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LEADING PEOPLE
Lesson 1 - Behavior Analysis
INTRODUCTION
Barnes Center, Introduction to Behavior Analysis
0NUTEs
KEY ELEMENTS OF BEHAVIOR ANALYSIS
Barnes Center, Behavior Process Model (2020)
One of the keys to effectively leading
people is to have a good understanding
of human behavior. This lesson on
behavior analysis provides a
foundational understanding that new
supervisors can use better understand
themselves and those they lead. This
lesson provides a framework for students
to recognize the relationship between
behavior analysis and connecting and
collaborating with others.
@NUTES
MechanismsBehavior Classical
Self-Efficacy Self-Concept Behaviors Coping
ff Analysis Qhsrrvational
Equity Asp1rat10ns
Proce~
Personal~ty locusOperant
Defense
Barriers
learnino
rg~~tfu1 Conditioning
The need-goal-behavior-feedback
process provides a basic model you can
use to help understand the fundamental
elements that lead to behavior. Webster provides the following definitions for these concepts: "Need - a lack of
something necessary or desirable; Goal - the objective toward which effort is directed; Behavior- to act. ..in a specific
way; and Feedback- return of data about the result of a process." A key aspect not described in these definitions is the
relationship between needs and goals. A goal will be set, which, it is hoped, will satisfy the specific need being felt.
Plugging these definitions into the process model, we come up with the following sequence:
1. A person lacks something and therefore feels a need
2. The person sets a goal he or she believes will satisfy the need
3. He or she acts in a way that will lead to accomplishing the goal
4. The behavior will lead to feedback that lets him or her know if the goal is being reached and the need is being
satisfied
The following model depicts this process:
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Need
(Need Satisfied: Process Complete)
l
(Need Unsatisfied: Process Begun again)
(Behavior Continues)
(Correct Behavior)
(Behavior Modified or Ceased)
Positive
Feedback
(Incorrect behavior/barriers)
Needs Process. Credit: Thomas N. Barnes Center for Enlisted Education.
A basic example of the process at work is hunger. A person is hungry (need), so they decide to eat some food (goal).
They walk into their kitchen and grab some crackers (behavior). After eating all the crackers, they still feel hungry
(feedback). They decide to drive to a restaurant and order some food (behavior). After finishing their food, they now feel
full and no longer hungry (more feedback).
Possessing the knowledge of these elements of the behavior process are important when building relationships and
being part of a team because they make you realize all the things that are happening inside of people. Also, they force
you to be more aware of your own needs and how they affect you. Finally, they create an awareness of others' needs
and how their needs affect their behavior.
In the future you can relate this process to other people, whether it's a subordinate, peer, or supervisor. It can help you
understand that people have different goals; but even if they share the same goal, they may exhibit different behaviors to
meet those goals. Additionally, this process should help you find ways to blend people's goals with the mission.
While the above process gives us the basic picture of behavior, there are some questions unanswered. Why did the
person choose the approach they did? Let's examine some concepts that influence behavioral choices.
Knowledge Check
BEHAVIORAL CHOICES
Barnes Center, Behavioral Choices (2020)
@NurEs
Barriers
As the name implies, barriers are things blocking goal achievement. They come from either external sources (the
environment, other people, etc.) or internal sources (physical, mental, or emotional limitations - real or perceived).
Sometimes you can even create barriers without even realizing it! Responses to barriers vary from situation to situation
and from person to person. Some people might respond by changing goals or behaviors. Others might try the same
behavior, but with a little more effort; and still others might use what are known as coping behaviors.
Coping Behaviors (Defense Mechanisms)
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In one form of coping behavior, someone may become obsessed with his or her need to the point of ignoring everything
else. In another form, someone might use adjustment or defense mechanisms - rational ization, projection, repression,
suppression, or withdrawal - to help mitigate failure and justify ignoring the need that hasn't been satisfied. A key aspect
of defense mechanisms is that the person is usually not aware he or she is using them. Most coping behaviors are
normal and healthy. They provide a degree of protection against a world that isn't always what we'd like it to be; however,
when coping behaviors becomes so extensive they interfere with our ability to deal with reality, they become dangerous,
for example, using a defense mechanism instead of taking responsibility for one's own actions. To avoid falling into these
types of negative coping behaviors, it's best if we can learn to deal with them.
Learning
One of the most dominant factors in our choice of behavior is what we have learned in the past. We learn things through
many different avenues, but we'll look at only three in this reading - classical conditioning, operant conditioning,
and observational learning. While we won't dig too deep into each of these theories, you should know some important
aspects. Ann L. Weber, a professor at the University of North Carolina at Asheville, and author of the college textbook,
Introduction to Psychology, provides us with some essential information.
Classical Conditioning
Weber reports that the classical conditioning theory, also known as stimulus-response, states that a person can be
conditioned to respond to a given stimulus. In other words, we can learn to react in specific ways to certain things in our
environment. Relaxation is not a natural response to fear, but we can learn to employ relaxation techniques when
confronted with something frightening. You can use this theory to help you :
•
•
•
•
Understand that people may have learned negative or positive behaviors from classical conditioning
Be more aware of your own responses to the stimuli you face on a daily basis
Overcome your own "less-than-desirable" responses
Become more aware of what stimuli lead to negative behaviors in people so you can help them develop
approaches that are more positive
• Tailor your stimuli to get the response you want
Operant Conditioning
Another theory, operant conditioning, is based on the connection between a behavior and its consequences. When
consequences are good (rewards)- something pleasant happens or something unpleasant is removed - the behavior
is reinforced and stays the same. On the other hand, when something unpleasant happens or something pleasant is
removed (discipline), the behavior needs changed.
Observational Learning
The third theory is observational learning. This theory simply states that we tend to imitate what we see others do. The
concept of being a good or poor example is based on this theory. It's unlikely that these theories operate completely
independent of each other, but by understanding each one individually we have established a foundation on which we
can build.
Motivation
You've probably read the words "self-motivated" or "highly motivated" on an outstanding performer's enlisted
performance report or awards package. How does a person become highly motivated? The Encyclopedia of Psychology
describes motivation as:
Motivation ... • ... the 'why' of behavior. It refers to internal states ... that lead to the instigation, persistence,
energy, and direction of behavior." Weber refers to motivation as, • ... a process that both energizes and directs
goal-oriented behavior.,.
- Encyclopedia of Psychology
There are many theories on motivation that provide insight into our own motivation levels as well as those of our
subordinates. These theories can be placed into two general categories: universalistic and contingency. In the
Encyclopedia of Psychology we find that universalistic theories attempt to posit widespread applicability to the work
environment, while contingency theories focus on individual differences that influence motivation levels. For now, we
will only focus on the individual differences .. .contingency theories.
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Adam's Equity Theory
Adam's Equity Theory, as presented in the
Encyclopedia of Psychology, assumes that people want to
be treated with equity on their jobs. There are four key
concepts in this theory. The first is the person for whom
equity exists (or doesn't exist). Second is comparison to
the other entity - the person or group used by the person
as a comparison regarding inputs and outputs. Inputs, the
third factor, are the subjective perceptions of the person
about the characteristics individuals possess. Fourth are
the outcomes of subjective perceptions of the person
about the things one receives from the job.
Motivation is a product of the comparison between the
person's inputs and outcomes and the comparison other's
inputs and outcomes. When inequity exists, the person is
motivated to act so that equity is achieved. Therefore,
using this theory, the motivation to work would decrease if
individuals believed they were working harder than others,
yet were receiving similar compensation. This probably
sounds very complicated, but the examples below should
help.
Adam's Equity Theory
What people put
into their job:
time, effort,
ability, loyalty,
commitment, etc.
What people get
from their job:
pay, bonus,
recognition, comp
People become demotivated and reduce input and/or seek
change or improvement whenever they feel their inputs are not
being fairly rewarded by outputs. Fairness is based on perceived
work environment norms.
Example: Arnn Smith completed 50% more work than
Arnn Jones. If their supervisor gives them comp time,
Arnn Smith believes he should get MORE comp time
from working harder than Arnn Jones.
Example: Arnn Smith and Arnn Jones completed the
same amount of tasks to complete a job ahead of
schedule. If their supervisor gives them comp time, Arnn
Smith would expect the SAME amount as Arnn Jones.
Vroom's Expectancy Theory
Patricia M. Wallace of the University of Maryland and Jeffrey H. Goldstein of the University of Utrecht, The Netherlands,
in Introduction to Psychology, provide a concise description of Vroom's Expectancy Theory. The theory focuses on not
only previous experiences, but on anticipation of future events. It says motivation is a product of whether the person
believes that:
1. The activity will lead to a given outcome (expectancy)
2. The outcome will yield other outcomes (instrumentality}
3. Those other outcomes are valued (valence).
This basic model has been modified to include other factors such as effort. Paul Hersey, Kenneth H. Blanchard, and
Dewey E. Johnson, well-known experts in leadership and management, and authors of Management of Organizational
Behavior, summarize the modifications by highlighting the relationships among the factors. These relationships are the
real key to understanding the theory. Essentially, for motivation to be strong, a person must believe effort will lead to
effective performance, and performance will lead to a reward . The reward must be valued.
Motivated Example: Arnn Smith enjoys time off from the workcenter. Therefore, he is highly motivated to complete a
task ahead of schedule because he knows his supervisor will give him comp time.
Unmotivated Example: Arnn Jones values formal recognition in the form of decorations or quarterly/annual awards. He
isn't motivated to do a certain task because he knows there will be no formal recognition upon its completion.
You've probably realized that your motivation is not equal in all activities. Usually, it's much higher when you have more
interest in the activity. That can probably be attributed to aspirations in this area.
Knowledge Check
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BEHAVIORAL INFLUENCES
Barnes Center, Behavioral Influences (2020)
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Aspirations
One of the questions you were probably asked as a child was "What do you want to be when you grow up?" Some of
you may have yet to decide; but whatever your answer was, or will be eventually, it should tell you something about your
aspirations. According to Webster, to aspire is "to have a fervent hope or ambition." The Encyclopedia of Psychology
explains aspirations this way:
"Aspirations are the driving force in personalities. They are more important than the abilities which one is born
with or acquires through environment and education, since what really matters is what one does with these
character and personality traits. By measuring the distance between a desired level of aspiration and the level
reached up to now, a 'motivational differential' can be established... one can thus discover whatever gap exists,
as for instance between professional skill attained and the one desired.... "
- Encyclopedia of Psychology
Almost everyone has aspirations - levels of growth and performance they want to reach. The choice to make the best of
your talents in any given activity goes back to these aspirations. It is entirely possible for you to possess a wealth of
talent in a given area, yet never excel because your aspirations are too low. For example, you might be able to run
exceptionally fast, yet never fully use this potential through athletics. While aspirations are related to what we want to do
or become, personality goes to who we are as a person.
Personality
People often view others and attempt to describe them using their own perceptions of the others' personalities. One
person is "outgoing," while another person is a "deep thinker." Weber, in Introduction to Psychology, defines personality
as:
Personality... "an individual's characteristic pattern of behavior, thought, and emotion."
- Weber, Introduction to Psychology
Although thought and emotion are certainly parts of our personalities, we are going to focus on behavioral tendencies.
Many different theories exist that explain personality, but two theories are particularly relevant - trait and type. As the
name implies, the trait approach relies on specific descriptive tendencies. According to the Encyclopedia of Psychology,
"Traits are defined in various ways. At the simplest level, they are seen as relatively enduring descriptive
characteristics of a person ... a trait is a single continuous dimension of personality."
- Encyclopedia of Psychology
Terms such as "generous," "ambitious," "aggressive," "shy," and "anxious" are all examples of traits. The type approach
is somewhat broader than the trait approach. The Encyclopedia of Psychology refers to the type approach as:
Type ... "... a more complex pattern of characteristics that serves as a model for categorizing people...
- Encyclopedia of Psychology
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Examples of the type approach are classifying people as type A or Band categorizing people as extroverted, sensing, or
judging. By observing the actions of the people around us and employing one or both of these approaches, we can make
suppositions about their future behavior.
"The type approach is popular among laypersons because it simplifies understanding commonalities and
individual differences."
- Weber, Introduction to Psychology
Personality can be thought of as how other people view us concept involves how we see ourselves.
what they think we are like. On the other hand, self-
Self-Concept
We all look into mirrors (some of us more than others) to
check our appearance. Is my hair straight? Do I still have
hair? Do I have a big piece of pepper stuck between my
teeth? We walk away from the experience with an
assessment of our appearance. We use a similar process
to determine our perception of ourselves internally. Based
on what we think and feel about ourselves and on
feedback from external sources, we form a picture of
ourselves; this picture is our self-concept. According to
Weber,
MechanismsBehavior Classical
Self-Efficacy Self-Concept Behaviors Coping
Analysis Qbs~rvational
Equity Asp1rat10ns
Learnl•ng
t~:11 Conditioning Process
Personali,ty LocusOperant
Defense Barriers
"Self-concept is self-image including assessment of
abilities, attributes, and values."
- Weber, Introduction to Psychology
Just as we can turn and look at ourselves in the mirror from different angles, there are different angles, or aspects, of our
self-concept. The Encyclopedia of Psychology describes the first aspect as:
"The personal self-concept... (which is) descriptive attributes or behavioral characteristics as seen from one's
personal perspective."
- Encyclopedia of Psychology
The Encyclopedia of Psychology defines the second angle as:
"Social self-concept. .. (which is) self-descriptive attributes or behavioral characteristics as one thinks they are
seen by others. These aspects may or may not agree with each other."
- Encyclopedia of Psychology
For example, a person might say, "I am critical about details and other people think I'm overly concerned about details;"
but another person might say, "Although I am critical about details, others think I don't care about details." These aspects
provide us with a picture of what we are, but that raises the question "Are we always satisfied with our present state?"
The answer to that is often no, and the Encyclopedia of Psychology provides the reason - self-ideals. In relation to
personal self-concept, self-ideals are conceptions of what a person wants to be like, and in relation to social self-concept,
they are how a person would like others to see them ... they can range from general to very specific. Statements such as,
"I'd like to be a better technician" or "I want others to see me as more intelligent" illustrate personal and social self-ideals.
By knowing how people see themselves and how they believe others see them, we can better understand some of the
actions they take.
Sometimes, how we see ourselves and how we want others to see us can affect how much responsibility we are willing
to accept for our behaviors and their outcomes. That is where self-efficacy and locus of control come into the equation.
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Self-Efficacy and Locus of Control
How much control do you really have over behavior and behavioral outcomes? Researchers use the terms self-efficacy
and locus of control to categorize the amount of control people believe they have.
Self-efficacy... "a sense of competence and self-control."
- Weber, Introduction to Psychology
Dr. Stephen P. Robbins, author and expert on management and organizational behavior, explains it as:
"Self-efficacy... an individual's belief that he or she is capable of performing a task."
- Stephen Robbins
Therefore, people with high self-efficacy believe in themselves and will likely demonstrate confidence in performing a
task or try hard to accomplish a challenging task. On the other hand, people with low self-efficacy lack confidence and
may give up easily rather than follow a difficult task through to completion.
Similarly, locus of control has a significant effect on our daily lives. Robbins refers to locus of control as "a person's
perception of his or her fate." For example, people with an internal locus of control feel they control their own destiny,
while people with external locus of control feel their destiny is controlled by factors beyond their control. A key difference
between locus of control and self-efficacy is that self-efficacy deals with the behavior itself, while locus of control is the
level of confidence one has in the outcomes of a given task. Do you know where you fall on the locus of control scale? If
you are interested in learning more about your own locus of control, check out Rotter's Locus of Control Scale. This
test developed by Terry Pettijohn based on work of Julian Rotter, the original developer of the concept of locus of control.
