personnel in need of
assistance. While prevention is the ultimate goal, you are not always able to prevent these issues
from arising within your unit. Therefore, it is important that everyone is taken care of in order to
effectively accomplish the Air Force mission.
Throughout this chapter, you have learned numerous issues faced by supervisors every day.
First, the chapter covered the wingman concept/philosophy including the four dimensions of
wellness. Next, you covered stress discussing both individual and organization factors and
approaches and looked at the definition, warning signs, and symptoms of PTSD. The chapter
covered substance misuse intervention by defining substance misuse and explaining the roles and
responsibilities of NCOs as they relate to substance misuse including prevention, identification,
intervention, and referral/treatment. The chapter then covered equal opportunity/human relations
issues, such as discrimination and sexual harassment and discussed the sensitive topic of sexual
assault and why it is a leadership and readiness issue. After this, the chapter covered the new
arising topic of workplace violence by giving a working definition and discussing common
triggers and factors that foster workplace violence and suicide. Lastly, you were introduced to
the risk factors and warning signs of suicide as well as the supervisors role in suicide
prevention. Now you understand how important it is for each of you as leaders and unit
managers to be aware of the problems within your work centers and to have good plans of action
for minimizing negative impact on the mission.
Effectiveness in dealing with supervisory issues rests heavily on knowing your people, being
familiar with the stressors and situations they face, and staying current on the referral agencies
and options available. Setting high standards of personal behavior and accountability will
increase the likelihood of your subordinates coming to you with issues before they get out of
hand. No one expects you to have all the answers, but as a supervisor/leader/NCO, you must
remain open to new ideas, be flexible, and approachable. These traits will go a long way in
assisting you with correcting issues before, during, and after they arise. Now, you will apply the
concepts and principles youve learned by processing a capstone case study.
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
Organizational Structure, 347

Physical Dimension, 306
Reducing Risk When Taking Disciplinary
Action, 398
Risk Factors, 354
Role Demands, 347
Stress Management, 397
Self-Identification, 333
Sexual Assault, 376
Social Dimension, 309
Spiritual Dimension, 308
Stimulant Substance, 326
Stress Management, 397
Stressor, 354
Substance Misuse, 327
Substance, 327
Substance-Related Incident, 334
Suicide Awareness, 314
Suicide Prevention, 314
Task Demands, 347
Training, 397
Unlawful Discrimination, 366
Warning Signs, 355
Who is at Fault, 376
Workplace Bullying, 392
You Should Establish Clear Policies, 397
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.
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.
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
United States Department of Justice FBI. Workplace violence issues in response

http://www.fbi.gov/publications/violence.pdf
Valey, Wayne A., Capt,, USAF (Ret.). Airmans Guide, 2nd edition, Pennsylvania: Stackpole
Books, 1991.
Wright-Patterson Air Force Base. Air Force Wingman Program.
http://www.wpafb.af.mil/library/factsheets/factsheet.asp?id=9135
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

- Airmen taking responsibility for each other by being alert to others in distress and
intervening when they need help
- Airmen seeking help from their Wingman when needed
- Have the confidence and willingness to approach others who appear to need help
- Staying with them through a crisis until you can ensure a safe hand-off to a supervisor or
other competent individual.
2.
Emotional
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.
Spiritual
This dimension of wellness determines ones 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.
Social
This type of wellness requires a support network consisting of family,

friends, and coworkers offers tremendous benefits for your health and
wellness especially when dealing with difficult situations.
Physical
This type of wellness requires one to focus on five specific components:

Cardio respiratory Endurance, Muscular endurance, Muscular strength, Body
composition, and Flexibility.

Although no one knows for sure, theory suggests it is because they believe they:
- Are a burden to others
- Do not contribute to the group
- Are a liability to the group's well-being or safety
- Have no sense of belonging or connection to others or to the unit
409
- Have lost a meaningful relationship

- Expresses an intention of harming self or others
- Behaves in a manner which would lead you to conclude that there was imminent risk of
this harm
- Decreased or impaired emotional status
- Thoughts of suicide
- A suicide plan
- Access to the method of suicide described
- Stating they intend to complete the plan
- Relationship problems (70%)
- Legal problems (44%)
- Financial problems (29%)
- Deployed in previous year (21%)
- Receiving psychological services (25%)
- Denying the problem exists
- Avoiding the problem altogether
- Fear that accessing help will result in a negative career impact
- Fear that the chain of command will be contacted (i.e., breach of privacy and
confidentiality)
- Know that open communication, support systems, and easy access to referral agencies may
help the person see another option
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
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
Ignore what you see or hear
Be direct and matter-of-fact.
Debate what is right or wrong
Listen openly without judgment.
Criticize or condemn them
Accept their feelings.
Act shocked or repulsed, or avoid them
Show interest and support.
Keep secrets
Get help.
411
Leave them alone
Stay with them.
Assume theyll be okay
Remove potential means of self-harm.

- Confidential communication is defined as communication not intended to be disclosed to
third persons other than those to whom disclosure is in furtherance of the rendition of
professional services to the patient or those reasonably necessary for such transmission of
the communication.
- Communications between a patient and a psychotherapist or an assistant to a
psychotherapist made for the purpose of facilitating diagnosis or treatment of the patients
mental or emotional condition are confidential communications and shall be protected from
unauthorized disclosure. However, confidential communications will be disclosed to
persons or agencies with a proper and legitimate need for the information and who are
authorized by law or regulation to receive it, unless the evidentiary privilege applies.
- Providing support and preventing further harm
- Collaborate with the Disaster Mental Health (DMH) team and base helping agencies to
address the needs of survivors
- Demonstrate concern for unit members' well-being
- Ensure that the basic needs of survivors are met (i.e., shelter, food, safety, and security)
- Let people talk about their experience ("emotional first aid")
- Minimize exposure to environmental stressors (e.g., heat, cold, noise, disturbing visual
scenes)
- Be attentive to the needs of family members
- Provide factual information; prevent the spread of rumors
- Continuously evaluate the environment for additional threats; ensure that needs are
continued to be me
- Foster unit cohesion
- Foster resilience and recovery through social support mechanisms (e.g., friends, family,
and religious organizations)
412

- help friends and colleagues understand and begin the grieving process
- to help maintain mission readiness, full functioning and morale
- identify/refer individuals who are at increased risk for distress
- The use of any illicit drug, the misuse of any prescribed medication, or the abuse of alcohol
- Any substandard behavior or performance in which the consumption of alcohol is a
primary contributing factor
- 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
- So they can keep their behaviors within standards
- To be aware of substandard behavior in others
- So they can enforce the standards in their duty sections or squadrons
- To increase awareness of how a members drinking habits are viewed
- Make members aware of the impact of their behaviors
- To ensure members know that inappropriate behavior isnt excused because they were
drunk
- To encompass a broader range of offenses to ensure intervention occurs before alcohol use
get worse
- Observe and listen to subordinates problems and assist with appropriate referrals
- Document all incidents of deteriorating work performance, unexcused absences, or
tardiness, unacceptable conduct, and any steps already taken to help members resolve these
problems.
- Report all substance misuse or suspected substance misuse incidents
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
17. 0 = Number of underage individuals drinking alcohol

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
- Provides a simple, concrete example of responsible behavior to explain to subordinates
- Gives a standard that is easy to follow
- Gives supervisors a standard to measure alcohol-related behavior against
- Promotes thought instead of mindless drinking
Substance misuse prevention is a collaborative effort shared among various agencies to
include the mental health (ADAPT), drug demand reduction, and health promotions and
includes:
- Education
- Counseling
- Referral, and
- Follow-up
- Incorporate personal, or at least relevant, examples of substance misuse incidents into
safety briefings
- Describe and detail expenses incurred from a substance misuse incident
- 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
- Conduct periodic discussions on harmful effects of substance misuse impacting the work
center environment.

- Responsible drinking at social outings
- When sponsoring a social event, ensure nonalcoholic drinks are also available
- Share consequences of risky behavior
- Be responsible for your guests by not serving intoxicating drinks after a specific time
- Dont promote alcohol-drinking contests
- Dont promote drinking at all
- Promotes responsible behavioral patterns
- Environment of open communication
- Less time spent on administrative actions
- Less physical and mental health-related expenses
- Less lost duty time
- Self-identification
- Commander referrals
- Medical identification
- Substance-related incidents
- Drug testing
- Frequently deals with financial shortages
- Avoids friends and colleagues
- Blames others for his or her own problems and shortcomings
- Has complaints leveled concerning domestic disturbances or problems at home
415
416
- Demonstrates a decline in personal appearance

- Complains of vague illnesses
- Absenteeism
- Temporary departures from the job
- Mood changes
- Red or bleary eyes
- Paranoia
- Tremors
- Denial
- Smell of alcohol
- Provides necessary information to justify getting medical or other support your subordinate
may need
- Helps make counseling sessions constructive and productive
- Used for administrative and punitive proceedings
- Prevents further occurrences
- Allows for early intervention
- Demonstrates enforcement of standards
- Better to document early and not need it than to wait and wish you had
- Its hard to finally document a first incident when subsequent incidents have occurred
(backdating, pencil-whipping)
417

- Deterioration of behavior continues
- Increased risk for more severe behavior
- Demoralization of other Airmen who are aware of the behavior
- Undermines good order and discipline
- Negative behaviors may be imitated by peers
- Brings issues out into the open
- Ensures everyone knows that supervisors are serious about the issues
- Increases awareness in the duty section
- Makes substance misuse symptoms more widely known
- Establishes firm standards of behavior
- Encourages people to seek help if they need it
- Ensures mission is not impeded
The process 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.
- Ensures subordinate knows what behaviors have been observed
- Allows no room for confusion or deception
- Opens path to clearly discuss issues that may be contributing to questionable behaviors
- To effectively find the root source of substandard performance
- Conveys to subordinates that the supervisor is really attempting to assist with beating the
substance misuse
418

- Private counseling or feedback session
- Firm questions, yet sensitive to subordinates situation and needs
- Inquiring with a nonjudgmental, open-minded attitude
- Sincerity and genuine concern in actions
- Using observed behaviors and other facts as the basis for discussion
- 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
- Provide comprehensive education and treatment to individuals who experience problems
attributed to substance misuse
- Return identified substance misusers to unrestricted duty status or to assist them in their
TRANSITION to civilian life, as appropriate
- After an alcohol-related incident
- Whenever substance misuse is suspected
- When alcohol abuse is witnessed
- Successful completion of ADAPT
- Severity of impact from behaviors
- Members acceptance of responsibility and need for change
- Duty performance, recent and historical
- Self-identification versus caught through random testing
- Repetition of behaviors or incidents
419

- Improved morale
- Dependable workers
- Better communication
- Decreased mission interruptions
- Healthy subordinates
- Absences for subordinate and supervisor for issue-related appointments
- Increased duty pressures on coworkers
- Feelings of being watched by coworkers may increase stress or tension
- Lack of understanding from other subordinates
38. Mission and Readiness
- 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
- 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)
- Members are in a higher risk of suicide (1/3 of all suicides involve alcohol use)
- Increased risk of accidents, falls, burns and drowning
Morale
- Members are in a higher risk of relationship problems personal and professional
Health and Wellness
- 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.
420
- Risky sexual behavior- increased risk of contracting a variety of sexually transmitted

diseases
39.
E
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

- The bodys reaction to an external demand (stressor)
421
- The physical, mental, and emotional response to a situation

- An individuals response to a perceived stressor
- Eustress is positive stress
- Distress is negative stress
41. Task demands
- Factors related to ones job such as:
- Job Design (autonomy, task variety, degree of automation)
- Working conditions (physical layout, temperature, noise, safety conditions, overcrowded
rooms, location with frequent interruptions)
Role demands
- Pressures placed on people as a function of their particular role in the organization and
includes:
- Role conflict: Inability to reconcile or satisfy two conflicting expectations
- Role overload: not enough time to complete all assigned tasks
- Role ambiguity: Unsure of role and/or expectations
- Pressures created by other individuals such as:
- Lack of social support from coworkers
- Poor interpersonal relationships
- Includes:
- Organization with many levels of supervision and control
- Number and type of rules and regulations
- Level where decisions are made
422
- Leaders who create a culture that is characterized by