By understanding the amount of control and level of confidence people feel they have over their own behavior and
outcomes, we can better understand our subordinates' actions and interactions with their environment. It doesn't matter
whether an outcome is attainable; the perception of control determines if one will try to attain it. For example, if students
believe they can reach an extremely difficult goal such as making straight A's throughout all their years of school, they
will try to attain that goal even though the odds are stacked against them. On the other hand , they may drop out of
school because they don't believe it is within their control to decide they can even pass their classes, even though
passing grades may be easily within their abilities. 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.
Some of how and what we feel about self-efficacy and locus of control can be traced back to the attitudes and values we
have about particular topics or tasks.
Attitudes and Values
Every day we make judgments about the things around us, often without giving conscious thought as to why we perceive
something the way we do. It is often our values and attitudes that cause us to assess and respond to things as
desirable or undesirable, good or bad. According to the Encyclopedia of Psychology, a value is:
Value ... "an enduring belief that a specific principle, standard, or quality is regarded as worthwhile or desirable."
It also defines an attitude as "a disposition to respond favorably or unfavorably to an object, person,
institution, or event."
- Encyclopedia of Psychology
While attitudes and values are similar, there is a key difference. In Introduction to Psychology, Weber explains the
difference by writing :
"An attitude is more specific than a value. Values are more general and abstract than attitudes."
- Weber, Introduction to Psychology
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For example, love of freedom is a value, while enjoying flag ceremonies
reflects an attitude. Attitudes may range from shallow, changeable opinions
to major convictions, while values are a more central and basic motivating
beliefs that reflect the goals and ideals important to a person. For years,
attitudes and values have been prized as predictors of behavior; however,
research cited in the Encyclopedia of Psychology shows that they are
actually poor predictors of behavior. This raises the question, "Why should
supervisors be concerned about the attitudes and values of their people?"
Perhaps the two greatest reasons are so they can understand why
someone has behaved a certain way, and, more importantly, to help them
understand what they must deal with when trying to change behavior.
Excellence
is not a skill,
it's an attitude
- Ralph Marston
Knowledge Check
CONCLUSION
This lesson provided some foundational principles on behavior analysis
that new supervisors can use to better connect and collaborate with others.
Having a keen understanding of human behavior is an important step in
learning to lead people and to be an effective supervisor.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of
key terms presented in this lesson. The activity does not report to the
gradebook and you can retry it as many times as you want.
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Lesson 2 - Leadership
INTRODUCTION
Barnes Center, Introduction to Leadership (2020)
@NuTEs
Leadership
Jeanne M. Holm Center's The Air Force Leader defines leadership as "the art and science of motivating, influencing,
and directing Airmen to understand and accomplish the Air Force mission in joint warfare."
Effective leaders must always keep in mind two fundamental concepts: the mission and the Air and Space Professionals.
The primary task of a military organization is to perform its mission. A leader's primary responsibility is to ensure
organizational effectiveness and success. Unit effectiveness is a direct result of the leader's ability to lead people to
accomplish the mission.
Air and Space Professionals at all levels play an integral role in unit effectiveness and mission success. As you develop
your leadership philosophy, you must realize that everything you say and do sends a message to your followers. As a
leader and role model , your people will look to you for direction, assistance, acceptance and more. Understanding this
responsibility is a heavy burden but learning to apply the concepts of effective leadership makes it an easy one to carry.
The more you seek out leadership opportunities, the more comfortable you will be with leading.
Given the authority, any Air and Space Professional can command, but leadership is more than simply giving orders and
expecting results. Leadership requires the application of emotional intelligence and a willingness to understand your Air
and Space Professional. NCOs are charged with the responsibility of accomplishing the mission while also ensuring the
growth of the Air Force and Space Force's newest Air and Space Professionals. The core value "Excellence in All We
Do" encompasses not only excellence in personal ventures, but also applies to supporting and creating excellence in
others. Leadership concepts are well studied and guidance is constantly in revision to ensure the Air Force's leaders of
tomorrow are trained appropriately.
It may sound ironic, but to be a good leader, you must learn to follow. Learning to be a good follower prepares you for
your role as a leader and supervisor.
Followership
According to Merriam-Webster's Unabridged Dictionary, a follower is, "one in the service of another; one that
follows the opinions or teachings of another; one that imitates another." Characteristics that embody a good leader
are similar to those associated with being a good follower. At all levels of the NCO tier, Air and Space Professionals are
responsible for leading and following the orders appointed by the officers above them. The key to followership is having
an understanding of what is expected.
Great followers commit to the plan of the organization; requiring them to understand the mission and concurring with its
goals. A common pitfall some leaders make involves demanding blind obedience from their subordinates. Create an
environment where subordinates want to follow you. Enabling committed followers requires effort from all sides.
Understanding leadership and followership is essential to being an effective supervisor. The next page in this lesson will
introduce you to a leadership assessment model that allows you to assess your own leadership and explore your right to
lead.
Knowledge Check
RIGHT TO LEAD ASSESSMENT MODEL
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Barnes Center, Leadership and Self-Reflection (2020)
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The purpose of this section is to provide a
structured approach to the process of selfreflection and ultimately, self-assessment, for
your leadership efforts. Furthermore, using a
systematic method to think about your own
leadership heightens self-awareness and selfaware leaders are better leaders. The Right to
Lead Assessment Model (RLAM) is one way of
taking stock of your own leadership and a useful
framework to consider leadership in general. The
model is best studied from bottom to top
(authorities; obligations and requirements;
competence, character and personality;
relevance; trust).
The elements of competence and personality
tend to be interactive and might be emphasized to meet specific challenges. For instance, personality might take on
greater importance if morale is low or if you replace a toxic leader. Competence might be emphasized to a greater
degree if the individual is not trained to the standards that the unit expects. Characteristics are usually constant, but not
always. Leaders can and do act out of character. As you study the RLAM , take time to reflect upon all elements in the
model. Remember, no one is questioning your right to lead .. .the goal is to help you become more self-aware. The
following paragraphs provide a detailed discussion of each component in the model, starting from bottom to top.
Authorities: What You Are Allowed to Do
Your authority flows from the Constitution, the Congress, and powers vested in you by the President, as Commander-inChief. These powers allow you to accomplish specific missions, and to maintain good order and discipline.
Constitutional and legislative authorities, such as
Title 10 of the U.S. Code, codify in greater detail
what you are allowed to do, as well as, what you
are prohibited or restricted from doing. Moreover,
the lineage of your authority is as old as the
republic itself. Authority, based on rank, position,
and duty is ever present. An example of your
authority is in the number of stripes you wear. The more stripes you wear the more authority you can exercise. The key is
to understand the limits of your authority and to never abuse the authority vested in you by our nation and your superiors.
Keep in mind, the most powerful authority a leader can possess is granted by those being led - trust. Now that you
know about the authority part of the RLAM, let's look at the next step up .. .obligations and requirements.
Obligations and Requirements: What You Must Do
Leaders incur obligations and assume responsibility for requirements through a variety of means. Requirements and
obligations are not necessarily the same thing.
Military leaders first incur a personal obligation by
taking the oath of office or enlistment.
Furthermore, officers also accept the terms of a
Ob1igations/4Reguirements
commission. Whereas leaders accept obligations
Authorities
knowingly and freely, most requirements are
imposed upon leaders. Regulations, operating
instructions, policies, orders, and position
descriptions define many, if not most, activities
leaders must accomplish. Obligations and requirements are related, sometimes even overlapping; they are, however, not
the same thing. Leaders obligate themselves to a higher purpose for the privilege of leading others; whereas,
requirements are imposed, varied, sometimes onerous, often routine, but never optional.
i
Competence: What You Are Capable of Doing
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At first glance, the topic of a leader's competence seems straightforward. Upon deeper examination, however, it is not
easy to state exactly what comprises competence.
People tend to have their own ideas and
perspective as to what competence is and what it
looks like. To add to the challenge, the words
"competence" and "competency" are often used
interchangeably but there is a difference. Think of
"competence" as the actual state (level) of skills
and abilities you possess; whereas "competency"
includes the specific skills and abilities required
by a particular job or position. In other words,
competence is the current state of your ability,
what you are able to do; competency is what is
demanded of you by a position, duty, or situation. An example of competency would be the possession of presentation
and communication skills required of a good instructor. When what is required (competency) is greater than your present
abilities or skills (competence), you must either develop the required skills or risk failure. It is not necessarily a bad thing
to be in a position where the skill required is greater than your current abilities as this is the very essence of being
"stretched" as a leader in order to grow and develop.
Character: What You Will Do
The topic, and sometimes the issue, of character
is significant to the discussion of what gives you
the right to lead. There are many definitions of
character ... some have a psychological feature to
them; others lean more heavily on moral or legal
considerations. One can think of character as a
balance sheet.. .one that takes into account the
positive and negative aspects of who you are as
a person and a leader. Since everyone has
character, the balance sheet analogy is useful.
People either possess positive (good) or negative
(poor) overall character. A good definition is one from the United States Air Force Academy as stated in a 1996 article in
Airpower Journal by Major Brian Hall and Colonel David Wagie. These authors define character as:
"... the sum of those qualities of moral excellence that stimulates a person [leader] to do the right thing,
which is manifested through right and proper actions despite internal or external pressures to the contrary."
- Hall and Wagie, "Character Development Program" (1996)
Character, to a large extent, is determined by the decisions, choices, and actions you make. Maintaining strong character
takes work, commitment, and sometimes even sacrifice.
Personality: How You Do What You Do
Your personality is developed and defined by
your DNA, the environment in which you live, and
a leader's delivery system. Personality is the filter
through which all talent, qualities, and skills must
pass in order to be delivered. Regardless of your
competence or character, you will not achieve
your full potential as a leader if people do not
want to be around you. Personality for the
purpose of this lesson can also be thought of as
emotional maturity or emotional intelligence.
According to Goleman and McKee in their book
entitled, Primal Leadership: Realizing the Power of Emotional Intelligence, they attribute four competencies to a
balanced and mature personality.
• Self-awareness: the extent to which a leader has a realistic understanding of their own being.
• Self-management: the ability to control one's emotions and actions.
• Social-awareness: the level at which a leader understands the value of relationships and other people.
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• Relationship-management: the ability to establish a meaningful connection and bond to others.
A leader's personality goes a long way in determining a personal milieu, (the physical and emotional space surrounding
the leader). A toxic personality, or more appropriately, a poor delivery system, supersedes competence, character, and
other positive qualities; therefore, negatively affecting how the leader is perceived and often reducing the leader's overall
effectiveness. You can't lead if you can't connect. If you can't connect then it's possible that you may lose your relevance.
Relevance: The Difference You Make
Relevance resides at the apex of the RLAM. A
leader's relevance is directly proportional to the
cumulative effect of all the other elements in the
model: authority, obligations and requirements,
competence, character, and personality.
Relevance is both an outcome and an act.. .the
act of being relevant. Relevance occurs when all
the elements of the RLAM are brought to bear in
a manner appropriate to the organization,
environment, and people. The paragraphs below
relate how the concept of relevance applies to
each of these areas:
• Organizational relevance: Every unit,
business, or organization takes on a
personality, temperament, and culture. A leader is relevant when he or she understands the organization, meets
the needs of the organization or, when required, intentionally changes the organization's culture. Some leaders,
unfortunately, are overly rigid in their approach, thinking the organization must adapt to their needs, when in fact,
give-and-take is usually the best approach. If a leader is not able to fit within the culture of the organization or
does not meet the needs of the organization, they may become irrelevant.
• Environmental relevance: Environmental relevance is more encompassing than organizational relevance.
Senior leaders have areas of interest typically much larger than just the organization to which they belong. To be
relevant a leader must possess the ability to build bridges, represent their organization, and operate within the
interest of adjacent, higher, and lower organizations.
• People relevance: Good leaders make a positive difference in the lives of followers. To be relevant, a senior
leader must care for, encourage, coach, guide, develop, and mentor both followers and other leaders.
Trust: The Strength of the Bond Between You and Those You Lead
Stephen Covey argues we lead at the "Speed of
Trust." The element of trust is indicated as an
arrow, or spectrum, on the right side of the
RLAM. The idea, concept, or element of trust is
unique because it is essential for leadership to
exist, it is hard to measure, it takes time to
establish, and is extremely fragile. Trust is both a
byproduct of leadership and an enabler for
leadership. The three levels of trust reflected in
the RLAM are respect, confidence, and
commitment.
• Respect: Your rank, position, and
experience provide the basis for respect.
Hopefully, over time respect is given
because of who you are, and not just
rendered solely due to the rank you wear.
• Confidence: Your followers will listen to what you say, but more importantly, they will watch what you do. What
you do, the decisions you make, how you interact with people, and your demonstrated level of competence, when
properly executed, will instill confidence in those you lead.
• Commitment: If you make a positive impact in the lives of your people and on your organization, then people will
commit to you and your efforts. They will "buy-into" your vision. People will commit to a leader who is relevant.
The RLAM gives us an idea of our right to lead in the military. As you look at the various parts of the model, you should
be able to make some real connections to your right to lead in the military. You should now assess your right to lead from
your basic authorities to the relevance and trust you have as a leader. The RLAM provides a structured approach to
leadership to help you be a better NCO ... but it hasn't always been this clear. The next page in this lesson will introduce
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you to various types of leadership styles ranging from the autocratic leader to the facilitative leader. While each
leadership style has its own merits, the key is to find which style works best for you in a given situation.
Knowledge Check
TYPES OF LEADERSHIP
Barnes Center, Leadership Styles (2020)
GNurEs
Autocratic Leadership
Autocratic leadership style is centered on the boss. In this style of leadership, the leader holds all authority, control and
responsibility. These leaders make decisions on their own without consulting subordinates, communicate them to
subordinates and expect prompt implementation. An autocratic work environment normally has little or no flexibility.
Democratic Leadership
In this leadership style, subordinates are involved in making decisions. Unlike autocratic, democratic leadership is
centered on subordinates' contributions. The democratic leader holds final responsibility, but he or she is known to
delegate authority to other people, who determine work projects. The most unique feature of this leadership style is that
communication is active upward and downward.
Strategic Leadership
Strategic leaders, like democratic leaders, care about the success of the whole more than they do their own status, but
their approach is a little bit different. Strategic leaders fulfill their role of being a team leader not only by taking
responsibility for what happens and making progress simply by what's most popular, but by developing and employing
methods and strategies that will improve the lives and wellbeing of everyone involved. They are less concerned with
maintaining the status quo than they are transforming it.
Transformational Leadership
Unlike other leadership styles, transformational leadership is all about initiating change in organizations, groups,
oneself and others. Transformational leaders motivate others to do more than they originally intended and often even
more than they thought possible. They set more challenging expectations and typically achieve higher performance.
Their approach is to empower each individual to make advancements and changes in their own lives, which results in
better performance and outcomes.
Team Leadership
Team leadership involves the creation of a vivid picture of its future, where it is heading and what it will stand for. The
vision inspires and provides a strong sense of purpose and direction. Team leaders don't just focus on the good of the
whole, they focus on navigating the personal dynamics of smaller, initiated groups. Rather than just trying to motivate
each individual, they focus on the strengths and weaknesses of each and decide how to best employ them in harmony.
The team leader is responsible for ensuring that everyone is staying on pace for their goals.
Cross-Cultural Leadership
Cross-cultural leaders are driven by a deep desire to see different types of people (whether that is racial , political or
social) integrated and to see those less privileged being given voices and equal opportunities. They are committed to
creating work and social environments in which all people can thrive. An effective leader in this domain will be able to
understand and reason with people from different backgrounds, rather than just advocating for one over another. They
have deep understandings of various perspectives, which is what makes their role so important.