- tension, fear, and anxiety
- unrealistic pressures to perform
- excessively tight controls (micro-management)
- Routine firing of individuals who dont measure up
- 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
43.
Type of Stressor
Symptom
psychological
anxiety
psychological
boredom
behavioral
changes in eating
physiological
changes in metabolism
behavioral
changes in productivity
psychological
dissatisfaction (job, relationships, etc)
physiological
headaches/backaches
physiological
increased blood pressure/heart attacks
physiological
increased heart and breathing rates
psychological
irritability
psychological
procrastination
behavioral
rapid speech
psychological
tension
423
44.
Type of Behavior
Stressor Examples
Risk Factors
Long/repeat deployments with insufficient time to

recover and reset
Warning Signs
Spaced out appearance
Behaviors
Anxiety
Behaviors
Appetite changes
Risk Factors
Being injured in combat
Behaviors
Diminished confidence
Behaviors
Emotional display over dead/wounded
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
Significant mood changes
Behaviors
Sleep troubles
Warning Signs
Withdrawal
Risk Factors
Witnessing death close-up
45.
Type of PTSD
PTSD Examples
Reliving the Event
Backfire brings back memories of gunfire
Hyperarousal
Easily startled
Hyperarousal
Fear for safety--always on guard.
Hyperarousal
Hard time sleeping / concentrating
Feeling Numb
Hard to express feelings
Feeling Numb
Incapable of having/showing positive or loving

feelings toward other peopleavoids relationships.
Feeling Numb
Lost all interest in activities once enjoyed
Avoiding Situations
Not talking or thinking about an event
Reliving the Event
Seeing a news report of sexual assault brings back

memories of ones own sexual assault
Reliving the Event
Seeing an accident reminds one of a crash survivor

or their own accident
Avoiding Situations
Staying away from situations or people that trigger
425
memories of the traumatic event

Hyperarousal
Sudden anger or irritability
Feeling Numb
Unable to remember or talk about parts of the

traumatic event

- Male and female bathrooms
- Different types of uniforms
- Different dress and appearance standards
- Different Rank
- Enlistment requirements (height, weight, ASVAB scores, credit score, financial history,
etc.)
- Job qualification standards
- Handicapped parking spaces, doors, and bathrooms
Certain types of discrimination are lawful when they:
- do not deny people a right
- merely recognize differences among people
- help compensate for physical/mental limitations
- Are needed for good order and discipline
- Differentiate job applicants based on knowledge, skill or ability (rather than race, color,
creed, etc.)
48. Action(s) taken by an individual to deprive a person or group of a right because of color,
national origin, race, religion, or sex. Such discrimination can occur overtly, covertly,
intentionally or unintentionally.
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
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.
- Base chapel prohibits use of its facilities by all religious groups except Jewish, Protestant,
and Catholic.
- Squadron policy prohibiting women from operate heavy equipment.
By helping to establish, implement, and enforce policies, procedures, rules, and laws that
unlawfully discriminate
- 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

- Submission to such conduct is made, either explicitly or implicitly, a term or condition of a
person's job, pay, or career (quid pro quo harassment);
- Submission to or rejection of such conduct by a person is used as basis for career or
employment decisions affecting that person (quid pro quo harassment);
- Such conduct has the purpose or effect of unreasonably interfering with an individual's
performance, or creates an intimidating, hostile, or offensive working environment.
55. Verbal - Sexual compliments, pressure for dates, ridicule with harsh sexual message, etc.
Nonverbal - Leering, ogling, or sexually suggestive cartoons, notes, drawings, pictures,
calendars, etc.
Physical - Touches and brushes, hugging, patting, footsies, etc.
56.
Sexual Harassment?
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
Cant get offender to

stop
Person says stop, and

offender stops
Acceptable
Intimidating
Agreeable
Cant get offender to
stop
428

Sexual harassment is a high concern to the Air Force because it creates environments that:
- Are intimidating, offensive, and hostile
- Affects the well-being and personal security of Air Force people
- Negatively impacts the mission
- Communication suffers
- Workers cant concentrate on their jobs
- Tasks fail to be accomplished
- Time usually spent completing tasks is now spent dealing with these issues
- Interpersonal relations are strained
- Quality of life suffers
- Morale suffers
- Detecting adverse morale trends and devoting total effort to resolving the causes of a
problem before it becomes a major issue
- Providing feedback to commanders, immediate supervisors, officers, and staff concerning
trends or problem areas
- Establishing and maintaining rapport and communication with subordinates to remain
attuned to their needs
- Developing your individual subordinates into a cohesive team
- Ensuring enlisted members are treated fairly by all agencies and activities, both on and off
base
- AFI 36-2618, para 4.1.2.3.2, tells NCOs to help subordinates resolve problems and see
referral agencies when necessary
- DO NOT IGNORE the situation
- Investigate the circumstances
429
- Devote total effort to resolving the problem

- Appropriately address the issue with work center personnel to dispel rumors and maintain
mission focus
- Refer to MEO if necessary
Complaint - An allegation of unlawful discrimination based on race, color, national origin,
religion, or sex.
Formal Complaint - Allegation of unlawful discrimination or sexual harassment that is
submitted in writing on AF Form 1587-1 to the authority designated for receipt of such
complaints.
Informal Complaint - Allegation of unlawful discrimination or sexual harassment, made
either orally or in writing on an AF Form 1587-1, that is not submitted as a formal complaint.
- Are able to present complaints in an atmosphere not conducive to retaliation.
- Are encouraged to discuss problems and complaints.
- Know the various channels and procedures for filing complaints or otherwise seeking
outside assistance.
- Know that unlawful discrimination is illegal and will not be tolerated.
- Implement preventive measures to promote EOT in the work center
- Take action to address allegations of discrimination
- This kind of behavior is demeaning to all Airmen.
- It encourages more of the same kind of behavior
- Left unchecked, it could escalate along the continuum of harm.
- Ignore it. I dont consider this inappropriate behavior.
- Take people aside and ask them to be more respectful.
430
- Make it clear, but in a joking way, that the behavior is inappropriate.

- model appropriate behavior myself will not make sexist or derogatory jokes or
comments.
- let my subordinate supervisors know that I do not tolerate sexist or otherwise harmful
language or behavior, and I expect them to uphold this expectation as well.
- commend people when they take action to uphold this climate.
- When I see or hear inappropriate behavior intervene as it is happening.
- remove the offending person from the situation.
- take those who behave inappropriately aside afterward and talk about it.
- encourage bystanders to act.
- focus on facilitators as well as potential perpetrators.
- Keep in mind that first response has great impact on the victims ability to move forward
and through the trauma. Negative responses can be devastating to victims and result in
further psychological harm.
- Attend to the victims immediate needs. If the victim comes to you right after an assault,
for example, she or he may need medical assistance.
- Contact the SARC. Get professional help immediately.
- Listen with sensitivity and support the victim. Sometimes she or he just needs to talk. Do
not judge.
66. If an individual comes to you to report a sexual assault and you are in that persons chain of
command, you are a mandatory reporter and the victim will lose the ability to make a
restricted report.
Unrestricted Reporting: An official investigation is conducted. This is initiated by reporting
a sexual assault to chain of command, law enforcement, or the SARC.
Restricted Reporting: A sexual assault victim can confidentially disclose the details of her or
his assault to specified individuals without triggering the official investigative process.
Victims who want to do this may only report the assault to the SARC, Victim Advocate, or a
Health Care Provider.
431

- There is no official investigation under restricted reporting.
- Restricted reporting is confidential, unless there is an imminent threat to the victim or
another person.
- Only active duty military personnel are eligible for restricted reporting.
- Some victims want to pursue unrestricted reporting immediately so that the crime is
investigated and the perpetrator held accountable. Others, though, do not.
- They are embarrassed.
- They are afraid that people will talk about them.
- They are worried about their careers.
- They are worried about their reputations.
- They are afraid people will not believe them.
- They think it is better for their unit if they do not report.
- People start to take sides
- Victim cannot trust anyone
- Rumors develop
- Other people feel that they cannot trust anyone
- Schedules are interrupted and getting the work done is more difficult
- Subtle or not so subtle harassment or intimidation or retaliation
- Be alert to the harmful effects that sexual assault can have on individuals and on your unit,
and act accordingly
- Communicate with your unit to stop rumors, blaming, and taking sides
- Take care of victims and get them the help they need
432
- Think ahead, anticipate problems, and provide solutions

- Support your subordinate supervisors
- Make sure the alleged perpetrators are treated fairly as well
71. Section I: Prevention
Workforce education and training that addresses:
- Organizations workplace violence policy
- Phone numbers for quick reference during a crisis or an emergency
- How to recognize and report incidents of violent, intimidating, threatening, and disruptive
behavior
- To ALWAYS treat threats in a serious manner and act as though the person may carry out
the threat
- Encouragement to report incidents and the procedures to do so
- Ways of preventing or defusing volatile situations or aggressive behavior
- Ways to deal with hostile persons
- Managing anger
- Techniques and skills to resolve conflicts
- Stress management, relaxation techniques, wellness training
- Security procedures, e.g., the location and operation of safety devices such as alarm
systems
- Personal security measures
- Programs, agencies, organizations and resources that assist employees in resolving
conflicts
Section II: Intervention/Initial Response
Workforce education and training that addresses:
- Crisis response plans (Emergency plans in case of actual or potential violence)
- Procedures for calling for help
433
- Procedures for calling for medical assistance

- Procedures for notifying the proper authorities or whoever is acting in their place, security
personnel and the police
- Emergency escape procedures and routes
- Safe places to escape inside and outside of the facility
- Procedures to secure the work area where the incident took place
- Procedures for accounting for all employees if a facility is evacuated
- Procedures for identifying personnel who may be called upon to perform medical or rescue
duties
- Training and educating employees in workplace violence issues and the emergency action
plan
Section III: Recovery
Following a violent incident, employees experience three stages of crisis reactions to
varying degrees. Workforce education and training should address:
- What to do immediately after violence
- Alerting the traumatic stress response team
- Providing support to survivors
- Providing support to witnesses
- Arranging for follow-up care and support of individuals or groups as needed
Included in your response may be the three stages of crisis reaction following a violent
incident
Stage One. In this stage, employees experiences emotional reactions characterized by shock,
disbelief, denial, or numbness. Physically, the employee experiences shock or a fight-orflight survival reaction in which the heart rate increases, perceptual senses become
heightened or distorted, and adrenaline levels increase to meet a real or perceived threat.
Stage Two. This is the impact stage where employees may feel a variety of intense
emotion, including anger, rage, fear, terror, grief, sorrow, confusion, helplessness, guilt,
depression, or withdrawal. This stage may last a few days, a few weeks, or even a few
months.
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

RATIONALE:
a. This answer is INCORRECT. There is no indication of organizational factors of stress,
which according to the Emergent Leadership chapter are associated with task, role, and
interpersonal demands; organizational structure; organizational leadership; and the
organizations life stage. They can include pressure to avoid errors or complete tasks
within time limits, work overload, a demanding and insensitive boss, and unpleasant
coworkers. See rationale for correct answer for additional information.
b. This answer is CORRECT. The scenario best illustrates the warning signs of stress,
which according to the Emergent Leadership chapter, include irritability, emotional
outburst, and significant mood changes. SSgt Hightower is showing some of these
warning signs (emotional outburst and substandard job performance).
c. This answer is INCORRECT. There is no indication of individual factors of stress
which, according to the Emergent Leadership chapter is comprised of an individuals
personal life, and primarily focuses on family and personal economic problems. See
rationale for correct answer for additional information.
RATIONALE:
a. This answer is CORRECT. The scenario best indicates the act of self-identification
which, according to Emergent Leadership chapter, is when an individual that is not
currently under investigation or pending action because of an alcohol-related
incident willingly discloses they have a substance misuse problem with the intent of
entering treatment. Once assessed, the ADAPT program manager along with the
treatment team will determine an appropriate clinical course of action, most likely
preventing an alcohol related incident.
b. This answer is INCORRECT. See alternative a.
c. This answer is INCORRECT. There is no indication in the scenario of an intervention,
which according to the Emergent Leadership chapter, is a professionally structured event
that includes the members significant others. 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, and includes effective communication, referral,
and treatment.
d. This answer is INCORRECT. There is no indication in the scenario of the need for an
intervention, which according to the Emergent Leadership chapter, is a professionally
structured event that includes the members significant others and 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. Intervention is not necessary in this
scenario, since Thornton has self-identified to Wyatt that he has a substance misuse
problem and needs help.
436
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.
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
Appendix 1 Support Agencies