Charismatic Leadership
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Charismatic leaders devote themselves to change the status quo by inspiring trust among people using convincing
charm and credibility. This type of leader thrives from using past experiences of what works and uses it as a guide when
performing a new task. An example of this type of leader would be Nelson Mandela, who stated, "Your vision in life must
be for greater good".
Visionary Leadership
Visionary leaders are hard to come by and succeed on purpose with very strong will power. The driving force behind a
visionary leader is their incredible ideas for needed change. They use a combination of leadership styles to implement
change within an organization by herding/identifying skillsets within a force to execute. A principle of a visionary leader is
to challenge the process, not just by words but with actions and balance. This type of leader invents the undone.
Coaching Leadership
People with a coaching leadership style take a sincere interest in assisting with the development of individuals through
the use of genuine encouragement and motivation. This leader takes the time in finding out more about the individuals
themselves and builds off the members skill sets to help them improve as an individual and operate on their own within
an organization, team or unit.
Transactional Leadership
Transactional leaders make transactional exchanges, "You do this, and I'll reward you with this." These leaders take an
approach to making deals. The groundwork for these types of leaders is laid out in detailed standards and expectations.
They have the attitude of just going with the flow of things within a work center when tasks are met.
Laissez-faire Leadership
The French name of this style of leadership solely speaks for itself. "Laissez - to leave" "faire - to do". This type of leader
is talked about within the workplace as being lazy, absent from projects or work when needed. The subordinates or
employees are left with little to no guidance on accomplishing task. People who fall into this type of leadership style truly
believe that people will eventually figure things out if left alone although they are mistakenly wrong. Laissez faire leaders
are the least effective in their absent delivery and often times leave subordinates morale low.
Facilitative Leadership
Facilitative leaders are interested in the entirety of the group working together and bringing members back to the
objective when making change. This type of leader does not consider or see individual feelings of team members, they
look at the group as a whole and believe productivity is most effective based on outcomes.
Knowledge Check
CONCLUSION
Leadership and followership are absolutely critical to mission success. This lesson explored various leadership styles
and the Right to Lead Assessment Model provided a framework you as a future supervisor can use to develop yourself
and foster healthy relationships within your organization.
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LEADING PEOPLE
Lesson 3 - Ethical Leadership
INTRODUCTION
Barnes Center, Introduction to Ethical Leadership (2020)
@Nures
Our Joint Ethics Directive, DoD 5500. 7-R, Joint Ethics
Regulation (JER), states that ethics are standards by
which one should act based on values. It defines values
as core beliefs, like duty, honor, and integrity that motivate
attitudes and actions. It also explains that not all values
are ethical (integrity is; happiness is not). Ethical values
relate to what is right or wrong, therefore we are expected
to consider them over non-ethical values when making
decisions.
Knowledge Check
ETHICAL VALUES
Barnes Center, Primary Ethical Values (2020)
0Nures
Primary Ethical Values
The Joint Ethics Regulation defines several primary ethical values that leaders must consider when making decisions.
We each have our own set of morals, beliefs, and values
that govern our conduct. They are formed through our
upbringing, the experiences we have encountered
throughout life, and the social norms that exist. Some
think it is okay to lie, cheat, and steal while others think it
is only okay under certain circumstances, while others
firmly believe it is never okay to lie. Despite our personal
morals, beliefs, and values ... as military members we
must behave in ways that collectively uphold the Air Force
Core Values.
Knowledge Check
UNITED STATES AIR FORCE CORE
VALUES
Barnes Center, Core Values (2020)
@Nures
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The Brown Book, The Enlisted Force Structure, states that the enlisted force structure, force development, and
institutional competencies are grounded in the Air Force Core Values (Integrity First, Service Before Self, and Excellence
in All We Do). These values are the thread that weaves through Air Force policies, guidance, and focus areas. Simply
put, they influence Air and Space Force's activities and Air and Space Professional's actions.
Recognizing the United States Air Force (USAF) Core Values helps leaders to get a fix on the ethical climate of an
organization or work center. Acceptance of the USAF Core Values (Integrity first, Service before self, and Excellence in
all we do) is a commitment each Airman makes when joining the Air Force. These core values provide a strong
foundation for ethical conduct, decision making, and the success of Air Force personnel. The Air Force recognizes these
core values as universal and unchanging in the profession of arms. Air and Space Professionals must internalize the
USAF Core Values in order to be prepared when they encounter an issue that requires an ethical decision.
Integrity First
Integrity First exemplifies the willingness to do what is right even when no one is looking. Doing this will set the right
example and earn the respect of subordinates and superiors alike. The moral traits (courage, honesty, responsibility,
accountability, justice, openness, self-respect, and humility) of integrity combine to form a moral compass for the military
professional.
Service Before Self
Service Before Self is the essence of our commitment to the nation and reminds us that military service is a calling.
Professional duties must take precedence over our personal desires. While personal goals often coincide with Air Force
goals, there is no room for personal agendas. A leader who is unwilling to sacrifice individual goals for the good of the
unit cannot convince other unit members to do so.
Careerism (personal career ambition) and self-interest are all too common in a hierarchical system. Behaviors from
leaders that promote self-interest, personal agendas, or even careerism do more damage to the institution. Leaders who
serve selflessly inspire support from their followers.
Excellence in All We Do
Excellence in All We Do is our commitment to the highest
standards in everything ranging from product excellence to
operations excellence. It directs us to develop a sustained passion
for continuous improvement and innovation that will propel the Air
Force into a long-term, upward spiral of accomplishment and
performance.
Our core values are the guiding principles that foster our ethical
conduct, but merely understanding the traits is not enough. As
military members, we must also demonstrate and promote the
ethical principles and accepted codes of conduct to become
ethical leaders.
ETHICAL PRINCIPLES
Barnes Center, Ethical Principles (2020)
GNUTEs
Dr. James Toner, a former Professor of International Relations and Military Ethics at the Air War College wrote an article
entitled, "Military OR Ethics," which identifies sound ethical principles that support the Air Force Core Values. It explains
that military ethics is about learning what is true and then having the courage to do and be what and who we ought to be.
Military ethics are not about individual successes or failures or about individual virtues or vices. Military ethics is about
our heritage and history, and it is about our responsibility to be Airmen of character. Dr. Toner takes an interesting
approach to make his points memorable by using the following ethical principles:
• three Os (owning, ordering, and oughting),
• three Ps (principle, purpose, and people),
• three Rs (rules, results, and realities), and
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• three Ds (discern, declare, and do).
Dr. Toner's principles give airmen a framework for thinking, acting, and behaving ethically.
The Three Os (Owing, Ordering, and Oughting)
Military ethics based upon egotism cannot function, but rather they must be rooted in three Os, which states that you
must know who (U.S. Constitution, Air Force, Unit) and what you owe; display proper ordering of ethical priorities, and
understand what you should, or ought to do.
The Three Ps (Principle, Purpose, and People)
The three Ps operate in the context that Air and Space Professionals must put principle (truth telling and honor) first;
purpose (mission accomplishment and duty) second; and people (fellow citizens, Air and Space Professionals, etc.) third.
The three Ps provide the perspective for the way to think about the Os. Air and Space Professionals are to adhere to the
precedence of principles, purpose and then people. Switching the order would negate the entire process. When
considering these principles, keep in mind they refer to the requirements and needs of the Air Force, and not one's
individual principles and purpose.
The Three Rs (Rules, Results, and Realities)
The three Rs provide guidance when considering the Os. They explain that when making decisions, and conducting
oneself, it is the rules that give a person ethical guidance. The situation , circumstances, or realities influence decisions if
the rules are followed. Don't forget to consider the results or consequences of decisions and actions beforehand.
The Three Ds (Discern, Declare, and Do)
The three D's: discern, declare, and do state that you must try to discern the truth; at appropriate times, you declare the
truth as you have discerned it; and then you do what you have discerned and declared.
Simply put, the three Ds emphasize that you have a moral charge to educate yourself as best as you can in light of the
truth, to speak up for truth, and then to act in truth. One more D actually comes into play here, the process of moral
decision, a word that the dictionary tells us means "the idea of coming to a conclusion after some question, talk, or
thinking over."
ETHICAL CODES OF CONDUCT
Barnes Center, Ethical Codes of Conduct (2020)
GNUTEs
The ethical codes of conduct provided in the image are widely accepted by the Air Force. These help Airmen and
Space Professionals make proper ethical decisions when faced with various ethical dilemmas or issues. These codes
make it possible to act and behave in an ethical manner in any situation.
AFH 36-2618, The Enlisted Force Structure, outlines roles, responsibilities, and expectations for enlisted members in
each enlisted tier and describes official terms of address for enlisted members.
AFI 36-2909, Professional and Unprofessional Relationships, establishes command, supervisory and personal
responsibilities for maintaining professional relationships between AF members and civilian employees of the
Department of Defense, to include AF civilian employees, and between AF members and government contractors.
Airman's Creed provides a tangible statement of beliefs that Airmen can hold most dear. .. it focuses on and identifies a
spirit - a warfighting ethos - that transcends time from the past to the present and into the future, and it requires a
pride in service and fosters a fighting-focused culture.
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The Airman Handbook was created as a
reliable reference for promotion studying
and is used as a daily guide throughout an
Airman's career.
Code of Conduct is an ethical guide that
includes six articles that: (1) help you deal
with your chief concerns as an American in
combat; (2) navigate concerns that
become critical when you must evade
capture, resist while a prisoner, or escape
from the enemy; (3) provide guidance on
how to honorably survive captivity which
often demands great courage, deep
dedication, and high motivation; and (4)
help you endure the terrors of captivity,
prevail over your captors, and return to
your family, home, and nation with honor
and pride.
DoD Joint Staff Guide 5260, Service
Member's Personal Protection Guide: A
Self-Help Handbook to Combating
Terrorism assists U.S. military personnel
who find themselves isolated from U.S.
control in peacetime, or in a situation not
related specifically in the Code of Conduct.
United States military personnel, because
of their wide range of activities, are subject
to peacetime detention by unfriendly
governments or captivity by terrorist
groups. The guidance in this section seeks
to help U.S. military personnel survive
these situations with honor.
LEADING PEOPLE
~ODKioNDU~~
1) I AM AN AMERICAN, FIGHTING IN THE FORCES WHICH GUARD MY
COUNTRY AND OUR WAY OF LIFE. I AM PREPARED TO GIVE MY LIFE IN
THEIR DEFENSE.
2) I WILL NEVER SURRENDER OF MY OWN FREE
WILL IF IN COMMAND, I WILL NEVER
SURRENDER THE MEMBERS OF MY COMMAND
WHILE THEY STILL HAVE THE MEANS TO
RESIST.
3) IF I AM CAPTURED, I WILL CONTINUE TO
RESIST BY ALL MEANS AVAILABLE. I WILL MAKE
EVERY EFFORT TO ESCAPE AND AID OTHERS TO
ESCAPE. I WILL ACCEPT NEITHER PAROLE NOR
SPECIAL FAVORS FROM THE ENEMY.
4) IF I BECOME A PRISONER OF WAR, I WILL
KEEP FAITH WITH MY FELLOW PRISONERS. I
WILL GIVE NO INFORMATION OR TAKE PART IN
ANY ACTION WHICH MIGHT BE HARMFUL TO MY
COMRADES. IF I AM SENIOR, I W ILL TAKE
COMMAND. IF NOT, I WILL OBEY THE LAWFUL
ORDERS OF THOSE APPOINTED OVER ME,
AND WILL BACK THEM UP IN EVERY WAY.
5) WHEN QUESTIONED, SHOULD I BECOME
A PRISONER OF WAR, I AM REQUIRED TO
GIVE ONLY MY NAME, RANK, SERVICE
NUMBER, AND DATE OF BIRTH. I WILL
EVADE ANSWERING FURTHER QUESTIONS
1'1
TO THE UTMOST OF MY ABILITY. I WILL
MAKE NO ORAL OR WRITTEN STATEMENTS t
DISLOYAL TO MY COUNTRY AND'
IES'OR HARMFUL TO THEIR CA
6) I WILL NEVER FORGET THAT I AM AN AMERICAN,
FIGHTI NG FOR FREEDOM, RESPONSIBLE FOR MY ACTIONS,
AND DEDICATED TO THE PRINCIPLES WHICH MADE MY
COUNTRY FREE. I WILL TRUST IN MY GOD AND IN THE
UNITED STATES OF AMERICA.
Joint Ethics Directive, DoDD 5500.7,
Standards of Conduct is a directive that
establishes guidance for Standards and
Conduct that applies to all U.S.
government employees.
Joint Ethics Directive, DoDD 5500.7-R,
Joint Ethics Regulation is a directive that
describes and discusses ethics and
values. It describes ethics as standards by
which one should act based on values. It
also deals with core beliefs, like duty,
honor, and integrity that motivate attitude
and actions.
Uniform Code of Military Justice (UCMJ) provides ethical guidance by clearly describing what is considered a crime
in the military; thus, it promotes justice, assists in maintaining good order and discipline, and promotes efficiency and
effectiveness in the military establishment, thereby strengthening the national security of the United States.
The ethical codes stated above give airmen and space professionals the resources they need to adhere to and model
ethical behavior as military members. Whether in war or peace, all Airmen and Space Professionals must lead by
example and foster an ethical climate in their organization.
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THE ETHICAL LEADER
Ethical Behavior
As important as it is to understand ethical
principles, it is just as important to understand
and model ethical behavior. Ethical leaders
should behave in a way that aligns with their
purpose, whether it be personal or organizational ,
they must conduct themselves with pride, and
high self-esteem. Self-esteem is a mixture of
personal pride and humility, which creates
confidence when faced with certain ethical
dilemmas. Ethical leaders persistently ensure
they behave ethically at all times, and they
patiently and faithfully apply high standards in all
decision-making opportunities. Ethical leaders
are not emotionally driven, and they maintain a
clear perspective, which allows them to evaluate
the situation and determine the proper course of
action.
Leaders become credible and authentic as ethical role models by engaging in ongoing behaviors that subordinates deem
unselfish and ethically appropriate. These behaviors include being honest, showing consideration for others, and treating
people fairly and with respect. Ethical leaders develop trust and commitment through words and actions. They are
accountable for areas of responsibility, operations of their unit, and personal actions.
In addition to modeling the above behaviors, Airmen and Space Professionals should create and promote an ethical
climate and foster ethical behavior using the following three principles:
• No rewards for unethical behavior
• Sanctions and forgiveness for mistakes
• Take appropriate action(s) when dealing with dereliction of duty
Unethical behavior by any Airman or Space Professional destroys morale, trust, and the desire to work as a team. Most
importantly, in warfighting, unethical behavior can result in compromise of our national security and needless loss of life.
It takes great character and personal integrity to practice ethical behavior in all we do. Why, then, do some Air and Space
Professionals choose to behave unethically? Dr. John Johns identifies several factors that contribute to unethical
behavior by individuals. One is competition for scarce resources. It is easy to slip into unethical acts to gain a competitive
advantage in the race for position or power. A second is conflicting loyalties, which is the most troublesome ethical
dilemma facing public officials. The Air Force is not immune to these factors and one simply has to look at the USAF JAG
docket to see examples of Air and Space Professionals whose unethical behavior negatively affected the Air Force
mission.
ETHICAL DECISION-MAKING
Everyone in the Air Force must make decisions. There are three qualities individuals must possess to make ethical
decisions:
•First is the ability to recognize ethical issues and to reason through the ethical consequences of decisions, while being
able to see second and third order effects.
•Second is the ability to look at alternative points of view, deciding what is right in a particular set of circumstances.
•Third is the ability to deal with ambiguity and uncertainty; making a decision on the best information available.
Sometimes making a decision stops at consciously acknowledging that there are no significant ethical consequences to
consider. On the other hand, there may be one or several ethical consequences to consider when making a decision.