Agency
Definition
ADAPT
The primary objective of the ADAPT program is to

promote readiness and health and wellness through the
prevention and treatment of substance misuse.
American Red Cross
In addition to domestic disaster relief, the American

Red Cross offers compassionate services in five other
areas: community services that help the needy; support
and comfort for military members and their families;
the collection, processing and distribution of lifesaving
blood and blood products; educational programs that
promote health and safety; and international relief and
development programs.
Chaplain Services
Chaplains combine the roles of clergy and military

officer while upholding the standards of the Air Force
Core Values: Integrity First, Service Before Self, and
Excellence in All We Do.
Employee Assistance Program
Employee Assistance Program is a program available

to help employees with personal and work-related
issues that may impact their work performance or
behavior as well as providing educational and
prevention classes, seminars and events.
Family Advocacy
The mission of the Family Advocacy Program is to

build healthy Air Force communities by developing,
implementing, and evaluating policies and programs
designed to prevent, intervene in, and treat child and
spouse maltreatment.
Family Member Programs
Exceptional Family Member Program provides support

to military families with special developmental,
educational or medical needs, or that have family
members with disabilities. EFMP is offered by all
branches of the military, with each service providing a
variety of personnel and medical and family support
that function under the EFMP umbrella.
438
Life Skills Support Center (LSSC)
The Family Support Center is a "one stop information

center" and is designed to provide assistance and
referral on a wide variety of military and community
services. It is an Air Force service designed to provide
long-term, substantive programs to positively affect
those elements of family life directly impacting the Air
Force mission.
Airman & Family Readiness

Center
The Airman & Family Readiness Center supports

individuals, families, and leadership with programs and
services to strengthen communities, encourage selfsufficiency, enhance mission readiness and ease
adaptation to the Air Force way of life.
Health & Wellness Center
The Health and Wellness Center provides a

comprehensive evaluation of health and fitness levels.
They have a wide variety of classes, pamphlets and
videos that help active duty military, retirees and their
family members make healthier lifestyle choices
through courses that encourage healthy eating, making
correct food choices, weight management, exercise,
curtailing tobacco use and stress management.
Mental health assesses, treats, and educates eligible

beneficiaries to ensure mental fitness for duty. Care is
provided by a variety of disciplines and crisis care is
available 24/7. MH also actively consults and supports
wing mission programs like suicide prevention,
readiness and traumatic stress response teams.
Military Equal Opportunity
To improve mission effectiveness by promoting an

environment free from personal, social, or institutional
barriers that prevent Air Force members from rising to
the highest level of responsibility possible.
Sexual Assault Response

Coordinator (SARC)
The Sexual Assault Response Coordinator serves as the

single point of contact for integrating and coordinating
sexual assault victim care from an initial report of
sexual assault, through disposition and resolution of
issues related to the victim's health and well-being.
439
The SARC is responsible for ensuring a victim support

system that provides a 24 hour/7 day a week sexual
assault response capability for all victims within his or
her designated area of responsibility, which is normally
the installation to which assigned and any
geographically separated units (GSUs) attached to the
installation.
Victim Witness Assistance

Program
This program was designed to ensure all victims and

witnesses of crime who suffer physical, financial, or
emotional trauma receive the assistance and protection
to which they are entitled.
Wingman Support Coordinator
Serves as the point of contact for providing guidance

and education on adopting the Wingman culture and
integrating the Wingman concept into unit activities.
This office is also responsible explaining the principles
of the Wingman "BOLD FACE" concept and the
dimensions of wellness.
Organization Consulting (OCO)
The OCO provides organizational development

services such as team building activities, resiliency
training, employee engagement, change management
support and facilitation of group activities, office staff
members say. Through their certified coaches, the
OCO addresses individual development by providing
leadership development workshops as well as
executive, supervisory, and employee performance
coaching.
The program helps families determine the availability
of services for special needs members at their current
base and before the relocate for a permanent change of
station.
Special Needs Identification and

Assignment Coordination
(SNIAC)-
These needs may include medical specialized care such

as urology, neurology, psychiatry and developmental
pediatrics. Educational special needs pertain to services
the member needs to progress academically and are
identified on an individualized education plan or
individualized family service plan.
440

The SNIAC process identifies family members
requiring these services, enrolls the active-duty sponsor
in the program and ensures services are available at
current or future duty locations.
Air Force Survivor Assistance

Program (AFSAP)
The Air Force Survivor Assistance Program provides

support to families who have lost a loved one.
Grieving families have different needs, thus each case
is considered and is handled on an individual basis.
The Air Force Survivor Assistance Program will
marshal the available resources to meet family needs
following the unexpected loss of life. Timeliness,
focus, and compassion are the overarching goals in
continued service to Air Force families.
Base Safety Office
The 11th Wing Safety office strives to build and

maintain the most proactive, world-class safety
prevention program at Andrews in the areas of flight
safety, ground safety and weapons safety. Their goal is a
mishap-free environment for base personnel, enabling
11 WG and partner units to provide the safest possible
contingency response and air mobility capability for the
National Capital Region and America's leaders.
Base Legal Office
Judge Advocate performs four essential functions:

military justice, operational law and legal assistance,
protecting Air Force resources and freedom of action,
and morale and welfare. It provides legal advice and
support to commanders and staff agencies in the areas of
military justice, adverse administrative actions and
ethics, civil, operations, environmental, labor and
contract law. The Judge Advocate also provides
preventive law and legal assistance to clients, and is
responsible for all claims for and against the
government.
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.
Wikipedia, s.v. 0-0-1-3.
Air Force Core Values Booklet, 7. http://www.lni.wa.gov/safety/research/files/bullying.pdf
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
See AFI 44-121, Table 3.1 for more examples
12
Stephen P. Robbins, Organizational Behavior: Concepts, Controversies, and Applications

(New Jersey, Prentice Hall, 1989), 506.
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.,
This Page Intentionally Left Blank.
444
CHAPTER SEVEN: Change Management

Three Elements of Adaptability
Adaptability Evaluation
Defining Adaptability
Developing Flexibility
Change Management
It is your first day at work, a new job, a new location.

Youre a bit nervous and unsure. You wonder what your
new co-workers and supervisor will be like, how the
organization functions, and if youll be accepted. At your
first meeting, your new supervisor greets you and
explains their expectations and how they expect you to
work with the rest of your new team. You try to focus, but
your mind keeps going over all the new things you must
deal with: new area, new job, new boss, new co-workers,
and brand new job expectations. How well will you adapt
to the new supervisor and new routines on the job?
Change has a considerable psychological impact on the human

mind. To the fearful it is threatening because it means that things
may get worse. To the hopeful it is encouraging because things
may get better. To the confident it is inspiring because the
challenge exists to make things better.
- King Whitney Jr.
Definition of Change
Management
Roles in the Change Process
Janssens Model of Change
Mayos Four Levels of Change
Directive and Participative

Change Cycles
Three Phases in the Change

Process
Reactions to Change
Scenario
Chapter Seven: Change Management

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend change management and
adaptability and their impact on NCO,
Behavior:
1. Explain how change management
and adaptability impact NCO,
2. Give examples of how change
management and adaptability
impact NCO, unit, and mission
effectiveness.
3. Predict how change management
and adaptability impact NCO,
Value Change Management and how
it enhances NCO, unit, and mission
effectiveness.
with change management and its
impact on NCO, unit, and
2. Willingly accept that change
management is important to
effectiveness.
change management to enhance
effectiveness.
4. Commit to using change
management to enhance NCO,
445
Sometime in your life, you probably have experienced

the anticipation and nervousness of joining a new
organization. Its like trying to write a letter with your
non-writing hand, very awkward and challenging. When
you switch back to your dominant hand and write this
should not be a challenge, and feels much more
comfortable. The same concept applies to adaptability.
People who know how to adapt enjoy the challenge of
working with the other hand, of working on new turf.
They accept change, work on strategies for dealing with
the unknown, and shift their behavior to accommodate
new situations and challenges.
Adaptability means responding effectively to changing
events. How well do you adapt when things change?
Before you begin the chapter, you will be given the
opportunity to complete a self evaluation to determine
your level of adaptability. This evaluation will assist
you in examining your ability to adapt and may help the
way you approach the change process as a manager.
Next you will identify the four levels of change, look at
individual and organizational reactions to change, and
then wrap up the chapter by discussing change cycles
and the three steps in the change process.
By the end of this chapter, you should be better prepared
to lead and manage units as evidenced by your
comprehension of the Change Management concepts.
So, lets begin with the self-evaluation and then move
toward getting a clearer understanding of how to
properly manage the change process and your role, or
roles, in the change process.
A good battle plan that you act on today can be better than a
perfect one tomorrow.
- Gen George S. Patton
446

Adaptability Evaluation
Take a moment to briefly answer the questions
on the self evaluation. Your responses will help
to determine your personal level of adaptability.
It will also provide insight into your ability to
adapt and survive the rigors of daily life. There
is no scientific data to represent the validity in
any of these questions; it is merely a tool that
will allow you a moment to reflect on your own
perceptions of your ability to adapt to changes.
The results are an indication of your individual
resilience. Bear in mind that any test of this sort
is a "snapshot" of how you perceive yourself at a given point in time. Remember, adaptability
results in the ability to change, so your results may change in a different context.
Instructions: Use the 1-5 scale to mark the appropriate response for each question. When you
have completed the questionnaire, evaluate your results using the scale provided.
447
What does your score mean?

The maximum possible score on the "Personal Adaptability Assessment" is 85. If you meet
anyone who rates themselves at 85, sit at their feet and learn the meaning of life from them! For
most of us mere mortals, our self assessment will be less dramatic. A score of 50 or more
indicates you feel you are at least doing "OK.
70 or higher - Very resilient!
You have the capacity to keep problems and pressures in perspective and consistently show a
high degree of optimism about your life. You probably find that others look to you for
affirmation and support and your positive outlook will allow you to be a support to others,
without disturbing your equilibrium.
60 - 70 - Doing better than most.
You have a balanced approach to stress factors and have a degree of confidence that difficult
circumstances are temporary. You may feel somewhat "battered" at times, but this allows you a
high degree of empathy with others who experience difficulty. You need to be alert to the
possible emotional impact of supporting others who are struggling to cope with life. Make sure
you keep your own support systems alive and well and be ready to draw a line in the sand when
demands on you become too great.
50 - 60 - Doing OK
You probably have about enough "fuel in the tank" for yourself and not much more! You
probably feel that better times are ahead, but not imminently.
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.
449
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.

NCOs need to respond effectively to change in the
organization and environment, but what is it that allows
some people to adjust better than others? The answer
involves three elements:
1. Cognitive Flexibility: The ability to use different
thinking strategies and mental frameworks.
2. Emotional Flexibility: The ability to vary your
approach to dealing with your own emotions and
those of others.
NCOs with Cognitive Flexibility

habitually:
Scan the environment
Develop understanding
Create strategies
3. Dispositional Flexibility: The ability to remain

optimistic and at the same time realistic.
Just having one of these characteristics is not enough. You must exhibit at least two of the three
characteristics to reach an effective level of adaptability. With that in mind, lets examine these
characteristics a little closer.
Cognitive Flexibility
NCOs who have cognitive flexibility are able to incorporate different thinking strategies and
mental frameworks into their planning, decision making, and day-to-day activities.
450
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!
Developing an understanding means making sense out of a situation. This process

may include opposing thinking, contemplating a totally new direction that turns obstacles
into opportunities and ideas into innovative practices. Improving your ability to develop
an understanding of a situation is important because it means you can interpret and
comprehend what you see, hear, and read, especially when it comes to different views.
These often result in powerful opportunities for change once each person or group has
come to a full and shared view.
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.
Understand and manage

emotions
Connect and address the

emotions of others
Emotional engagement
Balance emotions and actions
451
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
452
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.
Keep learning: As with anything regarding personal development, continuous education

is the key to many successful endeavors. Developing your cognitive abilities is no
different. The ability to critically think is an essential trait in effective leaders.
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.
Support systems: Look to mentors, friends, supervisors or trusted peers, family

members, and others to serve as your support system in times of change. Encourage
subordinates to do the same.
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!
Decisiveness: When faced with a tough decision such as implementing an unpopular

decision (change), be clear, make decisions, and act decisively. Doing it may be
difficult, but doing otherwise harms the organization and avoids reality.
Avoid bulldozing change: Effectively manage others resistance to change by

explaining, answering questions, and patiently listening to concerns.
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:
Be genuine: Leading change by example requires honesty and authenticity. Understand

your own reaction to change so that you can be straightforward with others.
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.
2. Name the three elements of adaptability.

a.
b.
c.
3. List three adaptability skills you can improve to develop flexibility.
a.
b.
c.
4. An example of _______________________ ________________________ 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.
5. NCOs with _______________________ ________________________have the ability to
change their approach to dealing with their own and others emotions.
6. A leader who displays _______________________ _________________________ operates
from a place of optimism grounded in realism and openness. They acknowledge bad
situations while imaging a better future, at the same time.
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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
Definition of Change Management

Before you explore this subject, you need a working definition of change management.
Change Management is a proactively coordinated and
structured period of transition from situation A to situation B
using a systematic approach that addresses planning for the
change; implementing, monitoring, and controlling the change
effort; and effecting the change by minimizing resistance
through the involvement of key players and
stakeholdersresulting in lasting change within an
organization
As a member of the Profession of Arms, you are a key player and
stakeholder. Too often you think you are insignificant in the overall
scheme of things. Everyone, up and down the chain of command is
important.
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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SELF-REFLECTION OPPORTUNITY: Reflect on a time in which you were responsible

for implementing a change. What was the level of resistance to the change? How well did
subordinates and supervision support the change? Was there a good plan, understood by
everyone, on how to implement change?
Roles in the Change Process

At any time during a change process, NCOs may fulfill one of three roles associated with change
management, which are: Change Sponsor, Change Agent, and Change Target. Lets look at the
change sponsors role first.
Change Sponsors
Change Sponsors initiate change because they have the power
to determine why, when, and how changes occur. While many
change sponsors come from senior leadership, SNCOs, Jr
NCOs, and even Airmen can and do act as a change sponsors.
Change Sponsors are the

people responsible for initiating
change within an organization.
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 Agents are responsible

for implementation of change in
an 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.
Change Targets are those

individuals or groups who
actually undergo the change.
As stated earlier, NCOs may fulfill one or more of these roles

during a change process. It is important for Change Sponsors
and Change Agents to understand their peoples ability to
accept change. By understanding peoples ability to accept
change, NCOs can: solicit innovators and early adopters to
help facilitate the change, take steps to convert laggards and the late majority, and anticipate
responses to change in order to establish an action plan for implementing the change. Lets
spend some time learning about Janssens Model of Change and Elton Mayos four levels of
change.
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Janssens Model of Change

Marvin R. Weisbord discussed some of the ways people deal with change in Toward Third Wave
Managing and Consulting: Productive Communities Managing and Consulting for Dignity and
Meaning within the Workplace. In that book, he relayed Janssens model of change. According
to this model you go through four stages of change: comfort, denial, confusion, and renewal.
Although these stages represent the sequence of feelings you experience, you dont spend the
same amount of time in each stage.
Janssens Model begins by moving from Comfort (Stage 1) where things are routine, to a state
of Denial (Stage 2). When youre forced to confront external change, you go through a state of
resistance where youd just as soon not deal with the new, but stay with the old. At this stage
you believe that if you deny change, youll have less stress. Yet the opposite is actually true.
The more you resist change or procrastinate, the more stress you inevitably experience. After the
Denial stage you enter the stage of Confusion (Stage 3). This is where one accepts the change
and begins to grapple for ways to proceed from the known to the unknown. Confusion is a
normal reaction to change. Finally, you enter the stage of Renewal (Stage 4), where you accept
the change. You may not like the change, but youve accepted it. You do this either by simply
accepting the change that is imposed on you, or by conceiving and/or implementing new ideas
that may be different from the way youve thought of or done things in the past. From Renewal,
you then cycle right back to the first stage, which is Comfort.
This is a very general overview of how people respond when theyre faced with change. It is
helpful to understand the levels of change people go through as you attempt to move them
through each stage. You can help your work center through the denial and confusion stages by
having a solid plan and communicating expectations. Through effective communication, NCOs
seek feedback regarding the upcoming change, and provide up to date information regarding the
change. This provides them enough time to digest the information, and answer any questions
your subordinates have about the change. It is also important to encourage people to open up to
change and openly express their concerns about the change. Once change agents understand
these concerns, they can develop a plan to address them.
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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?
Mayos Four Levels of Change

According to Elton Mayo, noted for his work on the Hawthorne studies, there are four levels of
change present in people: knowledge changes, attitudinal changes, individual behavioral
changes, and group or organizational behavioral changes.1 Understanding these levels of
change is extremely important for unit managers working through the change process.
Knowledge
Knowledge is generally the easiest change to bring
about. It can occur as a result of reading a book or
article, or hearing something new from a person
with information. For instance, reading the
newest AFI on dress and appearance alerts Air
Force members to the latest changes in uniform
standards.
Attitude
Attitudes are more difficult to change because
they are emotionally charged (positive or negative). Reading and understanding the latest
uniform changes does not necessarily mean you agree with the changes.
Individual Behavior
Changes in individual behavior seem to be
significantly more difficult and time-consuming
than the previous levels. You can have the
knowledge and the attitude, but now you have to
put your knowledge and attitude into action
through behavior. Often, habits stand in the way
of achieving this level. Habits are often deeply
rooted, thus changing them may be a lengthy and
difficult process.
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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.
Directive and Participative Change Cycles

When implementing change, you need to know
about the two change cycles called the Directive
Change Cycle and the Participative Change
Cycle.
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Directive Change Cycle
Examples of Directive Change

Cycle:
Uniform changes
Dress and appearance

standards (body piercing,
tattoos, etc.)
Career field reorganizations
Tri-Care for healthcare
APRs to EPRs
Use of seat belts
A directive change cycle is one

imposed by some external
force, such as a commander,
superintendent, or supervisor.
It begins with change imposed
upon the group or organization.
As the group is forced to
comply, individual behavior is
affected through compliance
within the group.
Directive Change is
change thats
implemented by an
authority figure (i.e.,
commander,
superintendent, or
supervisor).
The directive change cycle

consists of position power used to change group behavior,
then individual behavior, which causes an increase in
knowledge, and ultimately a change in attitude. The hope
is that people will give their support if they are simply
given a chance to see how the new system works. Notice
how the cycle proceeds from individual behavior to
knowledge, and then back to attitudes.
Directive change comes from those

individuals in leadership positions above our
position. Whenever a directive change is
implemented, change agents should support
leadership decisions by ensuring the change is
thoroughly explained, get others behind the
change, and help and/or implement the
change. Another form of change comes from
the bottom up and actively seeks input from
the change target. This change is referred to
as participative change.
Participative Change Cycle
A participative change is implemented when new
knowledge is made available to the individual or group.
The eventual success of the change is dependent upon
the groups positive attitude and commitment in the
direction of the desired change.
Participative Change is change thats

implemented when new knowledge is
made available to the group
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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.
Examples of Participative Change

Cycle*:
The effective use of personal power becomes the

influential tool used to successfully complete the
change cycle. At the knowledge level, the group
accepts the data or information, develops a positive
attitude about the change, and then translates the
attitude into individual or group action.
New uniform styles, especially the

ABU
Re-accomplishing operating
instructions
Adjusting shop/office policies
Improving communication lines
Any process improvement effort
Reorganization
* in all cases, assume members affected

by the changes participated in the
process.
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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Three Phases in the Change Process

There are three phases of change: unfreezing, changing, and refreezing.
People dont resist change. They resist being changed!
- Peter Sengel
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.
The unfreezing phase

is intended to motivate
your subordinates and
help get them ready for
change.
Create a felt need for the change: As a change agent, your

mission is to sell the importance of the change and explain
its effects on your people and their jobs. A solid plan helps
you manage the resource allocation decisions, resistance to
the change, and the overall impact of the change process. It will also
help you develop standards for measuring effectiveness of the change
once its in effect.
Deal with resistance to change: Many people fear the unknown.

Developing a plan to calm those fears will increase the likelihood of a
successful change. Some individuals feel they could lose power due to
a proposed change. Put them at ease by informing them how their new
responsibilities can positively influence change. Educate your Airmen
regarding an upcoming change, and tell them the results you expect to
see from the change. Use open and honest communication to reduce
uncertainty. Make a concerted effort to talk with personnel directly
affected by the changes. Where appropriate, allow those affected by
the change to participate in decision making and implementing the
change. Introduce change slowly, provide training, and reinforce
desired behaviors. Offer incentives to those who resist as a means to
prod them into the change. Use force as a last resort since it can
negatively affect long-term change.
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.
The refreezing phase

is the locking in of the
new procedures until
theyre a permanent
part of daily
operations.
In practice, refreezing may be a slow process as

transitions seldom stop cleanly, but go more in bits
and pieces. In modern organizations, this stage is
often approached tentatively, as it is often seen as another change is right
around the corner. What is often encouraged, then, is more of a state of
slushiness where freezing is never really achieved (theoretically making the
next unfreezing easier).2 Many organizations have discovered this approach to
be very dangerous because people fall into a state of change shock, and as a
result work at low levels of efficiency and effectiveness as they await the next change. It's not
worth it is a common phrase when asked to improve what they do. This approach is not the Air
Force way. Remember, Excellence in All We Do!
There are several techniques to take an Airman or an entire organization from a state of transition
to a stable and productive state. They are:
Burn the bridges: After making the change, eliminate a way back to previous ways of
working. This technique deliberately prevents backsliding.
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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?
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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.
Individual Reactions to Change

The figure above displays the five levels or reactions to change otherwise known as diffusion of
innovation. Lets look further to grasp a better understanding of who makes up each of these
levels or reactions.
Innovators are a small percentage of the population, those who immediately embrace new ideas.
They are usually venturesome, educated, and more willing to take risks than the rest of the
population. Innovators are big picture thinkers who see potential and imagine possibility in
almost anything, and are able to put both into action.
Early adopters are usually social and opinion leaders who are often popular, educated, and able
to see a competitive advantage in adopting new ideas early. They are very effective in spreading
acceptance of new ideas because they generate the respect of their peers who look to them for
guidance.
The early majority makes up one of the largest groups of people, providing an important link in
the change process because they tend to represent mainstream thinking. They slowly follow with
calculated willingness to adopt innovations, and they tend to deliberate for some time before
completely adopting new ideas.
470
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.
471
Progress Check
7. Match the roles in the change process with their purpose.
a. Change Sponsor
_____are those key players and stakeholders who actually undergo

the change, the ones most affected by the new policies,
procedures, etc.
b. Change Agent
_____initiate change because they have the power to determine

why, when, and how changes occur.
c. Change Target
_____are responsible for implementing change initiated by the

change sponsor.
8. _______________________ _____________________is a proactively coordinated and

structured period of transition from situation A to situation B using a systematic approach
that addresses planning for the change, implementing, monitoring, and controlling the change
effort, and effecting the change by minimizing resistance through the involvement of key
players and stakeholdersresulting in lasting change within an organization.
9. Name the two change cycles.
10. Name the phases of organizational change.
11. Match Mayos four levels of change present in people with their characteristics.
a. Group Behavior
_____ Changes in this are more difficult to make because this

level is characterized by strong positive or negative emotions.
b. Attitude
_____ Changing this is more challenging than change at the

previous levels because people dont like to change the way
they do things
c. Individual Behavior
_____ This change is generally the easiest change to bring

about. Change at this level occurs after acquiring new
information.
d. Knowledge
_____ This change is the hardest level of change especially if

you have to change customs and traditions that have been
around for many years.
472
12. Name the five individual reactions to change.