Making good ethical decisions requires a trained sensitivity to ethical issues and a practiced method for exploring the
ethical aspects of a decision and weighing the considerations that should impact our choice of a course of action. Having
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a plan or a framework for ethical decision-making is
useful for exploring ethical issues and identifying
ethical courses of action. The below steps provide a
framework for ethical decision-making. Choose a
personal or professional ethical dilemma or issue
you've faced and answer the questions that follow.
When making decisions, always consider the
consequences (intended and unintended), of your
decisions and remember that all choices have
drawbacks. Then ask yourself if you can accept and
live with all outcomes.
Leaders influence subordinates through
communication, motivation, and adherence to
standards. Leaders motivate and inspire people by
creating a vision of a desirable end-state and keeping
people moving in the right direction to achieve that
vision. Ethical decision making by our leaders
motivates followers to behave ethically and in-turn
make ethical decisions. When leaders apply ethical
decision-making, they sharpen their personal
character, enhance their leadership effectiveness and
increase unit effectiveness. Unfortunately, there are times when leaders do not apply ethical decision making
appropriately. We can look inside our history books to see examples of leaders who have failed to follow ethical
leadership concepts.
Leaders must be on alert for several ethical traps that can occur during ethical decision-making. Once a leader (or any
Airman) falls into an ethical trap, it is very difficult to escape.
ETHICAL TRAPS
Confusion or uncertainly as to what actions or behaviors to take
because of conflicting opinions/values. Ethical traps include:
Ethical Relativism
Loyalty Synd rome
•Ethical Relativism - making decisions based on personal
values/beliefs rather than on military rules, regulations, and
codes of conduct.
Worry Over Image
•Loyalty Syndrome - making decisions based on respect and/or
loyalty to an individual, unit, or organization etc. rather than on
military rules, regulations, and codes of conduct.
•Worry Over Image - making decisions based on how they
impact one's reputation/standing among peers, subordinates,
supervisors, community etc. rather than on military rules,
regulations, and codes of conduct.
•Drive for Success - making decisions based on a "win at all
cost" attitude rather than on military rules, regulations, and codes
of conduct.
It is important for our future supervisors to avoid falling into ethical traps. It is equally important that all supervisors
discuss ethical leadership and ethical issues/dilemmas with their subordinates. When it comes to handling ethical issues,
prepare yourself and your future Air and Space Professionals today. Living an ethical life reduces the number of ethical
dilemmas a person faces.
Unethical people instinctively refrain from inappropriate behavior in the presence of ethical people, especially a person
who holds unethical people accountable. All the concepts you have learned up until this point enhance the leader's ability
to demonstrate ethical leadership.
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Knowledge Check
CONCLUSION
Ethical leadership is defined as the demonstration of appropriate conduct through personal actions and relationships and
the promotion of such conduct to subordinates through two-way communication, reinforcement, and decision-making.
Ethical leadership combines ethical decision-making and ethical behavior and occurs in both an individual and an
organization. A major responsibility of a leader is to make ethical decisions and behave in ethical ways, and to see that
the organization understands and practices its ethical codes. In terms of military service, ethical leadership includes
promoting the Air Force Core Values through goals, actions and behaviors, developing trust and commitment through
words and actions, being accountable for areas of responsibility, unit operations, and personal actions, and maintaining
checks and balances in one's self and others. Leaders must develop themselves and their Air and Space Professionals
when it comes to understanding ethical issues and standards. Communicating about ethics on a consistent basis is a key
component to ethical leadership. It is important for leaders to foster an ethical climate in their units in order for ethical
behavior and leadership to grow. Ethical leadership is a two-way process. Ethical leaders must direct their attention to
ethical issues, enforce ethical standards, and allow subordinates to bring up ethical issues with them.
Leadership is fundamental to the U.S. Air Force for building cohesive units by cultivating and empowering subordinates.
Through both words and behavior, ethical leadership promotes the Air Force Core Values, develops an environment of
trust, commitment, and accountability, and maintains a system of checks and balances on one's self and others.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity
does not report to the gradebook and you can retry it as many times as you want.
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Lesson 4 - Performance Evaluation
INTRODUCTION
Barnes Center, Introduction to Performance Evaluation (2020)
GNUTES
In this lesson, you will explore the performance evaluation system. Per DAFI 36-2406, Officer and Enlisted Evaluations System, the evaluation system
serves several purposes, first, it effectively communicates performance standards and expectations and provides meaningful feedback on how those
standards and expectations are being upheld. Additionally, the evaluation system serves as a reliable, long-term, cumulative record of performance
and promotion potential based on that performance. As a future supervisor, understanding the importance of the evaluation system is essential to
being an effective leader. First, let's start with understanding performance expectations.
PERFORMANCE EXPECTATIONS
Conducting Feedbacks Using the ALQs (2021)
GNUTEs
What do you want your subordinates to do? At the most fundamental level, you want them to
perform their duties efficiently, effectively, and safely while achieving the overall goals of the
organization. To do that, Airmen must clearly know what's expected of them. Developing
performance expectations is a matter of defining and clarifying. Two tools that serve to define
and clarify are job descriptions and performance standards.
Job Descriptions
DAFI 36-2406 establishes the below criteria for writing a job description for your Airman on their
performance evaluation. This information should also include the job description on the initial
feedback form .
• Enter information about the position the ratee held in the unit and the nature or level of
job responsibilities.
• The job description must reflect the uniqueness of each ratee's job.
• Be specific - include level of responsibility, number of people supervised, dollar value of
resources accountable for/projects managed, etc.
• You may mention previous jobs held during the reporting period only if it impacts the evaluation.
Performance Standards
A performance standard is a description of a level of performance against which an Airman's performance is measured. As a supervisor and leader,
you must give some thought to what your personal standards are. That being said, you must meet or exceed the standards you set for your Airman.
There's nothing worse than a leader who says one thing and does the opposite. Always make sure the performance standards you set meet the
attributes of an effective standard.
The first step to ensure your subordinates are successful is to establish proper standards and expectations. Performance standards and expectations
contribute to your organization being able to meet its goals. They describe what constitutes satisfactory performance on a job. Performance standards
are mandatory requirements the subordinate must meet that aren't clearly identified in the job description. Good performance standards help structure
clear expectations of what to do and how to do it. If possible, involve your subordinates in setting the standards under which you'll evaluate their
performance; this goes back to knowing your people and trying to build influence with them.
Four Attributes of Effective Standards
~Achievable or Attainable
Realistic, within reach
yet possible to exceed.
Specific
Clearly defined, expressed
without vagueness,
unambiguous.
Measurable
Observable
Behavior and results of
the behaviot· can be seen.
Using elements of
timeliness, quality,
and quantity.
Four Attributes of Effective Standards. Credit: Barnes Center for Enlisted Education.
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When you establish standards for your Airman consider existing Air Force standards outlined in various AFls and other documents such as:
•
•
•
•
•
•
The Brown Book, The Enlisted Force Structure
AFI 1-1, Air Force Standards
The Blueprint: Enlisted Force Development
DAFI 36-2903, Dress and Personal Appearance of Air Force Personnel
DAFMAN 36-2905, Air Force Physical Fitness Program
DAFI 36-2906, Personal Financial Responsibility
Additional sources for standards include The Blue Book, A Profession of Arms: Our Core Values, policy letters, and duty/career field-specific
instructions. These are just a few of the many references you may need to consider when establishing standards for your Airman. Even though
standards are often established as the minimum requirement of a task (minimum passing score for CDCs, job qualification, etc.) you should always
strive to develop your Airman to meet or exceed the minimum standards.
Write the standards down or type them out for the initial performance feedback session. This will be your action plan to reference throughout the
reporting period. Keep this plan simple and easy to follow, especially if you supervise more than one Airman.
Here is one example of a properly developed standard:
Complete all 26 core-training tasks within 30 days with no more than 2 errors.
Quantity
Time
Quality
Example of a properly developed standard. Credit: Barnes Center for Enlisted Education.
Once you determine appropriate standards and expectations, write them down in a plan. A written plan is a reference tool that helps you guide and
direct your subordinates in meeting all expectations. As a supervisor, you need to have a plan that will guide you and your subordinate in the right
direction toward mission accomplishment. Keep the plan as simple as possible, but be sure you clearly identify the job, the standards, and the
expectations. The best place to capture this plan is on the MyEval feedback platform.
Establishing appropriate standards and expectations isn't an easy process, so practice whenever you get the opportunity.
Knowledge Check
MONITOR PERFORMANCE
Barnes Center, Monitor Performance (2020)
GNurEs
Once your Airman understands what is expected, your responsibility is to monitor their
performance. Monitoring performance happens throughout the entire performance evaluation
(reporting) period. Monitor performance by directly observing behaviors to see what your Airman
is doing on the job and how well they are doing it. If the results meet or exceed your standards,
then chances are they are doing what you told them. If not, it is your job to find out why. Did
they misunderstand the standard? Was it an unreasonable or unrealistic standard? Did they
lack proper training? In other words, was it a capability problem or an inclination problem? If
your Airman failed to meet the standard because he/she lacked capability, then provide them
more training or modify the standard. If your Airman lacks inclination then you will need to find
out why. Perhaps you disengaged from your Airman and their inclination declined? Did you
forget to give them performance feedback? These are questions to ask yourself if your Airman's
tendency to complete a job, task, or meet standards declines. It is important to know that
sometimes you will do everything right and an Airman will still lack inclination. If this is the case,
you will need to use progressive discipline such as counseling or corrective actions to increase
inclination. Capability and inclination are important factors to remember and consider when you monitor your subordinate's performance.
To monitor performance, you must observe your Airman's performance, and collect examples of their work. Note their behaviors and the impact on
themselves, the team, the unit, and the mission. Monitor tasks your Airman performs regularly, tasks performed periodically, and assigned additional
duties. Observe performance over the entire reporting period and keep notes or a performance folder so you can determine typical
performance/behavior when you sit down to write the Enlisted Performance Report (EPR). Monitor timeliness, quality of work, communication skills,
organizational skills, responsibility, initiative, and professionalism just to name a few.
Monitoring performance on a regular basis makes it easy to provide feedback to subordinates in a timely manner, prevents many problems before they
get out of hand . You can monitor performance in three ways: directly, indirectly, or by observing a final product.
Direct Observation
Direct observation is probably the most popular way of monitoring performance. It involves observing your Airman's performance with your own eyes.
To get a true impression of day-to-day performance it is a good idea to stop by your Airman's office, flight, section, etc. The more you interact with your
Airman on the job, the more comfortable they will be with you observing their performance. Refrain from being a micromanager because this can
cause organizational stress for Airmen. Observe frequently enough to see your Airman's typical performance. Pay attention to their off-duty
performance and behavior as well. Additionally, some supervisors have one or two Airmen, so direct observation is easy; however, those with many
Airmen may not be able to use direct observation all the time.
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An example of direct observation: watching a subordinate perform a task with your own eyes.
Indirect Observation
If you have several workers, or if they're on different shifts or in different locations, you may want to use indirect observation with the help of trusted
peers. This type of monitoring involves relying on someone else to provide you with information about how your subordinate is performing. In other
words, you may have to work closely with other shift supervisors who work closely with your subordinates. Of course, this will require you to explain
what your standards and expectations are of your subordinates to ensure you're on the same page as the shift supervisor you're relying on for
performance information. You will also need to be aware of the standards of supervisor providing input as well as the attitude of the supervisor and if
they have any bias towards your subordinate. This type of monitoring could also include observations from customers, internal and external to your
operation. This is especially true for jobs that exist primarily to provide services to others.
An example of indirect observation: talking to customers about their experience with your subordinate.
Observing a Final Product
A third way to observe Airman performance is by checking completed work, products or services, and by talking to customers who received the
product or service. There is great value in looking at program reviews, customer service forms, letters of appreciation, inspection reports or staff
assistance visits to check completed work.
Monitoring performance gives you information necessary to prepare for informal and formal feedback sessions, evaluate their performance on the
Enlisted Performance Reports, and to make administrative recommendations. Monitoring is a continuous process as long as you are supervising
Airmen. It takes place before, during and long after the EPR is finalized.
Examples of observing a final product: nominations for awards via AF Form 1206, decorations, letters of counseling, etc.
Each method of observation has advantages and disadvantages; you should try to obtain as much information as possible from as many sources as
possible so you can formulate a well-balanced assessment of your subordinates' work habits and attitudes.
Knowledge Check
PERFORMANCE FEEDBACK
Barnes Center, Initial and Midterm Performance Feedback (2020)
0NUTES
Performance feedback is the single most important means for developing your Airman. Feedback tells Airmen where they stand in relation to the
established standards. Feedback can be formal or informal; however, the Air Force directs supervisors to deliver formal feedback to their subordinates.
Performance feedback is private communication regarding performance and professional development between Airmen and their supervisors (raters).
Formal feedback sessions are scheduled IAW DAFI 36-2406; however, you can conduct feedback more often if needed. Informal feedback can take
place anywhere, anytime and is generally given verbally. Feedback is mandatory for all enlisted Airmen and formal feedback sessions (initial and
midterm) must be documented on the Airman Comprehensive Assessment Worksheets; AF Form 931, AB-TSgt and AF Form 932, MSgt through
CMSgt.
Airman Leadership Qualities (ALQs)
Recently the Performance Feedback process migrated from the paper-based ACA format to the MyEval platform. This migration includes the
integration of Air Leadership Qualities (ALQs), a collection of 10 traits that encompass four broad performance categories. See below for a breakdown
of the performance categories and their respective ALQs.
Additionally, these ALQs align with a set of 24 Foundational Competencies that will form the foundation of personnel development for both the Enlisted
and Officer force structures. Both the Airman Leadership Qualities and Foundational Competencies can be explored in greater detail in The Blueprint
on pages 21-23.
Feedback Opportunities
Initial Performance Feedback
Initial Feedback is where you establish expectations for the upcoming rating/reporting period. As a supervisor, you are required to deliver an initial
feedback session within the first 60 days of your assignment as a supervisor. You will conduct an initial feedback for all Airmen you supervise.
Midterm Performance Feedback
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Midterm feedback must occur between the date supervision began and the projected EPR closeout date. (Exception: For ABs, Arnn, and A1Cs with
less than 20 months Total Active Federal Military Service, conduct performance feedback every 180 days after the initial performance feedback
session until the supervisor writes an EPR or a Change of Reporting Official occurs.) The midterm feedback is your opportunity to evaluate an
Airman's performance midway through the evaluation period and inform him/her of how well he/she has been meeting the standards established
during the initial feedback. This is also a good time to develop a plan to correct any deviations noted up to this point.
Knowledge Check
FEEDBACK SESSION ACTIVITIES
Pre-Session
• Diagnose what type of feedback (communication) you will deliver.
• Start by reviewing the most current copy of the Airman Comprehensive Assessment Addendum ALQ worksheet, AF Form 724-A, from the Air
Force a-Publishing website.
• Initiate the feedback session through the MyEval platform.
The MyEval Feedback is based on the Airman Comprehensive Assessment Addendum - AF Form 724-A. View and familiarize yourself with the
document.
Knowing Your Airman
Building a good rapport and knowing your Airman is vitally important when serving as a frontline supervisor. By knowing your Airman, you become
better able to motivate and lead them towards their own goals and the goals of the organization. Prior to the feedback session take some time to
inquire about your Airman's goals; both personally and professionally. Ensure he/she understands how to set goals that are SMART (specific,
measurable, attainable, realistic, and time-bound). Specific goals can motivate an Airman towards high performance. Examples of specific goals could
be anything from finishing CDCs on time with an 80% or above to earning SrA Below-the-Zone. A vague goal can lower an Airman's motivation, cause
disinterest, or worse lead them down the wrong direction. Measurable goals have numerical measurements tied to them such as time, percentage,
numbers. Realistic goals should challenge your Airman but be within reach for them. Goals that are time-bound have a time limit specified. You may
find during feedback sessions you spend quite a bit of time talking about standards and goals and this is okay. When you know the personal and
professional goals your Airman sets, you can better assist him/her in reaching those goals. Openly discuss these goals, share your own experiences,
and most importantly mentor your Airman. The objective is to foster an environment of open communication.
Additionally, take some time to check in on your Airman and learn about any of the stressors that may be affecting or that may impact their
performance. Help your Airman recognize stressors by talking openly about stress during your feedback sessions. It is also important to help your
Airman set goals for reducing stress. As a supervisor, you will face stressors of your own ... how you deal with stress and seek assistance will set the
example for your Airman to follow.
Finally, it is important that your Airman understand the importance of being a good wingman and having a mentor. Share personal experiences you've
had with being a wingman and mentor. This will help your Airman open up to you. If your Airman discloses that he/she does not have a mentor or a
wingman ... don't be alarmed. Teach your Airman what to look for in a wingman and mentor. Supervisors should strive to become good wingmen and
mentors for their Airman. However, you should not feel insulted if your Airman seek out mentors and wingmen from other places. You should
encourage your Airman to have mentors who can help them further develop both personally and professionally.
Preparing for the Feedback Session (Initial and Midterm)
Think of a few open-ended questions you would like to ask your Airman. Open-ended questions begin with words like how, why, what, etc. Spend time
discussing these areas with your Airman. Open-ended questions will spark conversation and help you learn more about your Airman. Have a few
personal examples/experiences to share with your Airman in regard to Responsibility, Accountability, Air Force Culture, and the importance of
Self (goals, family, quality time, etc.).
During your feedback sessions, you should be prepared to discuss and explain your Airman's critical role in support of the mission to them and answer
any questions they may have.
During the initial feedback session, it is important that you discuss the importance of the Airman Leadership Qualities with your Airman. You should still
have a conversation about each section of the ALQ Feedback. This is very important for the First-Term Airmen you supervise who will require detailed
information about standards and expectations. The initial feedback session is also a great place to explain processes that are new to your Airman
such as duty-related processes, how to access Leaveweb, MyPers, update their vMPF information, update assignment preferences, etc. The initial
feedback session should be conversational and encourage involvement from your Airman. All Airmen want to know what is expected of them, but our
newest Airmen are excited to meet their supervisors and to begin performing their duties. An effective initial feedback could take a half hour to an hour
or more to complete.
The midterm feedback session is where you tell your Airman how their performance measured up to the standards you set during the initial feedback
session. You will mark your Airmen in the appropriate word picture block for each section based on their performance.
DELIVERING INITIAL FEEDBACK
When it's time to deliver initial performance feedback to your Airman, you should find a quiet location where you will not be interrupted. An office,
conference room, or other location is recommended, but not mandatory. If you don't have an office to use, don't worry. Supervisors give effective
feedback every day in quiet comers of dining facilities, base resource centers (formerly base libraries), park picnic areas, or in a quiet area on the job
site. Schedule the feedback session well enough ahead of time so your Airman is prepared and anticipating the session.
When you planned for the session you completed the Pre-Session steps of the Interpersonal Sessions Model. Now you will begin to work your way
through the actual performance feedback session steps.
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Interpersonal Sessions Moclel
Step 1: Establish rapport and state the purpose of the session explain why you are having the session and tell them the session is
two-way communication between both of you. (OPENING)
Diagnose
Step 2: Encourage the ratee to appraise their own performance listen to them and avoid dominating the discussion. Use open-ended
questions, not "yes/no" questions. (ATTENDING, RESPONDING, &
RESOLVING)
Pre- Session
Prepare
Step 3: Initial Feedback - explain the expected performance
standards and discuss the Airman Leadership Qualities with your
Airman. (ATTENDING, RESPONDING, & RESOLVING)
Step 4: Ask your Airman for comments throughout the session actively listen when your Airman presents his/her comments.
(ATTENDING, RESPONDING, & RESOLVING)
Step 5: Negotiate a performance agreement they would like to improve. (RESOLVING)
ask your Airman how
Step 6: Set future goals - set specific goals that are clear and can
be measured against the standards you set. (RESOLVING)
Responding Skills
Session
Resolving Skills
Closing Skills
Follow-up Actions
Post-Session
Step 7: Close the session by reflecting on what was discussed and
end the session on a positive note. (CLOSING)
Step 8: Schedule a follow-up (Post-Session) with them on any specific items you discussed during the feedback which require additional information,
resources, assistance, etc.
Delivering Midterm Feedback
The midterm feedback is delivered halfway between the initial feedback and the end of the reporting period. The same Interpersonal Sessions Model
steps apply; but this time you will review your Airman's performance over the previous months and measure how well they measured up to the
established standards.
When you deliver the feedback, tell your Airman exactly how their actual performance measured up against the standards i.e., did not meet, meet, or
exceeded the standards you set during their initial feedback. Give specific performance examples to explain why you marked them in where you
marked them for the word pictures.
If your Airman did not meet standards, prompt them to resolve and establish an action plan. If your Airman violates standards or does not meet your
expectations, ensure you clearly re-state the standard and explain how to adjust performance to meet or exceed standards. It is very important to
focus the on behavior or results, not the person . The midterm feedback gives your Airman an opportunity to improve their performance before the EPR
is written.
DEVELOPING IMPROVEMENT PLANS
As a supervisor, you continuously set performance standards, observe performance, provide feedback, and evaluate performance. From time to time,
you may need to create improvement plans for your Airmen. Do not assume an Airman's shortfall in performance is entirely his or her fault. Sometimes
you have to improve your Airman's performance by improving the subordinate, the job, or the situation.
Improving the Subordinate
The first action you can take to continue developing your subordinates is to build on their strengths. By building an Airman's strengths, you may
eventually help them overcome their weaknesses. Think back to an example when a supervisor or mentor helped you capitalize on your strengths
while improving a weakness. For example, you have an Airman who is excellent at training new Airmen on the job, but he/she is afraid of public
speaking. Perhaps you sit down with that Airman to develop their public speaking skills by using what they know- The Job. You start small, by having
the Airman conduct OJT briefings for the new Airmen. Then you give your Airman opportunities to deliver mission briefings during training days and
eventually when DVs visit the squadron.
Another way to help improve a subordinate is by tying performance improvement efforts to the subordinate's personal goals/interests. When your
Airman realizes their personal goals and interests are considered, they will likely want to continue to grow and improve. This helps Airmen see how
improving themselves improves the organization.
Improving the Job
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Barnes Center, Improve the Job for Your Subordinate (2020)
LEADING PEOPLE
GNUTEs
You can improve the job by addressing things like the necessity of tasks,
appropriateness of tasks, and job design. Evaluate the necessity and
appropriateness of tasks in order to determine whether all tasks are needed
(no duplication of effort). Also, find out if all tasks promote mission
accomplishment. If not, eliminate unnecessary tasks; this could improve your
subordinate's efficiency and motivation. Of course, you should obtain
permission from your supervisor or superintendent to ensure that your
recommended changes don't violate an AFI, Operating Instruction, Technical
Order, etc.
Improving the Job
Job design focuses on analyzing and grouping tasks into recognizable and
definable units. Three aspects of job design are job rotation, job enlargement,
and job enrichment. After a year of fulfilling certain responsibilities, it's time to
increase the expectations. You can't expect your subordinates to fully develop
if you never give them increased responsibilities with new duties. Consider
adjustments to your current job design to improve worker performance and
help subordinates continue to develop.
Improving the Situation
Sometimes, the situation or work environment is inappropriate for a subordinate. If this is the case, you may need to devise an improvement plan that
will address organizational design, physical layout of the work facility, resources available to accomplish required tasks, work schedules, and your
supervisory methods. Don't be afraid to get creative with implementing "outside the box" changes; just remember to get approval so you'll have
support from your leadership. However, if the situation isn't the problem, take a look at the job itself.
An important thing to remember is that improvement plans differ from one subordinate to the next. Each one must be uniquely designed to meet the
specific needs of the subordinate, as well as to contribute to work center effectiveness. Regardless of the plan you devise, make sure you
communicate it clearly and all new standards and expectations are understood. In other words, you'll be starting the entire evaluation process all over
again!
People often see the Enlisted Evaluation System (EES) as just a formalized process of completing PFWs and writing EPRs for subordinates. While
these forms are important, the process is really about developing more capable Airmen - the performance reports merely capture that development,
performance, and future potential.
This critical process involves both you and your subordinates and is designed to help your subordinates meet and exceed the Air Force's goals,
expectations, and objectives. Knowing how to create performance expectations, monitor performance, evaluate performance based on your
established expectations, and provide effective feedback and counseling, will give you necessary information to make sound administrative decisions
and continue to help your subordinates grow. This benefit alone is huge, but even more importantly, you should have highly qualified and selfmotivated Airmen.
The supervisor is the key to the entire process; that's you! It's imperative you keep an open mind and learn all you can about EES. Then, when it
comes time for you to write an EPR, or apply any other part of the EES process, everyone will benefit - you, your subordinates, unit, Air Force, and
the American taxpayers.
Knowledge Check
CONCLUSION
In this lesson, you explored the performance evaluation system and learned about the importance of establishing performance factors, providing
comprehensive feedback, and developing improvement plans. How well Airmen do their jobs and the qualities an individual brings to the job are of
extremely important to the Air Force. As a future supervisor, it is critical that you have a fundamental understanding of how the evaluation system
works and the role a supervisor plays in helping support the Air Force mission by evaluating your subordinates on a fair and consistent basis.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity does not report to the
gradebook and you can retry it as many times as you want.
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Lesson 5 - Standards and Discipline
INTRODUCTION
Barnes Center, Introduction to Standards and Discipline (2020)
0NUTEs
As NCOs, you will use discipline daily, but discipline is not just about "fixing" things. In fact, discipline as a preventive
measure is a very powerful way for us to maintain peak performance within our work centers. Our Airmen look to us for
guidance, standards, and for correction when necessary ... discipline is the key to ensuring we and our subordinates
meet, and even exceed all expectations. In this lesson, you will cover topics such as attributes of effective standards and
the progressive discipline process, as well as the various types of actions available to you as a first line supervisor.
However, before you get started, you need to become familiar with a few key terms related to this lesson.
Barnes Center, Discussion of Key Terms (2020)
@NuTEs
Discipline is not a term used solely in the military. Olympic athletes, military heroes, and great leaders all possess the
discipline to maintain a lifestyle conducive to achieving their goals and self-actualization. They devote themselves to their
life's calling, often without ego or a strong need for external influence. Discipline enables them to adhere to their own set
standards. Discipline is necessary for a military to function properly and professionally. The ultimate goal is for all Air and
Space Professionals to be self-disciplined to uphold our Core Values, United States Constitution, and bring honor to our
Nation. Discipline is necessary to guarantee fairness, accountability, and mission success.
STANDARDS
Barnes Center, Effective Standards (2020)
@NuTEs
Without standards it would be difficult to perform your job. Standards are the foundation for expectations. Standards are
"morals, ethics, or habits established by an authority, custom, or an individual as acceptable behavior." Now, take these
attributes into consideration of your role as a supervisor. One of the standards your supervisor will likely have for you is
your ability to set standards for your subordinates. AFI 1-1, Air Force Standards, serves as a guide for supervisors on
setting appropriate standards for your Airmen. This guide will help you to address and establish standards pertaining to
Military Ethics, Dress and Appearance, Duty Performance, Financial Responsibility, Professional and Unprofessional
Relationships, etc.
You can use AFH 36-2618, The Enlisted Force Structure as a guide to measure your subordinate against the
standards of expected performance commensurate with their appropriate rank. Once you communicate those standards
with your airmen, you will then be responsible for holding them accountable to those standards.
When you establish standards, you will need to keep four attributes in mind:
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Four Attributes of Effective Standards
Achievable or Attainable
I
Realistic, within reach,
ye< possible<ol xceed.
Observable
Measurable
Behavior and results of
the behavior can be seen.
Using elements of
timeliness, quality,
and quantity.
Four Attributes Effective Standard. Credit: Barnes Center for Enlisted Education.
How do you know your standards are effective? In addition to the attributes above, effective standards aren't too high
(the first draft of every document must be one hundred percent free of grammatical errors) or too low (pay some of your
bills on time). Standards at the appropriate levels ensure each standard is attainable and inspires excellence.
When you establish a standard, make sure you have the authority to do so. You can gauge your level of authority by
checking the standard against some other authority (AFls, commander policy, etc.) to ensure your standard is not already
in place and that it won't contradict previously established guidance. In other words, you can't establish a standard that
violates one that is already established.
Finally, remember you must exceed the standards and expectations levied upon Air and Space Professionals, epitomize
excellence, and lead by example through exhibiting professional behavior, military bearing, respect for authority, and the
highest standards of dress and appearance.
Your ability to demonstrate strict adherence to standards will likely reduce the amount of discipline you must administer.
Once you've decided the standard is necessary, proper, and effective, you can rely on Articles 91 and 92 of the UCMJ to
back up your authority to ensure compliance with the standard, as these articles provide authority to noncommissioned
officers in the U.S. military.
Knowledge Check
NCO AUTHORITY
Barnes Center, Sources of Authority (2020)
GNurEs
NCO Authority is defined as "the right to act and command" and is complimented by three legal sources found within the
UCMJ: Article 91 , Article 92, and Article 7.
Earned authority is another source of NCO authority. While legal authority holds Air and Space Professionals
accountable when they fail to meet standards, earned authority encourages Air and Space Professionals 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.
Knowledge Check
DISCIPLINE
Barnes Center, Types of Discipline (2020)
0NurEs
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Discipline comes from the word "disciplinare," which
means to teach or instruct. Your job as a supervisor is to
create and maintain good order and discipline.
Unfortunately, most people hear the word discipline and
immediately think "trouble" or "punishment." Discipline is
different from these terms because discipline is not just
redirecting someone; when effective, discipline
involves correcting, training, nurturing, and advising.
Proper discipline shows a person where they failed, how
to correct the behavior and encourages them to retry with
success. Sometimes, this does involve administrative
action or punishment; however, most often it is a lower
level of correction. The purpose of discipline is to develop
people who are able to control themselves and do what is
right all the time, every time.
Although it can be uncomfortable and difficult, you must
discipline your Air and Space Professionals to ensure they
comply with set standards. Remember that when
someone does not meet a standard, it is not always
because they are unwilling. Sometimes people are unable
to perform a task or provide a product. This is one of the reasons why it is imperative that you always gather background
information before jumping right to discipline.
Sometimes you may be one of the first true examples of discipline for your Air and Space Professionals. Your adherence
to standards will light the way for your subordinates, especially for those whose home environment may have been one
where their role models did not practice or enforce discipline. Recognize that you cannot control the skills, knowledge, or
ethics your Air and Space Professionals bring through the work center door. You can, however, influence their skills,
knowledge, and ethics once they are under your supervision. Create a work environment that encourages self-discipline.
If your subordinates truly comprehend that no one is responsible for their actions except themselves, they are more likely
to enter self-discipline mode.
However, if self-discipline fails, you have two options available to you as a supervisor: preventive and rehabilitative
(also known as corrective).
Preventive
Preventive discipline stops a problem from happening before it starts. Preventive measures emphasize communication
of standards, two-way communication, and encouraging each person to do his or her best. They promote an environment
of understanding and allow for clarification of standards, as needed. You must be professionally familiar with your
subordinates to establish this type of environment. You need to know how he or she is motivated, how he or she learns
best, and how he or she best takes guidance and direction. However, despite your best efforts to promote an
environment of self-discipline, sometimes your Air and Space Professionals will fail to meet standards and make
mistakes you must correct. This is where corrective discipline becomes necessary.