a.
b.
c.
d.
e.
473
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?
e. Who embraced the changes?

f. Who fought the changes?
g. What would you have done differently?
2. Give an example of when you resisted 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?
e. Who embraced the changes?

f. Who fought the changes?
g. What would you have done differently?
h. What would you have done differently?
474
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.
475
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.
Leader Influence Scenario

1. Things couldnt be better for TSgt Johnson. Recently promoted, he is flight chief for
Security Forces squadrons Bravo Flight and is excited to go to work every day. Besides
enjoying the fact that his flight has very few deployment obligations, he especially likes the
flights 4 days on/ and 3 days off duty schedule. It not only allows time for his favorite
off-duty hobbies, it also allows him and his team to spend time at the fitness center playing
ball and working out together.
2. This morning, without warning, the commander announces two of the Squadrons flights will
begin deploying. Afterwards, the Chief tells Johnson, Your flight will cover the deployed
flights in-garrison duties. Create a duty schedule for 6 days on/3 days off with everyone on
12-hour shifts and let me know who you want to send over to the other flight. I need that
information on my desk in two weeks. Johnson walks away wondering how to break the
news to his team and how to decide who to send to the other flightand do it all within two
weeks.
3. A week later, the Chief catches Johnson in the hall and asks about his progress on the
schedule. Johnson says, I havent looked at the schedule yet because I was hoping there
might be a way for Bravo Flight to keep its 4-3 duty schedule and its people intact. The
Chief responds, Ive looked at the numbers and there is no way to meet all mission
requirements without your flights support. Please get the new schedule and list of names to
me by tomorrow morning.
4. The rest of the day, Johnson struggles with the schedule and with figuring out who stays and
who goes. In the morning, after a restless night, hes no closer to having a completed
schedule or list and now hes angry about the whole thing. The chief asks, Sergeant
Johnson, do you have a schedule and list for me? Chief, I cant do this! Johnson
exclaimed. I barely have enough people to handle all of my flights duties let alone another
flights duties. The chief, seeing the frustration in Johnsons face says, I know its difficult
but you have got to figure this out. Take another daybut make it happen. Johnson
replies, But chief, we used to The Chief cut him off with.
476
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.
7. Identify Adaptability concepts in the scenario. Justify your answer.
8. Differentiate, if overall TSgt Johnsons Adaptability was effective or ineffective. Justify

your answer.
9. Determine what TSgt Johnson should have done.
478

In this chapter, you began by exploring the three elements of adaptability: cognitive flexibility,
emotional flexibility and dispositional flexibility. As you developed an understanding of these
adaptability concepts, you applied the basic elements of adapting to the concepts of change
management. After defining change management, you reviewed the four levels of change:
knowledge, attitudes, individual behavior, and group behavior. From there, you read about how
the two change cycles, directive and participative, work through the levels of change. Finally,
you looked at the roles: sponsor, agent, and target; and the phases of the change process:
unfreezing, changing, and refreezing. From all of this, you saw how effectively managing
change positively impacts your subordinates, and ultimately, organizational performance.
Airmen deal with change on a daily basis. If you can understand change, its effect on people,
and the methods to properly implement it, you will stand a much better chance of contributing
effectively in making changes in your organizations. As the NCO and unit manager, you are
charged with ensuring successful mission accomplishment. Like it or not, ensuring that change
succeeds is part of that charge.
Remember change is the only sure bet in this world, especially in the military environment. You
should make it work for you, not against you.
479
Key Terms
Change agents, 458
Change sponsors, 458
Change targets, 458
Changing, 466
Directive change, 462

Participative change, 462
Refreezing, 466
Unfreezing, 465
References
Air Force Doctrine Document (AFDD) 1-1, Leadership and Force Development,1 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
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

1. Adaptability is the ability to adjust self to changed, unexpected or ambiguous situations
by actively seeking information and by demonstrating openness and support of different
and innovative change ideas.
2. Cognitive Flexibility, Emotional Flexibility, Dispositional Flexibility
3. Cognitive Development, Emotional Development, Dispositional Development
4. Cognitive Flexibility
5. Emotional Flexibility
6. Dispositional Flexibility
7. Change Sponsor
Are those key players and stakeholders who

actually undergo the change, the ones most
affected by the new policies, procedures,
etc.
Change Agent
Initiate change because they have the power

to determine why, when, and how changes
occur.
Change Target
Are responsible for implementing change

initiated by the change sponsor.
8. Change Management
9. Directive Change Cycle and the Participative Change Cycle
10. Unfreezing, Changing, Refreezing
482
11. Group Behavior
Changes in this are more difficult to make

because this level is characterized by strong
positive or negative emotions.
Attitude
Changing this is more challenging than

change at the previous levels because people
dont like to change the way they do things.
Individual Behavior
This change is generally the easiest change

to bring about. Change at this level occurs
after acquiring new information.
Knowledge
This change is the hardest level of change

especially if you have to change customs
and traditions that have been around for
many years.
12. Innovators, Early Adapters, Early Majority, Late Majority, Laggards
483

RATIONALE:
a. This answer is CORRECT. The paragraph best explains the concept of Cognitive
Flexibility which, according to the Change Management lesson, Cognitive Flexibility
is the concept of scanning the environment to identify changes as they occur or to
see the changes coming and making sense out of a situation. Additionally, it
involves developing several possible plans for responding to change.
b. This answer is INCORRECT. There is nothing in the scenario indicating Dispositional
Flexibility which, according to Change Management chapter, is about operating from a
place of optimism grounded in realism and openness. It acknowledges a bad situation
while simultaneously visualizing a better future. Instead, the paragraph explains the
concept of Cognitive Flexibility where the focus is expecting the changes, developing an
understanding, and creating strategies.
c. This answer is INCORRECT. There is nothing in the scenario indicating Emotional
Flexibility which, according to Change Management chapter, is about having the ability
to change our approach to dealing with our own and others emotions. Instead, the
paragraph explains the concept of Cognitive Flexibility where the focus is expecting the
changes, developing an understanding, and creating strategies.
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
Adaptability Exercises Answers

Answers for Section A will vary considering individual responses of the student.
1. When attempting to develop a change plan, plans should target the innovators and early
adopters first. These groups see a competitive advantage in adopting new ideas early so they
embrace the change. They also are well-respected and, others look to them for guidance thus
these groups are very effective in spreading acceptance of new ideas.
2. If you have been assigned the role of a change agent you should do any of the following
actions to motivate innovators and early adopters: challenge them with projects, provide
them opportunities to lead change processes on their own, and/or allow them to think big
and provide their own solutions to problems or changes.
3. When attempting to develop a change plan, an NCO should focus on the Early Majority the
most. As the largest group, they are an important link in the change process because they
tend to represent mainstream thinking. They slowly follow with calculated willingness and
often deliberate for some time before completely adopting new ideas.
486
Change Management/Adaptability Scenarios Answers

1. The change management concepts are: Directive Change Cycle,Janssens Model, Phases of
the Change Process and Adaptability.
2. The text in the scenario that reflects a Directive Change:
Paragraph 2: The Chief directs: Johnsons flight will cover the deployed flights in-garrison
duties, new duty schedule, moving people to other flights, a short timeline.
According to the chapter, directive change cycle begins when change is imposed by some
external force, such as a commander, superintendent, or supervisor and this is an example of
that.
3. The text in the scenario that reflects each stage of the Janssens Model of Change:
Comfort-Paragraph 1: excited to go to work, enjoys few deployment obligations, likes duty
schedule because it allows, off-duty time and time with his team.
Paragraph 6: squeeze out some time for some off-duty stuff, meet at the gym
According to the chapter, in the comfort stage things are routine, people are content, and their
energy is focused on sustaining a comfortable routine.
Denial-Paragraph 3: havent looked at the schedule yet because I was hoping there might be
a way for Bravo Flight to keep its 4-3 duty schedule and its people intact.
Paragraph 4: no closer to having a completed schedule or list and now hes angry about the
whole thing, barely have enough people to handle all of my flights duties let alone another
flights duties, But chief, we used to.
According to the chapter, when we are forced to confront external change, we go through a
state of resistance where wed just as soon not deal with the new, but stay with the old. It is
believed if we deny change, well have less stress.
Confusion-Paragraph 5: Conflict soon follows, Guard mount is chaotic, and hours on remote
posts without relief, missing chow breaks, posts go unmanned, people complain, two hours
after shift ends before relieved.
According to the chapter, confusion is where one accepts the change and begins to grapple
for ways to proceed from the known to the unknown, the old way unravels and the new way
unclear.
Renewal-Paragraph 6: Manning all post properly, relieving people for meals, everyone
agrees that 20 minutes is better than nothing.
According to the chapter, in the renewal stage you accept the change. You may not like the
change but youve accepted it. You do this either by simply accepting the change that is
imposed on you or by conceiving and/or implementing new ideas that may be different from
the way youve thought of or done.
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.
David Straker, Changing Minds (London: Syque Press).
Cynthia D. Scott and Dennis T. Jaffe, Managing Change at Work: Leading People Through
Organizational Transitions (Menlo Park, CA: Crisp Publications), 4.
490
CHAPTER EIGHT: Continuous Improvement

Continuous Improvement
Definition and Explanation of

AFSO 21
AFSO 21s Five Desired Effects
Decision Analysis
Define Decision Making
Systems 1 and 2 Thinking
Four Decision Analysis Steps
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?
We cant solve problems by using the same kind of thinking we

used when we created them.
- Einstein
OODA Loop
Eight-Step Problem Solving

Process
Scenario
Chapter Eight: Continuous Improvement
491

should be able to:
TERMINAL COGNITIVE
OBJECTIVE:
Comprehend Continuous
Improvement and its impact on
Behavior:
1. Explain how Continuous
Improvement impacts mission
effectiveness.
2. Give examples of how
impacts mission effectiveness.
3. Predict how Continuous
Improvement impacts mission
effectiveness.
Value Continuous Improvement and
how it enhances NCO, unit, and
with Continuous Improvement
and its impact on NCO, unit, and
2. Willingly accept that Continuous
Improvement is important to
effectiveness.
Continuous Improvement to
enhance NCO, unit, and mission
effectiveness.
4. Commit to using Continuous
Improvement to enhance NCO,
For NCOs to become effective problem solvers, they

need to develop both analytical and critical thinking
skills.
As a supervisor and unit manager, youll face a wide
array of problems. Your ability to use decision analysis
and creativity to solve those problems is critical to your
success as a leader. This chapter will provide insight
into a realistic and effective decision analysis and
problem-solving approaches. Learning it will give you
yet another tool to use to become an effective and
respected manager.
In this chapter, you will begin by exploring the process

of continuous improvement and how the Air Force
pursues it through the flagship program of AFSO 21.
Understanding AFSO 21 requires understanding problem
solving and decision analysis so you will look at both
concepts. After that, you will apply your new
knowledge to
simulated situations.
Also included in this
chapter are SelfReflection Opportunities thatll ask you to think about how
continuous improvement enhances mission accomplishment.
By the end of this chapter, you should be better prepared to
manage organizations and resources as evidenced by your
comprehension of continuous improvement.
As an NCO, you should be looking and thinking daily about innovative ways to use your
resources more efficiently. According to your core values, you must pursue Excellence In All
We Do.
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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.
AFSO 21 (What it is - Air Force Point of View)

AFI 36-2618 requires ALL NCOs to:
(4.1.4) Maintain the highest level of readiness to meet the mission requirements.
(4.1.15) Promote a culture of Airmen who are capable of mastering multiple

tasks to better support mission requirements.
(4.1.7) Demonstrate effective followership by enthusiastically supporting,

explaining and promoting leaders decisions. Develop innovative ways to
improve processes and provide suggestions up the chain of command that will
directly contribute to unit and mission success.
(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.