Examples of preventive discipline:
•
•
•
•
initial feedbacks
safety briefings before three-day weekends
rewards
training/education
Corrective
Corrective (or rehabilitative) discipline restores discipline and/or improves performance. These are the measures you
take once someone falls below standards and you must return him or her to the level of acceptability (the standard).
Remember the reason for discipline is to bring behavior back within acceptable measures, so only take the amount of
force necessary to correct the behavior without breaking the airman's will to improve. Different situations, different
personalities, and different past experiences will influence which measure of correction is most suitable for your airman.
Remember, the more effective your early disciplinary measures are, the less likely you'll have discipline issues in the
future.
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Examples of corrective discipline:
• counseling
• admonishment
• reprimand
Knowledge Check
PROGRESSIVE DISCIPLINE PROCESS (PDP)
Barnes Center, Progressive Discipline Process (2020)
@NuTEs
As the name implies, the PDP is a progressive approach to discipline. The PDP is a foundational tool to use with wisdom
and discretion. When an airman's performance falls below the standard/line of acceptability (LOA) you must apply the
PDP (see image) to ensure compliance and maintain discipline. Progressive discipline is the goal; however, there may be
times when an Airman's behavior indicates the need for more severe action. For example, an alcohol related incident,
assault, DUI, etc. may lead directly to an Article 15, UIF, or a punishment (loss of rank, pay, etc.).
IMPORTANT NOTE: See AFI 36-2406, Officer and Enlisted Evaluations Systems, 21 June 2021, paragraph 1.8
"Evaluator's Mandatory Considerations" and paragraph 1.11 "Mandatory Comments" when preparing performance
evaluations.
The line of acceptability is your ruler for expected behavior and performance. Remember, your supervisory line of
acceptability consists of the standards that AFls, commanders, leaders, and you have set for your Air and Space
Professionals.
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PROGRESSIVE DISCIPLINE
USE THE LEAST FORCE NECESSARY TO MODIFY BEHAVIOR
Line of Acceptability (LOA)
D
Three Ways to Strengthen:
1. Level of the giver
2. Form of Presentation
3. Disposition of Document
Verbal
Coun..llng
w ritten
s
Counseling
t
a
Verbal
• Discipline tied to limiting:
- Liberty
- Status
- Property
A dm onls:hm.nt
n
Written
Admonlshrn.nt
C
Verba l
Reprimand
e
f
r
TWO-WAY
COMMUNICATION
0
(Discipline)
w ritten
R•prlmand
Unfavorable
lnlormatlon
FIi•
Control
m
Roster
t
ONE-WAY
COMMUNICATION
h
e
Court
Martial
(Discipline)
L
0
A
Commander Actions
(Includes Punishment)
C
Degree of Severity
Progressive Discipline Process. Credit: Barnes Center for Enlisted Education
The level of discipline you select should be an informed choice using what you know about the airman, why they failed,
and how to best bring him or her back within standards. Two of the main factors that will help you determine which level
of discipline is appropriate are the nature of the incident and the individual's previous disciplinary record. Once you
have applied a level of discipline (for example, you issue a letter of counseling (LOC) for an infraction), the next time you
discipline the airman for the same violation you should take a more severe form of discipline, or "step down" the
discipline staircase.
NOTE: Remember that the degree of severity is not only determined by the number of times the airman has
failed to meet standards; the other determining factor to guide you to the appropriate level of discipline is how
far your airman departed from the line of acceptability. For example, if your subordinate tells you she assaulted
her spouse last night, even though it may have been her first offense, you certainly would not issue a letter of
counseling for this severe of an infraction.
Knowledge Check
COUNSELING, ADMONISHMENTS, AND REPRIMANDS
Barnes Center, Progressive Discipline Levels (2020)
0NurEs
Counseling
Counseling (whether verbal or written) is the first step in the PDP because it encourages two-way communication. This
two-way communication is vital to effective discipline because it allows you to explain to the airman what he or she did
wrong and quickly correct the behavior before it deteriorates further. It allows the subordinate to explain his or her
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perception of the standard, explain why he or she failed to meet it, and recommend a rehabilitative course of action to
ensure future success.
According to AFI 36-2907, Adverse and Administrative Actions, the purpose of individual counseling is to help people
use good judgment, assume responsibility, and solve their own problems. Remember when you use counseling, the goal
is to help the individual, not make him or her feel worse about failing. When you counsel, show genuine concern for the
person and his or her development. Be specific, be honest, and be tactful/sensitive as needed.
If you are counseling a subordinate on an issue you lack experience in dealing with or you are uncomfortable discussing
it then you should consider referring your airman to the appropriate outside agency who can assist him or her.
Remember, you are not a licensed counselor. If your Air and Space Professionals require specific help (mental health,
family advocacy, sexual assault response coordinator, legal office, equal opportunity, Inspector General, chaplain, Area
Defense Counsel, or Airman and Family Readiness Center just to name a few) work with your First Sergeant to get your
Air and Space Professionals the appropriate help/resources.
If you determine that counseling is not effective or it is not the proper level of discipline to administer based on your Air
and Space Professionals behavior(s) you may need to administer an admonishment or reprimand. Quite often a letter of
counseling, admonishment or reprimand will be enough to change your airman's behavior and get them on the right
track. If you're not sure which method is best in a particular situation, consult your supervisor, other experienced NCOs,
or your first sergeant for advice. Remember to administer Progressive Discipline fairly amongst your Air and Space
Professionals. Your Air and Space Professionals pay attention to how you enforce discipline in the work center, and you
will lose their trust if you are inconsistent with progressive discipline.
Admonishments and Reprimands
When counseling fails, or if it is not the appropriate first step in the PDP, admonishments and reprimands are also
effective administrative corrections. To be effective, you must apply these disciplinary tools equitably to your
subordinates. Know that your people will notice when you deviate from your own "standard" for discipline. If you're not
sure which method is best in a particular scenario, consult with your supervisor, other experienced NCOs, and perhaps
even your first sergeant.
UIFs and Control Rosters
If discipline (counseling, admonishment, and reprimand) has failed to correct an individual, or the behavior is severe
enough to warrant increased actions, four additional options are available to the airman's commander. Only the last two
options of the PDP are considered punishment, so enlisted personnel may not administer them; they are reserved for
commissioned officer/commander use only. However, as a supervisor, the first sergeant and commander will usually ask
you to meet with them when they are considering punishment actions. This is because your voice as the first-line
supervisor carries significant weight and assists the commander with his or her decision when administering punishment.
The Unfavorable Information File (UIF} is the first of these options. Since UIFs are the commander's tool, only he or
she can establish one. The commander is also the only person authorized to add or remove UIF information; however,
other authorized individuals in the unit and on the base have access. These include, but are not limited to, the individual
who has the UIF, unit first sergeant and commander, legal office personnel, Office of Special Investigations (OSI)
personnel, and Military Personnel Flight personnel.
If establishing a UIF fails to yield results, the last stop before nonjudicial punishment is the control roster. It is a listing,
maintained by the MPF, showing base personnel who, due to their on-and/or off-base conduct, require special attention
or observation. Placing a member on a control roster is a rehabilitative tool, giving the member a chance to improve his
or her conduct. Immediate commanders have authority to place an airman on the control roster, but there is never a
requirement to do so. Control roster actions are purely at commander discretion and the observation period is six
months. Hopefully, the airman will realize he or she is in desperate need of correction and will turn oneself around before
nonjudicial punishment becomes necessary.
Nonjudicial Punishment (NJP)
Nonjudicial punishment (NJP} works in conjunction with the Uniform Code of Military Justice (UCMJ) to allow an
individual to accept punishment in lieu of trial by courts martial. As such, it is one of the commander's most valuable tools
for maintaining good order and discipline. While you are not expected or required to know each article of the UCMJ, you
should be very familiar with the legal process and military justice system. Prior to offering nonjudicial punishment (also
known as Article 15), commanders should consider factors such as the nature of the "Throwing the Book" offense, the
circumstances, the offender's age, rank, record, and the maximum sentence that a court-martial could impose for the
infraction.
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Although it falls in the "punishment" range, NJP is a rehabilitative tool because it promotes positive behavior changes
without the disgrace of a courts-martial conviction. Punishment usually consists of removal of liberties, pay, or privileges.
While enlisted personnel are not authorized to punish, we can (and likely will) be expected to provide input to the
commander on an Airman's behalf to help ensure the commander makes an appropriate decision for the Airman when he
or she is considering NJP. Once the commander meets with the Airman and offers him or her nonjudicial punishment, the
Airman has three duty days to accept or decline the NJP. If he or she declines the Article 15, the next action may be
through military courts.
Documentation
In accordance with AFI 36-2907, Adverse Administrative Actions, you can document LOCs on an AF Form 174,
"Record of Individual Counseling," or using letterhead stationery. There is no specific format for LOCs, but they (and all
other written discipline) should accurately reflect the dates, facts, recommended improvements, and any other significant
data. When writing LOCs, LOAs and LORs, consult with your unit first sergeant and/or base legal office, as there are
particular comments and formats for these documents that include Privacy Act and usage statements. (If you fail to
include all the mandatory verbiage, your documentation may be useless if further corrective measures occur.) Also, if an
airman continues to have disciplinary problems, you must coordinate through your chain of command to the commander
so he or she can ensure certain documents are filed in the UIF, if it is already established.
Whether an Airman has a UIF or not, ensure that you include your commander support staff and first sergeant when you
administer discipline to ensure it becomes part of the airman's official record. The Air Force does not consider discipline
actions filed in your desk as "official communication" because they are not part of a file plan. Therefore, they will not be
valid evidence if the airman's commander recommends him or her for NJP or other punishment. If your unit does not
keep Personnel Information Files (PIFs) on the file plan, you may want to discuss building a file for the airman as part of
the Commander's Support Staff's official file plan.
We've already covered quite a bit of formal documentation with LOCs, LOAs, LORs, and Article 15s, but remember you
always have verbal corrections as part of your discipline inventory. If you use verbal discipline, ensure you document it
using a memorandum for record (MFR). Both you and the airman receiving the discipline should sign the MFR.
Sometimes, you will have Air and Space Professionals who are resistant to your corrective efforts. If you need to send a
stronger message, you can have your supervisor or someone else higher in your chain of command sign and administer
the correction.
Whatever level of leadership issues written disciplinary actions, ensure the following criteria are stated:
•
•
•
•
What the member did or failed to do, citing specific incidents and respective dates
The expected improvement
Further deviations may result in more severe actions
The individual has three duty days to submit documents to the initiator for his/her consideration (due process).
This ensures fairness to the Airman, and also gives the initiator the "full story" to help him/her make an informed
decision for the document's disposition
• That all supporting documents from the individual will become part of the official record
Also, ensure you have a place on the letter for the individual to acknowledge receipt, such as "I acknowledge receipt of
this document on _xx Jan xx_ at _xxxx_ hours. I do/do not intend to submit comments on my behalf. If I submit
comments, I understand I have three duty days to provide them to the initiator of this document."
Knowledge Check
CONCLUSION
In this lesson, you covered supervisory tools to help you maintain standards and discipline when you become a first line
supervisor. These tools should not be used lightly. Instead, you should think of them as corrective tools to use in order to
bring your people back in line once they deviate. As a supervisor, you are closest to your people to detect issues before
they become problems. Use the tools you've learned to assist you in holding yourself and your people accountable to not
only your expectations, but the standards set by the Air Force.
Check your knowledge!
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Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity
does not report to the gradebook and you can retry it as many times as you want.
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Lesson 6 - Teams
INTRODUCTION
Barnes Center, Introduction to Teams (2020)
0NUTEs
Think back to the best performing team you've been a member of. It could have been a work team, a sports team, of even a
project team. How did you feel about the team? What made it so great? When you take an inside look at well performing
teams, there are universal qualities you should see. In this lesson, you'll cover the qualities that move a group to a team.
You'll also see how groups progress into teams by moving through the stages of team development. In the end, you should
learn how to transition a group into a team. Let's begin by distinguishing between a group and a team.
GROUP VS TEAMS
A team is a group organized to work together. This may seem like a simple definition, but there are several aspects to review.
This definition consists of a few critical attributes:
• a group
• organized
• work together
A group is an assemblage of persons or objects located or gathered together. It is worth noting that all teams are groups, but
not all groups are teams. The distinguishing factor seems to revolve around the collective effort toward a shared goal that
all teams demonstrate. This collective effort explains the difference between a highly effective team and people on a bus.
While both collections of individuals qualify as a group, the individuals on the bus lack a collective effort toward a shared
goal. It is true they share the common goal of traveling to their respective destinations - and some may even be going to
the very same one - but they are not actively working together to achieve those goals; they are passengers in obviously
passive roles.
The difficulty we have as leaders is getting our people to perceive themselves as more than a group, but as an actual team.
Teams are committed to their members' personal growth. A team will outperform a group and all reasonable expectations of
the individual members. This is because a team has a synergistic effect; one plus one equals a lot more than two.
Some of our work centers suffer from this lack of collective effort and view themselves as collections of individuals simply
tasked to do their part until members PCS, separate, or retire. This is usually because they do not know, understand, or buy
in to their mission/vision.
Knowledge Check
TEAM ROLES AND RESPONSIBILITIES
Great teams achieve success for a number of reasons. At the top of the list is transitioning from a group to a team and the
effective fulfillment of roles and responsibilities. When your Air and Space Professionals perceive themselves as a team, they
can work together more effectively. Therefore, when their roles and responsibilities are understood and then applied, the
team usually achieves, and oftentimes exceeds, the goals set forth in its path.
Team Leader
In the book, Team Work and Group Dynamics (1999), Greg Stewart remarks that the team leader is the person who
manages the team. Ordinarily, a team leader is a supervisor or manager in the project area. Because he or she is so close to
the project, he or she will be better able to guide the members of the team. It is important for the team leader not to dominate
the group. He or she should also practice active listening and participate in discussions only as much as necessary
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depending upon the maturity and experience levels of the team. This participation and
active listening should encourage other team members to become more active.
An effective leader must learn to control the urge to over-direct the team. There must be a
middle ground between providing no direction and being over directive.
Role of the Team Leader
The Team Leader manages the team by calling and facilitating meetings, assigning
administrative details, and organizing all team activities. Additionally, the team leader:
•
•
•
•
•
•
•
•
Represents the team to senior leadership
Provides guidance and direction
Focuses on team goals, behaviors, and standards to accomplish the mission
Listens actively and encourages total participation
Promotes open and clear communication
Rewards the team for performance
Creates a non-threatening environment
Articulates mission, vision, expectations, and guidelines
Responsibilities of the Team Leader
Team leader responsibilities include communication skills, human relation skills, and participation skills.
Just as a flock of geese has a head goose that leads the "Flying V," the head goose has a team behind it, cheering it on, and
completing the rest of the team as the team members.
Team Members
Team members, for obvious reasons, make up the bulk of the team. They are usually functional experts in their respective
areas and bring a wealth of ideas to the team. Their contributions to the success of the team's goals and objectives can
never be underestimated. It is important for the leader to know and understand each member, and his or her skills, talents,
and personality. With this information, the member can be put in the best position to effectively contribute to the team.
Furthermore, with this information, the team member can surpass contributing and be the best fit for a particular
responsibility. This ensures he or she not only fulfills the need of the team, but also fulfills his or her need to feel valued. This
concept is often referred to as aligning versus assigning. If a team leader can align a team member to a particular function
according to what they are good at and enjoy doing, the team has a happy, motivated member and has the best person
fulfilling that particular responsibility.
Role of the Team Member
The primary role of the team member is participant; that is, one who actively participates. This role is fulfilled through:
•
•
•
•
•
•
Sharing knowledge and expertise
Participating in all meetings and discussions
Carrying out all assignments
Being creative
Supporting all team efforts
Seeking challenges
Responsibilities of the Team Member
Just like the team leader, team member responsibilities are communication skills, human relation skills, and participation
skills.
To Lead or to Follow, That is the Question
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The leader is responsible for the direction of the team and to make that happen, there will be times when, for the betterment
of the team , they must be willing to follow and allow a member to step up to the leader position. As the team leader, it is
important to recognize this, act on it, and encourage others to do the same. For example, the team leader is not the expert
on everything. He or she must recognize this and provide the expert the latitude to lead in that arena.
There is also a good chance the team leader's team is also part of a bigger team. In this case , it is important for the team
leader to recognize that he will not be in charge but must follow the leadership above him or her, e.g., NCOIC, shop chief,
superintendent, commander, etc.
As team leaders and team members, it is critical to understand that your people are what make up the team; managing and
leading them appropriately will increase the chances of having a successful team. Establishing a dynamic that brings about
the best in each player can be one of the toughest acts of leadership. Understanding how the people work together is called
team dynamics.
Team Dynamics
Team dynamics can be defined as: " ... an ongoing process involving interaction of individuals within a team to achieve
the desired objective." This definition contains three critical and interrelated attributes:
Groups are usually formed without consideration to each person's 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 partner's skills and responsibilities
(roles). Cohesive teams have the ability to realize the needs of their teammates, are considerate of their strengths, and use
these strengths and needs to help the team reach its objective. It is this understanding among team members that proves
vital to the team's development and overall success and is the epitome of teamwork. Webster's 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."
- Webster's Dictionary
Whether you work for a small-town grocery store with ten employees or a squadron with two hundred assigned, your
organization's success is a result of teamwork. Without teamwork, people are likely to pursue their own personal dreams and
agendas, allowing the mission to sit idle. However, effective teamwork directs the energy of all towards one concerted effort,
which typically leads to incredible results. Teamwork not only benefits the team but also the member because good
teamwork makes each team member better.
You can see that teams are different from groups because members have a commitment to each other, along with specific
roles, skills, and experiences. Without the commitment to each other's and the team's success and growth , you only have a
group of people. There is nothing special about a group, but a team gets the job done with a focus on each other's success
and the task at hand.
Knowledge Check
STAGES OF TEAM DEVELOPMENT
Barnes Center, Stages of Team Development (2020)
GNUTEs
All teams start as a group and gradually or rapidly head toward the goal of becoming a team. According to psychologist
Bruce W. Tuckman, teams progress through five predictable stages to maturity. Understanding these stages helps teams
recognize , accept, and work through issues big and small to become a well-functioning team. Overreacting can be
detrimental to a team in achieving its goals and often causes members to take things too personally. One thing is certain, no
matter how well team members work together, the progress is usually never smooth.
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Tuckman's Model
degree of guaidancc
eded from manager
• Individual role arc
unclear
• Proces usually not well
e tabli hcd
D
• Team is committed to
performing well
• I;ocuscs on being
strategic
• Team runs well with li ttl
oversight
•
ndcrstaning how team
decisions arc made
• Purpose is clear, but team
relation hip arc blurr
• Relationships arc well
understood in the team
• Commitment to team
goals
• Begi ns to work to
optimize team process
Tuckman's Model for Team Development. Credit: Barnes Center for Enlisted Education.
Forming Stage
When a team is forming , members cautiously explore the boundaries of acceptable group behavior. Like hesitant swimmers,
they stand by the pool, merely putting their toes in the water. This is a stage of transition from individual to member status,
and of testing the leader's guidance both formally and informally. Because there is so much going on to distract members'
attention in the beginning, progress on work or team goals is slow. This is perfectly normal.
During this stage, everyone is on his or her best behavior and group members become acquainted with each other. Every
team begins with this initial stage of team development. After the initial excitement and enthusiasm during the forming stage,
team members are likely to realize there is work to be done. Conflict is usually absent in this stage. The rules for behavior
seem to be to keep ideas simple, say acceptable things, and avoid controversy, avoid serious topics and if sharing feelings,
keep feedback to a minimum and avoid disclosure. Team leaders incorporate introductions and socials, e.g. , ice breakers, to
accelerate the team's forming process and introduce the team's objective. When a team is ready to grow beyond this
Forming Stage, it enters the Storming Stage.
Storming Stage
This is probably the most difficult stage for a team. This is where team members want to know the goals and objectives. It is
as if members jump in the water and, thinking they are about to drown, start to thrash about.
They begin to realize that the task is different or more difficult than they imagined, and become testy, anxious, or
overzealous. Impatient about the lack of progress, but still too inexperienced to know much about decision-making or the
scientific approach, members argue about what actions the team should take. They try to rely solely on their personal and
professional experience, resisting any need for collaborating with other team members. Individuals are trying to see where
they can contribute, how they fit in, and how they can be productive and valuable. This is usually where tensions build especially if there are others with the same expertise, or if individuals feel inadequate. Obviously, Team Dynamics can play a
huge role here. During this stage, a team member may try to rationalize his or her position and spend considerable time
trying to convince the team to take the action he or she feels is appropriate. This is how cliques begin to form. Conflict within
the team rises to a higher level in this stage than during any other stage. The team does not have a strong sense of
camaraderie and some members may feel very uncomfortable as latent hostility is expressed. Some members may become
very quiet while others may become very vocal as tensions rise. Team leaders are encouraged to clearly define the team's
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goals and objectives at this point. The intent here is to focus the members on the objective and the reason why the team
exists. Though it may not seem possible, there is some productivity as the team slowly progresses toward a unified direction.
However, if members click immediately, there is less confusion and conflict, the easier it is to define objectives or goals, and
the faster the team appears to agree on them. This is also the case if members have worked together before. As the
storming stage subsides and team members become accustomed to working with one another, the team begins easing into
the Norming Stage of team development.
Norming Stage
During this stage, members reconcile competing loyalties and responsibilities ; there is an attitude change. They accept the
team, team ground rules (or norms), their roles on the team, and the individuality of fellow members. Emotional conflict is
reduced as previously competitive relationships become more cooperative. In other words, as team members realize they
are not going to drown, they stop thrashing about, and start helping each other stay afloat. As team members begin to work
out their differences, they now have more time and energy to spend on their work, so they are able to start making progress.
Productivity is high in the Norming stage. With greater collaboration and a more conducive environment for production, the
team may transition to the performing stage.
Performing Stage
By this stage, the team has settled its individual relationships and expectations. There is a sense of high morale, team
loyalty, and trust. Members begin diagnosing and solving problems, brainstorming, and choosing and implementing changes;
creativity is high. Team members accept each other's strengths and weaknesses and understand their roles. Now they can
swim in concert. The team is now an effective, cohesive unit. You can tell when your team has reached this stage because
you start getting a lot of work done. Productivity remains high as the team makes steady progress.
One very important point to bring up before moving on to the adjourning stage focuses on personnel changes. If a new
person joins the team, the team WILL go back to the Forming Stage. Quickly and effectively integrating the new person into
the team is very important and can help the team spend minimal time going back through the Storming and Norming stages
and onto the Performing Stage.
Adjourning/Transforming
t
The final stage of team development is Adjourning or Transforming Stage.
Adjourning is often the case with most short-term AF teams (i.e., tiger teams, project
teams, etc.). Adjourning takes place as the team begins to break up and individual
members move on to other activities. Most times Adjournment is planned, like when a
temporary team completes its objectives and no longer has a reason to function .
External constraints such as organizational mergers and downsizing can also cause a
team to terminate before it completes its known objectives.
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 team's next success.
Team
I
Knowledge Check
REGRESSION OF A TEAM'S DEVELOPMENT
Barnes Center, Causes of Regression of a Team's Development (2020)
©NUTEs
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 high-performance 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 or panic stage of the PEP cycle (PEP is covered
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later in this lesson) 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, it all depends on how 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 team's 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, perceptive 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 team's focus and momentum away from the goal and
reducing its productivity.
TEAM DIMENSIONS PROFILE
By now, you've learned a considerable amount of information about being a part of a team. In addition to the concepts and
principles discussed above, we all have our own particular preferences and preferred ways of thinking, acting and interacting
within a team. By now, you've learned a considerable amount of information about being a part of a team. In addition to the
concepts and principles discussed above, we all have our own particular preferences and preferred ways of thinking, acting
and interacting within a team. This module aids you in understanding your and others preferred team members' roles. As you
review the material, reflect on what types of role you gravitate towards when working in a team environment.
Preferred Team Member Roles
Barnes Center, Preferred Team Member Roles (2020)
0NUTEs
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• Focus on the
interaction
• Focus on the
possibilities
realization
analysis
Preferred Team Member Roles. Credit: Barnes Center for Enlisted Education.
Because you almost never get to pick your team members, you need to be prepared for what could occur when one or more
of the roles are missing. Here are just a few examples:
• 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 Creator's 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.
STAGES OF THE "Z" PROCESS
Barnes Center, Stages of the "Z" Process (2020)
©NUTES
Team leaders and team members are more effective when they recognize and utilize the "Z" Process and account for the
Panic-Elation-Panic (PEP) Cycle. The following are brief descriptions for each stage of the "Z" Process:
Creating. During this stage, new ideas are born. Team members look at problems from perspectives that are unusual and
unique. Discussions are conceptual and focus on the "big picture." The atmosphere is receptive, open, and uncritical.
Advancing. During this stage, the team gives new ideas more structure and considers broad strategies for implementation.
The team communicates its ideas to the larger group in an effort to show everyone how the idea is valuable and clarify the
role they might play in the project.
Refining. During this stage, the team scrutinizes new ideas to see if they are realistic. The team analyzes in an orderly
fashion to find flaws and avoid problems down the road. Detailed plans for implementation are developed and evaluated.
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Executing. During this stage, the team puts ideas into action; following through on the plan to get concrete results. The
team focuses on details and makes progress through an orderly, well-thought-out process.
"Z" Process
Ideas often bounce back and forth among the Creators,
Advancers, and Refiners in what's 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) then moves the idea
into production. Flexer's assist the other roles by satisfying
the unfulfilled needs of the team in order to reach the goal.
Effective management is required throughout the cycle 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 (as well as all team members) reach Elation, and look to the Advancer to help move the
idea forward before panic sets in again
• Involve and encourage Refiners at the appropriate time, to ensure ideas/solutions are feasible, and if not, eliminated
• Utilize the Creator-Advancer-Refiner loop of the Z-process as many times as necessary to ensure that only sound,
feasible ideas/solutions are handed off to the executor for implementation
Becoming aware of your own preferences/approaches, as well as the preferences/approaches of other members of a team,
can help you :
•
•
•
•
Better understand why you prefer a particular role on a team
Contribute to the team's ability to solve Problem A while managing Problem B
Enhance the overall team performance
Lead teams more effectively
DO NOT confuse preferred role with ability - we all have the ability to fulfill any one of the roles, we just prefer the role
that feels most comfortable and natural to us. Never stifle yourself or others by assuming people can only fulfill one role on a
team.
THE PEP {PANIC-ELATION-PANIC) CYCLE
Barnes Center, Stages of the PEP Cycle (2020)
©NUTES
The PEP Cycle begins with the call for new 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 Creator's 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.
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However, without the Advancer's
encouragement, (or encouragement
from the team leader) even creators
return to Panic. Advancers help
Creators by offering support and
encouragement without critical
judgment.
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.
Elation
r
"'
00
"I'll never have a good idea."
'T hat idea w ill never work."
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.
CONCLUSION
Building a team is not an easy task, as you have seen. However, you should now know that the outcome is worth the
effort...teams outperform groups every time. As a first line supervisor and team leader, it will be your responsibility to take
your group of subordinates and help them grow into a team. Not only is this required of you, the mission of the Air Force
demands it.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity
does not report to the gradebook and you can retry it as many times as you want.
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Lesson 7 - Change Management
INTRODUCTION
Barnes Center, Introduction to Change Management (2020)
0NUTES
Change happens all around us ... everyday. You might not be able to stop it, but you can control how you react to it. More
importantly, you can have an impact on how your subordinates react to and accept change. In this lesson, you'll learn more
about the change process, your role in it, and various reactions people have to it. But first, review the key terms associated
with change management before you get started.
Barnes Center, Key Terms for Change Management (2020)
0NuTEs
Change management is a structured approach to change in individuals, teams, organizations, and societies that enables the
transition from a current state to a desired future state. Organizational change management includes processes and tools for
managing the people side of change. Change management involves aligning an agency's organizational culture with new
ways of doing business. An organization's culture can be a difficult thing to get a handle on. Defined as •the underlying
assumptions, beliefs, values, attitudes, and expectations shared by the members of an organization," organizational
culture is comprised of the current human and political dynamics, as well as the organization's history.
RESPONSIBILITIES AND ROLES
Responsibilities
More often than not, the task of implementing change falls to our first-line supervisors. In fact, AFDD 1-1 , Leadership and
Force Development and AFH 36-2618, The Enlisted Force Structure, charges all Airmen to support, explain, and promote
leaders 'decisions, while at the same time. Additionally, Airmen should promote a culture of innovation and continuous
process improvement to identify and resolve deficiencies.
Whether initiating the change or implementing it, NCOs must be prepared to deal with change effectively. Before you can
explore strategies to help you deal with change, you must first understand the various roles of individuals during the change
process.
Individual Roles
Barnes Center, Roles in the Change Process (2020)
0NuTEs
Every change process includes the roles of Change Sponsor, Change Agent, and Change Target. NCOs fill one, two, or
all three roles during any given change. Getting people to see past their own fears - real or perceived - is a challenge of
particular relevance to managers and requires a unique kind of leader - sometimes called a change manager or change
"agent."
Change Sponsors
Change Sponsors initiate change because they have the power and authority to determine why, when, and how changes
will occur. Although most change sponsors come from senior leadership, any NCO can act as a change sponsor within his or
her area of responsibility. NCOICs implement a myriad of changes to policies, procedures, and processes (e.g. new training
plans, new work schedules, reassign additional duty assignments).
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Change Agents
Change Agents are responsible for determining the best way to implement a change and then actually implementing it. For
example, your flight chief may want a new training plan implemented, but she also not only expects you to figure it out, she
expects you to ensure everyone affected by the change understands and supports the new requirement.
Change Targets
Change Targets refers to all individuals or groups affected by the change. Because change targets often help implement the
change itself, they usually include the Change Sponsor and Change Agent as well. Most of the time you will be a change
target right alongside your subordinates. Remember this when dealing with changes that occur.
Knowledge Check
STAGES OF CHANGE
Barnes Center, Stages of Change (2020)
@NuTEs
Now that you understand the roles people fulfill in the change process, look at Janssen's 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
Janssen's model of change. According to this model , we go
through four stages of change: Comfort, Denial,
Confusion, and Renewal. Although these stages represent
the sequence of feelings we experience, we don't spend the
same amount of time in each stage.
We begin in the Comfort stage where things are routine and
we are comfortable, satisfied, and calm. We move from
Comfort to a state of Denial when we are forced to confront
external change. We believe if we deny change, we will have
less stress ...yet the opposite is actually true. The more we
resist change or procrastinate, the more stress we inevitably
experience. We stay in the Denial stage until we own up to
our fear or anxiety about the change.
After the Denial stage, we enter the stage of Confusion. This
is where we accept the change and begin to grapple for ways
to proceed from the known to the unknown. When you enter
the confusion stage, anxiety builds and we store this energy,
while we are deciding whether to invest in the change. Every
new change requires optimal anxiety. If there is too much, then the change is paralyzed ...too little and we become
unmotivated to push the change forward.
If you or your subordinate are in the Confusion stage and using the energy from this stage to take action ... then you will be
the ones to carry the change forward.
Finally, we enter the stage of Renewal, where we accept the change. We may not like the change, but we've accepted it.