In pursuit of continuous improvement, the Air Force has established Air
Force Smart Operations (AFSO 21) as its flagship of continuous
improvement. The Air Force created AFSO 21 that focuses on
generating efficiencies and improving combat capabilities across the Air
Force and applies to all processes associated with the Air Force mission.
Governed by proven process improvement techniques, AFSO 21 has
already significantly increased Air Force combat capability and it will
continue to do so throughout the 21st century.
Many people mistakenly believe that AFSO 21 is a process as opposed
to a culture of continuous improvement. Turning off lights when not in
use, turning faucets off completely, and limiting the amount of needless
paperwork could also be AFSO 21 initiatives.
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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.
AFSO 21s Five Desired Effects

The Five Desired Effects 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.
The AFSO 21 Five Desired Effects are:
1. Increase productivity of your people: Doing more of the right things with the same or
less effort.
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2. Increase critical equipment availability

rates: All assets available at a greater
rate from aircraft, to information
technology, to range, space, etc.
3. Improve response time and agility:
Quicker response time to the Warfighter.
4. Sustain safe and reliable operations:
Reduce injury rates, increase people
safety, and safe use of materiel assets.
5. Improve energy efficiency: Make
energy conservation a consideration in
everything you do.
In addition to the Five Desired Effects, AFSO 21 also includes three levels of priorities.
AFSO 21s Three Levels of Priorities
Continuous process improvements come in different forms. Some processes are quick and
simple fixes; others are complex and may involve several organizations working improvement
plans over a lengthy period. AFSO 21s three main categories of process improvement actions
are:
1. Just Do It
2. Rapid Improvement Events (RIE)
3. High Value Initiative (HVI)
Now take a brief look at each priority.
Just Do It: You are probably thinking this is a familiar slogan for a famous athletic shoe it is,
but it means something entirely different in the AFSO 21 world. Just do it is a quick fix to a
process irritant; a simple answer to an obstacle in an individual process. A Just Do It typically
does not involve formal process reviews, teams, or an improvement event. It is an improvement
that, when implemented, yields immediate results.
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Rapid Improvement Events (RIE)

Rapid Improvement Events usually last a week and apply a
series of problem solving steps to determine root causes of
problems, eliminate waste, set improvement targets, and
establish clear performance measures to reach desired
effects. For example, turning off a light in an empty room
would be something that you would just do. No lengthy
process is needed to decide to turn off the light to save
money.
Successful RIEs usually have the following four components:
Strong leadership buy-in
Knowledgeable and open-minded participants
A tightly focused event scope
An implementation plan and metrics to track results
High Value Initiative (HVI)

High value initiatives produce significant
returns against key Air Force challenges.
These processes are more complex and
involve a cross functional team to ensure
that identified improvements are
incorporated into the day-to-day operations of an organization. HVIs typically require four to six
months in order to successfully define and implement the required process changes.
Understanding AFSO 21s Five Desired Effects and its Three Levels of Priorities are important,
but neither is much good without sound problem solving.
SELF-REFLECTION OPPORTUNITY: Reflecting on past and present duty positions, how
has continuous improvement or the lack of continuous improvement impacted NCO, unit, and
mission effectiveness?
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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.
2. _____________________ _____________________ is the strategic, never-ending,

incremental refinement of the way you perform tasks.
3. Match the three levels of priorities with their characteristics.

a. Just Do It
____ usually last a week and apply a series of

problem solving steps to determine root causes of
problems, eliminate waste, set improvement
targets, and establish clear performance measures
to reach desired effects.
b. Rapid Improvement Events (RIE)
____ are more complex and involve a cross

functional team to ensure that identified
improvements are incorporated into the day-today operations of an organization.
c. High Value Initiatives (HVI)
____ is a quick fix to a process irritant; a simple

answer to an obstacle in an individual process.
4. Match AFS0 21s five desired effects with their characteristics.

a. Increase productivity of your people
____ Quicker response time to the Warfighter
b. Increase critical equipment
____ Doing more of the right things with the

availability rates same or less effort
c. Improve response time and agility
____ All assets available at a greater rate from

aircraft, to information technology, to range,
space, etc.
d. Sustain safe and reliable operations
____ Make energy conservation a

consideration in everything you do
e. Improve energy efficiency
____ Reduce injury rates, increase people

safety, and safe use of materiel assets
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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.
Define Decision Making

Every decision making process produces a final choice.1 The output
of which can be an action or an opinion of choice.
Two System Approach to Decision Making
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).
Systems 1 and 2 Thinking

The two systems of thinking include: System 1 Reactive Thinking and System 2 - Reflective
Thinking.
System 1 (Reactive Thinking)
Reactive Thinking (System 1) 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. Many of the
judgments that you make every day are automatic or reactive, rather than reflective.
When you wake up in the morning and go to work, chances are that unless something dramatic
happens you are on auto pilot until you get to work.
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You probably do not spend a whole lot of time

thinking about how to brush your teeth, how to eat
breakfast, or how to drive to work. Many freeway
accidents are often avoided because drivers are able
to see and react to dangerous situations quickly.
System 1 thinkings value makes it a vital decision
making tool that operates in the background and is
relied upon to get you through daily activities.
Good decisions emerging from System 1 thinking
often feel intuitive. Decisions good drivers make
in those moments of crisis, just like the decisions
practiced athletes make in the flow of the game or
the decisions an NCO makes in the heat of battle,
are born of expertise, training, and practice.
Often the process of reactive thinking involves
deciding first, reacting, and then trying to make
sense out of all of it! Many times if you make a
decision based entirely from reactive thinking you
may look back and ask yourself what was I
thinking? The answer is probably not a whole
lot!
Examples of System 1 Reactive Thinking:
Routine duties/paperwork
Assigning tasks
Driving
Some positive impacts that System 1

thinking has on NCO effectiveness include:
Decisiveness
Time management
Routine decisions made quickly
Perceived as credible/reliable
Helps balance System 2 thinking (over

thinking
Provides you with intuition or gut

feeling
It is important to understand S-1 thinking;

however, S-1 would not exist without S-2 so lets
explore that next.
Some negative impacts that System 1

Mistakes
System 2 (Reflective Thinking)
Overlook details
Miss improvement opportunities
Perceived as poor judgment/unreliable
Impacts others
Sometimes misinterpret, or
estimate/underestimate chances of
success, rely on mistaken analogies,
reject options out of hand
Trusts feelings and hunches
Judge things credible when they are not
Reflective Thinking (System 2) 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. Argument
making is often part of the deliberation process
when making System 2 decisions.
Critical thinking is considered System 2 thinking
because it is often focused on resolving the
problem at hand and at the same time monitoring
and self-correcting the process of the situation or
problem. If you recall, in the Successful Learning
chapter, you covered reflective journaling and the
importance of reflective thinking.

In that chapter, you understood that the reflection part
of this process begins with a state of doubt, hesitation,
or perplexity and moves through the act of searching
for information that will resolve, clarify, or address a
situation or problem. The value of system 2 thinking
helps you make logical and rational decisions; deal
with ambiguous and complex situations; reduce the
chances of poor, sub-optimal, or even dangerous
errors in judgments; and helps balance S-1 thinking.
As you think about a two-system approach to decision
making, do not make the mistake of thinking of the
process as a head versus heart or a right brain
versus left brain approach. Human decision making
is not this superficial or simplistic. Likewise, do not
categorize individuals as System 1 or System 2
decision makers. You have and use both systems in
problem solving and decision making every day.
The most important thing to take out of this is that
everyone deals with the push and pull of both systems
many times while making decisions. The other
important thing to take away from these concepts is
the fact that rapid-fire decisions and slow deliberate
decisions are a process that has steps and requires
practice!
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. Now that you know about S-1 and S-2
thinking, look at the decision analysis process that
will help improve these systems of thinking.
Four Decision Analysis Steps

Using the Appropriate Systems Thinking for
Decision Making
If you have ever heard (or maybe said), that is the
way we have always done things, it is because, too
often, many of todays problems are solved by
utilizing easy and comfortable approaches to obtain a
solution.
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Examples of decisions that demonstrate

System 2 thinking:
Complex tasks
New situations
Processing abstract concepts
When time allows for planning and

more comprehensive consideration
Some positive impacts that System 2

Improves critical thinking and problem

solving skills
Forces consideration of logical

arguments
Allows time to monitor and process your

system of thinking
Some negative impacts that System 2

If people take too long, they could

appear reluctant to make decisions
Possibility of over thinking simple

tasks
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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.
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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
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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.
Decision Statement accomplishes

the following:
When you try to determine the objectives of your
Determines your objective

decision making process, what you are really saying is
what is your criteria or
Provides a specific level of

level of acceptance. You
success or resolution
establish these objectives
once you have agreed
upon your decision or
course of action in a
decision statement. For
example, if you want to buy a new car, your decision statement
could be something as simple as I need to buy a new car!
The second half of that decision statement must include to what level or to what purpose. If
your objective was to buy a new car, to what level would you want your purchase to be? The
complete decision statement would sound something like I need to buy a new car for under
$15,000.
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.
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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
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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
Front wheel drive
Excellent repair record
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:
Brainstorming with end users
Research
Your own creative thinking
Subject matter experts
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Step 3a: Locating Alternatives

Take a look at five alternatives TSgt Jolson came up with:
Step 3b: Comparing Alternatives to Musts

This step is very simple, especially when you use a comparison sheet like the one shown below.
Enter Musts in the criteria column and then enter Yes or No for each alternative that fulfills a
corresponding Must. The sheet places criteria and alternatives side-by-side to quickly eliminate
alternatives that do not meet ALL of the Musts.
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.
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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.
Step 3d: Computing Scores for Each Alternative

Now you perform a little math. Begin by multiplying the Previously Determined Weight of the
first Want (Air Conditioning) by the weight of the Want in the first item in Alternative #2 (9 x 5
= 45). Do this for all remaining items in all remaining alternatives. Then, add up the score
columns for each alternative.
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.
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STEP 4: Risk Analysis

The last step of decision analysis is when you look at your choice and determine four things:
Is there anything I overlooked?
Are there any potential issues as a result of a Must?
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?
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Progress Check
5. Define decision making.
6. How would you summarize System 1 Reactive Thinking?
7. How would you summarize System 2 Reflective Thinking?
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.
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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.
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Eight-Step Problem Solving Process

Systematic problem solving helps you focus on fixing big issues that affect your mission, your
work center, and your people. As resources continue to shrink (budgets, human resources,
facilities, and equipment), every Airman must be mindful to get the full effect from every effort.
In other words, you cannot afford to waste your time on tasks, projects, or a myriad of other
things that do not add direct value or affect to your organization or the Air Forces mission.
Just to be clear, the objective of the Eight-Step Problem Solving
Process is to help you focus on big issues affecting your mission,
your work center, and your people any time you cannot solve a
problem with S-1 thinking.
Consistent application of the eight-step process via the OODA
Loop provides Air Force leaders with a common format for
presenting data, problem-solving facts, and information. It also
provides a common language that will more easily translate into a
common understanding throughout the Air Force. As Air Force
leaders begin to hone their understanding of how they and their
organizations solve problems and make decisions, they will learn to
recognize the difference between time spent constructively solving
problems at the root-cause level and wasting time spinning their
wheels.3 As an NCO, problem solving is perhaps your most
important skill because you make decisions and solve problems every
day.
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.
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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.
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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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STEP 2: Break Down the Problem/Identify Performance Gaps OODA

The better you understand the problem, the better the solution. But, those who haphazardly want
to take action and implement solutions find this step frustrating. Only by thoroughly evaluating
a problem are you able to judge the impact of selected and alternative solutions.
Key Process Indicators and Metrics (KPI/M)
The first step in assessing a problem area is gathering and reviewing Key Process Indicators and
Metrics (KPI/M). Understanding what objective data is needed and what the data means once it
has been gathered is critical to root cause problem solving and process improvement.
Metrics are the means to measure results that must complement your organizations operations
and determine whether you have achieved the desired goal(s)/ objective(s).
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There are two types of metrics: leading and lagging.7

1. Leading metrics (outcome-based) make future predictions about a likely occurrence, thus
allowing you to predict or forecast potential problems and neutralize or avoid them.
2. Lagging metrics (results-oriented) track overall performance trends that are collected and
reported after-the-fact. Because of the after-the-fact reporting, potential problems may
become more of a problem than previously reported.
Value and Waste Analysis
This is another valuable assessment tool that helps break down the problem and identify
performance gaps. It helps streamline and improve productivity, quality, and customer service.
Knowing the following eight types of waste helps you recognize how the problem impacts your
mission: 8
1. Defects Work that contains errors, rework, mistakes, or lacks essentials
2. Over-production Generating more than is currently needed
3. Waiting Idle time created when material, information, people, or equipment are not
available
4. Nonstandard over-processing Efforts that create no value from the customers
viewpoint
5. Transportation Movement of material or information that do not add value
6. Intellect Any failure to fully utilize the time and talents of people
7. Motion Movement of people that does not add value
8. Excess inventory More information, parts, material, etc., on hand than are currently
needed
Performance Gap Analysis
Performance Gap Analysis identifies the difference between the current level of performance and
the desired level of performance and can assist in understanding the difference between current
performance and customers requirements (VOC).
How do you know when to stop gathering and analyzing problem data? Use the following five
questions as a guide: 9
1. Does the problem require more analysis or is there enough information to execute a
solution?
2. If more information is needed:
a. What measures are available today?
b. Do these measures align with the customer driven Key Performance Indicators (KPI)?
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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?
STEP 3: Set Improvement Targets OODA

Once you have developed a clear and objective problem statement Step 1, Clarify and
Validate the Problem; and Step 2, Break Down the Problem and Identify Performance Gaps
you then need to identify a goal and develop a goal statement. A goal is your desired state where
you want to be when you solve the problem.
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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
Using the previous problem statement, a goal statement might be:

Average response time to fuel aircraft will decrease to 20 minutes three months
from now and will not increase thereafter.
Or, you could write:
Average response time to fuel aircraft will decrease to 20 minutes by (use an actual
date) and wont increase thereafter.
In fact, there are many ways to write a goal for this problem. The idea is to ensure it is balanced,
specific, measurable, attainable, results focused, and timely. At this point, you should take your
problem and goal statements and begin determining root causes.
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STEP 4: Determine Root Cause OODA

All too often, Air Force leaders find themselves addressing problems that have been solved
many times before. This is usually due to problem solving efforts directed at the symptoms of a
problem rather than at the root cause of the problem. If an aircraft is constantly breaking down
and becomes non-mission capable, should you: reduce the aircraft usage, improve repair cycle
time, improve the quality of replacement parts, improve the aircraft design, or improve the
aircraft design process? Clearly, each step becomes increasingly difficult, but each step also has
a greater impact in preventing the reoccurrence of the problem.
Root Cause Analysis is a tradeoff between digging as deeply as possible and finding
the deepest point that is still within your sphere of influence.
There are several tools that can assist you with determining the true root cause.
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Root Cause Problem Solving

Root cause problem solving is not reacting to a decision that seemed to work before. Just
because a specific reaction worked before, there is no guarantee that it will work again.
Other variables could have influenced the problem. To help determine the root cause of a
problem, consider the perceived initial problem based on standards, clarify the situation,
locate the cause of the problem based on first-hand observations, and look for the direct
cause and effect.
The Five-Why Method to Root Cause Analysis
According to Mike Sondalini, senior consultant for Lifetime Reliability, the Five-Why
method helps to determine the cause-effect relationships in a problem or a failure
event.12 It has proven very useful when the real cause of a problem is layered in
ambiguity and/or issue is unclear. The Five-Why method is, by far, one of the simplest
investigative tools to use without the need for statistical analysis. By repeatedly asking
the question, Why? we are able to peel away the more obvious layers of an issue (the
symptoms), thus revealing the true, root cause.
Consider the following example problem analysis:
Situation: The car broke down this morning.
With the use of a table or another worksheet, we can literally see the progression of the
problem to reveal the root cause as to why the car broke down this morning.
Why Questions
Answer
Evidence
Solution
1. Why did the

car break down?
Because the battery

was dead
The altimeter showed

no charge and cars
starter would not turn
over
Call roadside
assistance
2. Why was the

battery dead?
Because the alternator

belt broke
After inspecting the

motor, the belt was
missing and the smell
of burnt rubber was
evident
Call a friend for a

ride to auto parts
store for new belt
and tools
3. Why did the

alternator belt
break?
Because the driver

could not afford to
replace the belt at this
time
No money available
to buy a new belt
Apply for a credit

card to be used for
emergencies only
4. Why was the

driver out of
money?
Because he/she was

fired by employer two
weeks ago
The driver is
unemployed
Find another job
5. Why was the

driver fired?
Because he/she was

deemed unreliable
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.
Encourage freewheeling The second rule of brainstorming is to encourage the

freewheeling of ideas. This enables all individuals to contribute. Once ideas begin
flowing, the leader allows the group to continue under its own steam with little or no
guidance.
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.
Unstructured approach (also called free-form brainstorming) Here, team members

call out ideas as they come to mind. No one takes turns and the session ends when the
team feels it has exhausted all ideas.
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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STEP 5: Develop Countermeasures OODA

In this step you develop solution(s). The decision making and solution development step is over
halfway through the eight-step process. If you completed the first four steps correctly, this step
should be the easiest. As simple as this step is, there are some very important guidelines to
follow in order to ensure the greatest possible likelihood of success.
Analysis of Alternatives
Not all countermeasures are workable; therefore, thoroughly analyze alternatives for
workability prior to implementation.
Use the following to test possible countermeasures for workability:13
Effectiveness Will the countermeasure help achieve the target/goal? How well will
it work? Will it prevent reoccurrence of the problem?
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Feasibility Is the countermeasure possible given cost, management approval,
resources, safety, and time?
Impact Will this countermeasure create more problems than it solves? How will it
affect jobs, other operations, teams, and the Air Force?
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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STEP 6: See Countermeasures Through OODA

With countermeasures developed, it is time to see them through. This includes: communicating
the plan to those affected, implementing the new process, and handling unexpected issues that
pop up.
Six S
Six S is a systematic approach to productivity, quality, and safety improvement. It
focuses on achieving visual order, organization, cleanliness, and standardization. The
following Six S areas can help improve profitability, efficiency, and service:15
1. Sort clean and organize
2. Straighten identify, organize, and arrange
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3. Shine routine cleaning and maintenance

4. Standardize simplify and standardize
5. Sustain continue training and maintaining standards
6. Safety priority in all improvement areas
Visual Management
This is the use of visual indicators (displays and controls) to help you and others
determine immediately whether you are in a standard condition or deviating from it. This
tool is used to establish a visual work environment thats set up with signs, labels, colorcoded marking, etc., so that anyone unfamiliar with the process can acknowledge and
understand the process and knows whats being done correctly and incorrectly.16
Standard Work
This represents the best known approach to complete a task by ensuring consistency
throughout the working process; thus, the same work will take the same amount of
resources to achieve the same results every time.
Standard Work is the foundation of continuous improvement. If work processes are not
standardized, it is impossible to effectively experiment and test new ideas for
improvement. If the current process is not standard, then it will be impossible to assess
the impact of improvements upon process outputs. To ensure consistency and
standardization in work processes: involve Airmen from all shifts, let the process
workers define the work and gain consensus, keep it simple and document the standard
work, and train from the documentation.17
Material/Information Flow
Based on customer requirements and demands, material/information flow determines
what material and information is required to implement the countermeasure. Continue to
improve and implement product, material, and information flow throughout the See
Countermeasures Through process.
In addition to the above areas, most process improvement requires some form of training to make
the solution work. Normally, the training will link to the communications plan developed in
Step 5, Develop Countermeasures, and usually involves several levels of the organization
simultaneously. Implementers and front line supervisors need the most intensive training with
less detailed, but no less important training, provided to leadership. Customers and suppliers of
the targeted process may also need training.18
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STEP 7: Confirm Results and Process OODA

Step 7 closely mirrors the data collection portion of Step 2, Break Down the Problem/Identify
Performance Gaps. Implementation requires a variety of reviews and acknowledgements to
confirm results and processes.
Conducting a Review
Incorrect root cause determination is the most common mistake in problem solving. By
solely focusing on problems, you must set a positive tone or the reviews will become
punishment. Therefore, it is critical to establish a balance between learning and creating
an environment where it is unacceptable to hide problems.
Reviews should not be concerned with a particular end or purpose but rather planned to
accomplish a specific objective, such as:19
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1. Understand the current situation in comparison to the committed plan

2. Develop higher levels of behavior and performance
3. Create a sense of team from common purposes
4. Instill a sense of pride in accomplishment
5. Establish accountability
6. Work problems familiar to the entire group
7. Provide rewards and recognition
Rewards and Recognition
Recognition is a powerful tool that can make workplaces, on average, 15-25 percent more
productive, making Airmen more engaged and committed to their work and organization.
There are six principles of recognition efforts:20
1. Timely Given as soon as possible (immediately if possible) after the desired
performance
2. Proportional Dont overdo for average or mediocre performance
3. Sincere Honest and open appreciation of effort
4. Specific Recognize notable efforts in detail
5. Individual Recognize personal contributions
6. Personal Recognition should fit the individuals desires
While confirming results, the review should combine personal/professional development and
acknowledgement of desired behavior and performance. This type of review helps
standardization and continuous process improvement throughout the organization.
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STEP 8: Standardize Successful Processes OODA

Step 8 is the most commonly skipped and most under completed step of the entire problem
solving process. It is very tempting to take new found knowledge and skills and immediately
move on to the next improvement initiative without ensuring that the results stick. Upon
completion of Step 8, consider standardizing improvements, communicating improvements and
lessons learned, and identifying opportunities or problems identified in the problem solving
process.21
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What is needed to standardize the improvements?

1. Changes to:
a. Technical orders
b. Air Force Instructions
c. Other official policies or procedures
d. Equipment
e. Material
f. Vendors or Suppliers
2. Communicate improvements and lessons learned:
a. Key Meetings
b. Air Force Publications, message traffic, chain of command
c. Communities of Practice (Air Force Knowledge Now)
3. What other opportunities (problems) were identified by the problem solving process?
SELF-REFLECTION OPPORTUNITY: From your understanding of the OODA Loop and

the Eight-Step Problem Solving Process, how might continuous improvement impact mission
accomplishment? In using the Eight-Step Problem Solving Process, what would be the
impact if the improvements made were not standardized fully?
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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.
Determine Root Cause

Develop Countermeasures
Set Improvement Targets
See Countermeasures Through
Breakdown the Problem/Identify Performance Gaps
Confirm Results and Processes
Standardize Successful Processes
Clarify and Validate the Problem
531
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:
43 EPRs were generated over the last quarter.
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.
Current EPR Process

PHASE 1 - Internal Review of Hard-Copy EPR
1. Supervisor completes EPR, sends to section superintendent
2. Section superintendent reviews EPR, returns to supervisor with suggestions and/or
corrections
3. Supervisor edits EPR, forwards to additional rater
4. Additional rater reviews EPR, returns to supervisor with suggestions/corrections
5. Supervisor edits EPR, forwards to CSS
6. CSS reviews EPR, forwards to 1st Sgt
7. 1st Sgt reviews EPR, forwards to squadron commanders exec
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8. Squadron commanders exec reviews EPR, forwards to squadron superintendent

9. Squadron superintendent reviews EPR, returns to squadron commanders exec
10. Squadron commanders exec logs EPR, sends back to CSS
11. CSS sends EPR to supervisor for correction/resubmission
12. Supervisor edits EPR, forwards package to CSS
13. CSS forwards package to squadron commanders exec
14. Squadron commanders exec sends package to squadron superintendent for final blessing
15. Squadron superintendent blesses EPR, sends package back to squadron commanders
exec
16. Squadron commanders exec sends package to CSS with instructions to go electronic
17. CSS sends package to supervisor with instructions to go electronic
PHASE 2 - Digital Signatures
1. Supervisor digitally signs EPR, forwards to additional rater via e-mail
2. Additional rater digitally signs EPR, forwards to CSS via e-mail
3. CSS sends EPR to squadron commanders exec
4. Squadron commanders exec sends EPR to squadron superintendent for final blessing
5. Squadron superintendent returns EPR to squadron commanders exec with final blessing
6. Squadron commanders exec sends to squadron commander for approval/digital signature
7. Squadron commander returns EPR to exec with approval/digital signature
8. Squadron commanders exec sends digitally signed EPR to supervisor
9. Supervisor has ratee digitally sign EPR; sends to CSS with copy to squadron
commanders exec via e-mail
10. CSS updates EPR status in MILPDS, uploads completed EPR in CMS
Note: It takes an average of 10 days for the EPR to show in ratees AFPC ARMS
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 the people who take care of the mission,
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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:
Value and Waste Analysis:
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536
STEP 3 (Set Improvement Targets):
STEP 4 (Determine Root Causes):
STEP 5 (Develop Countermeasures):
STEP 6 (See Countermeasures Through):

Explain your recommendations for completing this step:
STEP 7 (Confirm Results & Process):

STEP 8 (Standardize Successful Processes):

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In this chapter, you began by exploring the process of continuous improvement and
understanding that continuous improvement is a never-ending refinement of the way you do
things. As your understanding of this concept was developed, you looked at how the Air Force
pursues continuous improvement through the flagship program of AFSO 21. Understanding
AFSO 21 concepts includes the understanding of problem solving and decision analysis. You
began applying the basic elements of problem solving and decision analysis. From there, you
completed a scenario that allowed you the opportunity to use the techniques that you have
learned. From all of this, you should see that effectively using a problem solving process and
good sound decision analysis will impact your subordinates and, ultimately, organizational
performance.
There is nothing inherently difficult about solving problems or making decisions. Sure, some
problems and decisions are more difficult than others, but thats usually because they are more
complex in nature. Using the skills, tools, and methods in this chapter, combined with your
analytical and creative insights, there is no problem or decision too great for you!
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Key Terms
AFSO 21, 493
Continuous Improvement (CI), 492
Decision making, 497
Eight-Step Problem Solving Process, 510

OODA Loop, 509
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.
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.
539
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____________
a. Decision Analysis; increase
b. Decision Analysis; decrease
c. Eight-Step Problem Solving; increase
d. Eight-Step Problem Solving; decrease
540

1. AFSO 21
2. Continuous Improvement
3. a. Just Do It
b usually last a week and apply a series

of problem solving steps to determine root
causes of problems, eliminate waste, set
improvement targets and establish clear
performance measures to reach desired
effects.
b. Rapid Improvement Events (RIE)
c are more complex and involve a cross

functional team to ensure that identified
improvements are incorporated into the dayto-day operations of an organization.
c. High Value Initiative (HVI)
a is a quick fix to a process irritant; a

simple answer to an obstacle in an
individual process.
4. a. Increase productivity of our people
c Quicker response time to the

Warfighter
b. Increase critical equipment availability

rates
a Doing more of the right things with

the same or less effort
c. Improve response time and agility
b All assets available at a greater rate

from aircraft, to information technology, to
range, space, etc.
d. Sustain safe and reliable operations
e Make energy conservation a

consideration in everything you do
e. Improve energy efficiency
d Reduce injury rates, increase people

safety, and safe use of materiel assets
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.
8. Decision Statement, Determine Objectives, Locate Alternatives, Risk Analysis
9. Determines your objectives and provides a specific level of success or resolution
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.
542
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.

15.
543
544

RATIONALE:
a. INCORRECT: Although the narrative hints at Problem Solving, it does not BEST
explain the Eight-Step Problem Solving Process, which according to the Continuous
Improvement chapter, 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
b. CORRECT: The narrative BEST explains Decision Analysis, which according to the
Continuous Improvement chapter, Decision Analysis is a systematic process based
on the thinking pattern that you use when making choices. As NCOs, when you
have to make critical decisions and solve complex problems, you should use a
systematic process to make good, confident, reliable, and justifiable decisions.
a process that allows you to stand back and look at the whole picture of the
situation, in order to make the wisest and safest choicethrough careful
consideration of ALL the factors.
c. INCORRECT: Nothing in the narrative explains Resource Stewardship, which according
to that chapter, Resource Stewardship is the careful and responsible management of
resources under ones control. For the NCO, this requires the efficient and effective use
of assigned personnel, material, financial, information and technology, energy, and
warfare resources to ensure mission success.
545
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.
546
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
Eight-Step Problem Solving Process

STEP 1 (Clarify and Validate the Problem):
Develop a problem statement:
EPRs take too long to complete. The squadrons EPR on-time rate for the past four months is
56%, which is below the wing standard of 90%.
Because these EPRs are late, Airmen are not getting the treatment they deserve.
STEP 2 (Break Down the Problem/Identify Performance Gaps):
KPI/M and Performance Gap Analysis:
43 EPRs were generated over the last quarter.
547
24 EPRs were completed after the closeout date (56% on time-rate).
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.
There were 17 EPRs being written/processed at that time.
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.
What is the problem?
Late EPRs
Where is the problem occurring?
Unit/Wing
When did the problem happen?
Last four months
What is the significance of the problem?
EPRs are late which neglects the responsibility in taking care of Airmen
548
*Remember: The problem statement will only be one paragraph.

Value and Waste Analysis:
No value found in the current process
Waste analysis reveals:
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
Idle time due to leaves/sickness
STEP 3 (Set Improvement Targets)
Remove or eliminate errors
Remove or reduce style conflicts
Eliminate repeated routing
Eliminate or reduce re-writes
Eliminate idle time
Achieve 60 day or less processing time (start to finish)
STEP 4 (Determine Root Causes):

5 Whys
Why does the EPR process take so long?

- Because there are too many steps.
Why are there so many steps in the process?

- Because too many people are involved.
Why do we have some many people involved in the process?

- Because mistakes have been made in the past and we want to catch them.
Why are there so many mistakes?

- Because there is no standard way to write EPRs in the squadron.
Why is there no standard way to write EPRs?

- Good question!
549
NOTE: There are other root cause analyses besides the 5 whys. Here are some
examples:
Fishbone Diagram
Prato chart
Check sheet
Pro versus Con
Force Field Analysis
IDENTIFIED CAUSES:
Too many:
- Steps in process
- People involved
- Mistakes in EPRs (requires re-writes)
- Style preferences
No standardization
Too much lost time because of leave/sick/in-box
STEP 5 (Develop Countermeasures)
Too many steps in process

- Map current EPR process and eliminate unnecessary and redundant steps
Too many people involved

- Map current EPR process and eliminate people who do not add value to the process
Too many grammatical mistakes in EPRs (requires re-writes)

- Provide training on grammar usage
- Develop a frequent grammatical mistake checklist (quick reference)
- Provide training on word processing software (e.g. spell check/grammar)
Too many style preferences

- Organizational style guide with several examples (quick reference list) based on
leaderships preferences
No standard routing process for hard copies

- Routing slip with time constraints
No standard routing process for electronic copies

- Process where routing is logged (e.g. SharePoint)
550

Too much lost time because of leave/sick/in-box
- Develop a policy/process that verifies the status of an EPR before approving
leave/quarters/TDY/deployment/etc
STEP 6 (See Countermeasures Through):

Your answer will vary based on the decisions you made.
Note: Initiate the first steps of the change process:
Unfreeze
Develop Change plan
STEP 7 (Confirm Results & Process):

Note: Initiate second step of the change process i.e. Monitor Change, adjust as needed
Monitor and collect data on:

- EPR on time rate
- Error rate
- New process and potential bottlenecks
- Use of style/guide and grammar checklists
- Routing times sufficient/effective
- Electronic tracking process
- EPR status verification process
- Adjust policies and processes based on the data collected
STEP 8 (Standardize Successful Processes):

Note: Initiate final step of the Change Management i.e. Refreezing
Describe the changes that should be made in the unit to standardize the improvements
Reward those who have adapted and adopted
Encourage those who are still adapting/adopting
Lock the process in by fully implementing policies and procedures (becomes the norm)
551
End Notes
1
James Reason (1990). Human Error. Ashgate
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.
Charles F. Kettering, Quotes, Thinkexist.com, http://en.thinkexist.com/quotation/

a_problem_youll_stated_is_a_problem_half/159095.html.
AFSO21, Tools and Methodology, J-8.
AFSO21, Tools and Methodology, J-12-13.
AFSO21, Tools and Methodology, J-17 and B-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
AFSO21, Tools and Methodology, J-72-73.
21
AFSO21, Introduction to the Eight Step OODA LOOP AFSO21 Problem Solving Model, B-8.

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Leadership is the art of getting someone else to do

Course 0015 Version 01, Edition 3

Negotiation Preferences and Styles Chart

CHAPTER TWO: Leader Influence..................... 67

CHAPTER FOUR: Resource Stewardship......... 185

Resource Stewardship ............................. 187

CHAPTER ONE: Team Building ........................... 7

CHAPTER THREE: Negotiation....................... 131

Negotiations Key Terms and Phrases ..... 133

CHAPTER FIVE: Discipline ............................. 227

Purpose of Discipline ............................. 229

Wingman Concept and Philosophy ........ 303

The Impact of Sexual Assault ................ 375

Three Elements of Adaptability.............. 446

Continuous Improvement ....................... 492

Page Intentionally Left Blank

CHAPTER ONE: Team Building

Inside this chapter:

The Team Mission

The P.E.P. Cycle

Five Common Dysfunctions

Stages of Team Development

TSgt Gates has been recently assigned the duty of putting

Coming together is a beginning. Keeping together is progress.

Adjourning & Transforming

Measuring Team Success

Chapter One: Team Building

Upon completion of this chapter you

Remember standing with other recruits in front of the

After that, you will explore team dynamics, AKA the

Chapter One: Team Building

Chapter One: Team Building

However, if a group adopts a common objective and

AFI 36-2618, The Enlisted

When an organization operates

High morale during high ops

Willingness to help fellow

Little to no negative conflict

Differences resolved through

Individuals who are just part

Chapter One: Team Building

Chapter One: Team Building

SELF-REFLECTION OPPORTUNITY: Based on what you read in the The Office

Chapter One: Team Building

2. Define team and give some examples.

3. How do you feel when you are part of a group?

5. When you are part of a team, how do you feel?

Chapter One: Team Building

The Teams Mission

Fly, fight and win...in air, space, and cyberspace.

Chapter One: Team Building

Chapter One: Team Building

SELF-REFLECTION OPPORTUNITY: Based on what you read in the The Office

Chapter One: Team Building

Chapter One: Team Building

Chapter One: Team Building

Spontaneous, exciting, enthusiastic, and great at brainstorming ideas.

Typically, the ones who offer a fresh perspective.

Offer bold, untried approaches and ideas.

Able to see the big picture.

Optimistic and visualize the possibilities.

Willing to solve problems.

Positive with self-confident attitudes