People in the Renewal stage are looking for answers and new ideas. They are open to site visits to see what others have
done, and to implementing PDSA cycles (the Deming Cycle: Plan, Do, Study, and Act). From Renewal, we then cycle
right back to the first stage, which is Comfort.
This is a very general overview of how people respond when they're faced with change. Understanding our individual
reactions to change will help us manage change more efficiently. First, recognize how you feel about the change(s) .. .then
observe your subordinate to see how they feel about the change(s). This will allow you to focus the bulk of your energies on
positively managing and leading, rather than negatively "dealing with personalities."
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It is also helpful to understand the levels of change people go through as you attempt to move them through the four stages
of change. Keep all these concepts in mind when you are going through new experiences. Let's take some time to explore
how people react to change.
Knowledge Check
REACTIONS TO CHANGE
Barnes Center, Reactions to Change (2020)
GNuTEs
As you have already read, getting people to change is difficult, and getting an entire organization to change can seem
impossible. If we are to succeed in moving our organizations forward , we 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.
To push the change to an unstoppable level, we 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? Guess what? Your
ability and willingness to accept change is based entirely on your personality. Sound familiar? How have you reacted to
changes?
Individual Reactions to Change
The figure below displays the five levels or reactions to change otherwise known as diffusion of innovation.
2.5%
( Innovators) (
Early
Adopters
Late
Majority
)
The Diffusion of Innovation. Credit: Barnes Center for Enlisted Education.
Knowledge Check
LEVELS OF CHANGE AND CHANGE CYCLES
Levels of Change
Barnes Center, Levels of Change and Change Cycles (2020)
0NUTEs
According to Elton Mayo, noted for his work in The Hawthorne Studies, there are four levels of change present in people.
Understanding these levels of change is extremely important for unit managers working through the change process.
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Change Cycles
Directive Change Cycle
Quite simply, this is a change imposed by some external force, such as a
commander, superintendent, or supervisor (position power). 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.
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.
Notice how the cycle proceeds from individual behavior to knowledge, and
then back to attitudes.
Participative Change Cycle
A participative change cycle is implemented when new knowledge is made
available to the individual or group. The eventual success of the change is
dependent upon the group's positive attitude and commitment in the direction
of the desired change. 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 decision-making
process.
The effective use of personal power becomes an 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.
By now, you may be wondering "Should I use directive change or participative
change?" The simple answer is that it depends on the situation. As you've already read,
directive change comes from position power and is usually effective when change must
be implemented quickly and when leaders are not seeking subordinates' inputs. This is
also usually a good approach to take if the decision is unpopular but necessary.
Participative change, on the other hand , relies on personal power and takes longer to
implement than directive change. By involving subordinates in the change process,
participative changes tend to last longer than change brought about through the
directive method.
As you supervise, you will initiate and/or implement change at some point.
Understanding the change process and appropriately using your leadership skills will
contribute to successful change implementation within your work center and organization. Following each phase of the
change process will significantly increase your success in implementing change.
Persona l Power
Adaptability is another important factor
to remember when you and your
subordinates go through organizational
changes. Take a look at the 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."
Remember to adapt as you go through
the phases of change the next time a
change occurs in your organization and/or life.
Ch an ge Cycles
Directive
Effective short term, lose effect iveness
as t ime p rogresses
Loses effect if changes in sponsor's
power position
Participative
Rel ies on persona l power, takes longer
to implement
Most effective on innovators and early
adopte rs
Method used will depend on the situation and the people involved.
Knowledge Check
THE PHASES OF CHANGE
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Barnes Center, The Phases of Change (2020)
LEADING PEOPLE
GNUTES
Behavioral scientist Kurt Lewin is known for developing the force field analysis, a technique used for diagnosing and
analyzing various change strategies in particular situations. In examining change, he identified three phases: unfreezing,
changing, and refreezing.
Unfreezing
The first step, unfreezing, in deciding to create a change is to recognize the need for change. This is often the most
neglected, yet essential element of any organizational change. To perceive a need to change, you must first understand it.
Become the expert on what you're changing, inform your people about the change, and tell them how it will improve or
simplify their ability to accomplish their job.
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. If you can get the majority of your subordinates to understand and accept the need
for change, the process will work much smoother, with less pain and frustration.
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; you must listen to them for constructive feedback. They may have legitimate concerns
that you didn't think of that might help the process move smoother. Some individuals feel they could lose power due to a
proposed change. Put them at ease by explaining how their new responsibilities will help them. Educate your subordinates
about an upcoming change and tell them the results you expect to see from the change. Use open and honest
communication to reduce uncertainty in your work center. Make a real effort to talk with personnel directly affected by the
changes. Where appropriate, allow those affected by the change to participate in decision-making and implementation. If
possible, introduce change slowly. Provide training and reinforce desired behaviors. Use force only as a last resort since it
can negatively affect long-term change
Never forget that people are one of your greatest assets, and they will directly impact the outcome of any change. A solid
plan will help you manage the resource distribution decisions, resistance to the change, and the overall impact of the change
process. It will also help you develop standards for measuring the effectiveness of the change once it is in effect. A good
example of unfreezing was the introduction of the Virtual Military Personnel Flight (vMPF). Some individuals were probably
content with waiting in line at their local MPF to have their personal info updated, but this was no longer an efficient way to
do business with our smaller force. The Air Force created a way for individuals to access their pertinent data electronically
from a personal computer to help keep their personnel records current. The vMPF allows people to make certain updates
and changes, saving time for everyone. By educating users on the vMPF and highlighting the ease and benefits of using the
vMPF, the Air Force created a felt need for change and reduced the number of people who would otherwise resist the
change. After unfreezing, the next phase is the changing phase.
Changing
Changing involves modifying technology, tasks, structure, or people. It's the movement from the old way of doing things to
the new way of doing business. New equipment is installed, training on the new equipment occurs, organizational
restructuring happens, new performance appraisal systems are implemented, and so on. In some instances, there may be a
need to go back to the unfreezing phase and re-educate/support those having trouble making the transition.
Your role in this phase is to monitor the change as it occurs, paying close attention to those most affected by it. Ensure your
plan unfolds as intended or adjust it as necessary. Remember, even the best plans go wrong sometimes. Be there as the
changes are implemented so you can deal with problems that may arise. In addition, if you're not around to witness the
changes happening, they may not be carried out as they should. Humans are creatures of habit and don't always correctly
interpret what is intended or communicated.
During the initial vMPF implementation, there were many problems. People got error messages, had password problems,
had trouble saving data, and so on. Adjustments were made along the way, and supervisors who stayed informed made the
transition much easier for their people. Discovering the convenience of vMPF led to the final change process phase:
refreezing. vMPF has changed again and again to offer Airmen a wide range of applications from retraining to retiring.
Refreezing
Just because the change was implemented and appears to be going well, doesn't mean your job is complete. You must lockin (or refreeze) the new procedures to become a permanent part of daily operations. Without refreezing, your work center
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may revert to doing business the old way, then all the efforts up to this point would have been for nothing. Once the vMPF
was up and operational, it was important for supervisors to stay up to date on the benefits of the vMPF. Individuals having
problems with the new way of accessing their personnel records might have just given up if they didn't receive positive
reinforcement from the system or their supervisors. You must encourage people to overcome the negatives of change and
reaffirm the positive.
During refreezing , ensure you evaluate the results of the change. Did you obtain the desired results? Are people still
supporting the change? Are they reverting to old ways of doing things? Have you documented the change for continuity
purposes? Since old behaviors may resurface, it may be necessary to evaluate the results of your change periodically. As
you already know, people, as well as organizations, handle change differently. Some individuals and organizations readily
accept change, while others seem to avoid accepting change. Whether the change is imposed from senior leadership or by
you, understanding your role in the change process is vital to ensuring successful change implementation within your work
center.
Knowledge Check
CONCLUSION
Barnes Center, Change Management Recap (2020)
0NUTES
The Air Force will continue to demand smarter, more efficient ways to do business from our force. This will bring about
changes well into the future. You must remember that individuals and organizations handle change differently. Some
individuals and organizations readily accept change , while others are slow to change. It is up to you to implement these
change management tools in your organization. How you lead and manage change is vital to our future success.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity
does not report to the gradebook and you can retry it as many times as you want.
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Lesson 8 - Introduction to Negotiations
INTRODUCTION
Barnes Center, Introduction to Negotiations (2020)
0NurEs
Can I go on leave? I don't want to work the night shift! Can you get that report to me tomorrow? I need more money to
buy office supplies ... these are situations you will face as a supervisor that will require you to 'negotiate'. As a future NCO
and team leader, you will have to negotiate with your subordinates, supervisor, peers, other team leaders, and chain of
command to accomplish your daily mission. Do you have the skill set to effectively negotiate? This lesson covers an
introduction to negotiation that includes the TIPO model and negotiation strategies. However, let's get started by going
over key terms for negotiation.
Barnes Center, Key Terms for Negotiations (2020)
0NurEs
As members of the U.S. Armed Forces, we are constantly interacting with other military members, civilian employees,
and contractors in various environments and situations. Oftentimes, we interact to solve problems where two or more
people, or groups of people, must decide on a course of action necessary to accomplish a shared goal. For NCOs,
virtually every problem-solving and decision-making process involves some sort of negotiations that can range from
resolving disputes among subordinates to working through issues involving the chain of command and outside agencies.
The institutional competency Leading People and Teams and the Air Force Policy Directive 36-26 (27 Aug 2008)
Fostering Collaborative Relationships highlights the competency of Negotiating as a critical skill. In today's complex
environment, the need to operate in peer-based relationships, and the need to communicate across service, joint,
interagency, and coalition environments, all emphasize the value of understanding and effectively applying negotiating
skills
Before you start the negotiation lesson, you must first assess the negotiation environment. What you find during this
assessment using the TIPO model and considering the who, stakes, and situation can have a huge impact on the
strategy you decide bring to the table.
Knowledge Check
TIPO MODEL
Barnes Center, TIPO Model (2020)
0NurEs
TIPO (pronounced "typo") identifies how trust influences your use of information, power affects the way you develop
options or solutions to solve or resolve a current problem, conflict, or situation.
Trust
Trust is the basis for any relationship. Trust, as it pertains to TIPO, is defined as your belief and/or evidence that the
opposite's interactions with you are genuine, sincere, and honest. It can be assumed or earned. The more you trust
the opposite's actions and interactions, the more trusting you are of the opposite's actions and intentions. Usually,
increased trust leads to actions that result in positive outcomes like believing the information one provides is accurate or
having confidence they will accomplish a task just as you instructed. However, there may be times when you believe the
opposite is trying to deceive you. Therefore, cultivating a trusting relationship or prioritizing the importance of people over
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task should be a deliberate decision, especially when negotiating. We place trust in two categories: Personal Trust and
Process Trust.
Personal Trust
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 who share the same interests. Consider the relationship between supervisor and
subordinate. As a supervisor, you trust that your subordinate is going to do his/her job, be respectful, and 'allow' you to
lead him/her. As a subordinate, you trust that your supervisor has your best interests in mind, that he/she will represent
your interests with the chain of command and is willing to consider your ideas. This relationship wouldn't be effective
unless you both trusted each other on some level.
Building personal trust is accomplished by considering how well you conduct yourself, complete assigned tasks, and by
considering your reputation, status, and standing in society. It is also sustained by the pattern of your actions. If you
consistently commit untrustworthy acts, it will be difficult (if not impossible) for your opposite to personally trust you .
Process Trust
Process trust exists when both parties have faith in a
governing institution and believes that it supports their
negotiations. We trust that these processes promote outcomes
that are justified (fair and impartial), legal, and ethically moral for
both parties.
Process trust in the Air Force includes several programs such as
the Inspector General complaint system, Equal Opportunity
policies and programs, Air Force instructions, and the most crucial
process trust of them all, the trust we have in the core values.
Many agreements between two military members who do not
know each other are based on the belief that the opposite will
adhere to these institutional values as they negotiate.
There are trust-building measures available to help you establish and/or validate another's trust. These are small steps
that help set the expectation of honorable exchanges between you and the opposite, thereby enhancing the trust that
exists between two people and helping facilitate communication that is more effective.
Trust Building Measures
• Providing good information in a way the opposite understands
• Delivering on promises made
• Taking a genuine interest in the opposite and their needs
Information
The level of trust directly influences the amount of information that is shared between you and the opposite. Information,
facts, or data related to the issue or negotiation, is so critical to developing options it is actually one of your personal
power bases (coming up next). It can range from the amount of resources available to classified intelligence. Trust
directly affects the quality and amount of information each party is willing to disclose. If you trust the opposite, you
believe the information they present is truthful and accurate and will feel more comfortable sharing information with them.
This results in a greater selection of options to choose from later. However, if you feel the opposite is withholding or
offering false information, you may either have to use a third-party source to validate the information , confront the
opposite with your concerns regarding the information, dismiss the information altogether, or continue to negotiate based
only on the information provided.
Unfortunately, merely trusting the information can be quite challenging. For instance, no matter how much you trust your
preferred car dealership, you should never share your bank account information with the salesman. Pretty selfexplanatory, right? On the other hand, many trusting relationships allow for honest disclosure of information, which may
include the disclosing of unpleasant, unpopular, or less preferred information.
The level of trust in the opposite and the information presented will influence the negotiating style you choose to use
which will determine the amount of power you will need to select and the execution of your negotiating strategy.
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Consider the following example:
Let's say you are purchasing a new car, and that you informed the salesperson that you are only willing to pay an
amount significantly below the asking price for the car. This may prompt the salesman to move on to another customer
and ignore you. However, if he values the relationship, he may reduce the price of the car in hopes that you will buy it or
assist you in finding another, suitable car so you'll tell others about the dedicated service he provided
Perhaps the salesman doesn't trust you and believes you are capable of paying much more than you are offering. This
may provoke the salesperson to continue pressuring you into purchasing the car at a higher price. In this case, the
salesman's insistence may generate your heightened mistrust. And so the key dynamics of negotiation interaction
continues to evolve.
Power
Power is the ability of one party to influence the behavior of
another. We possess an assortment of leadership powers that
enable us to accomplish various actions, to include negotiating.
These powers are referred to as personal and position powers.
Position Power
This type of power is derived from your position within the
organization and is given or delegated to you by your superiors.
Personal Powers
This type of power is derived from confidence and trust that others have in the leader and is earned.
When negotiating, you must assess
which of these powers you have,
which ones are available to the
opposite, and how your powers are
perceived by the opposite. What if
you walk into a meeting thinking you
have referent power only to find out
that your opposite believes a nasty
rumor that damages your reputation.
This could jeopardize your
negotiating efforts.
URI&)~\
.
"-/
.,.
As the TIPO Model depicts, trust
impacts the amount of information
you can acquire and the power you
can exercise during negotiations.
With high levels of trust, powers may
be actively shared between you and
the opposite. For example, you may have expert power on a topic but are fully willing to listen to the opposite's
perspectives on how to solve the problem because they have additional information you need .
Let's consider the story of a Swiss engineer and his amazing invention.
George de Mestral 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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On the other hand, if you have low trust in the opposite, you may apply more of your abilities to overpower them. 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 threaten to leave negotiations (a coercive technique) if your opposite disregards your requests or
terms. In summary, power can be shared, relinquished, or hoarded depending on the level of trust that exists between
you and the opposite.
Options
The final part of the Tl PO model uses the foundation of trust and the elements of information and power to develop
options. Options are just different ways to potentially solve a problem or come to a mutual agreement and are often
referred to as solutions, choices, and alternatives. Option building requires two elements:
1. Define the problem that needs solving.
2. Identify possible resources (information, power, time, people, money, etc.) that may be available.
Usually, more options can be developed when an abundance of resources are available. Note the first two resources
listed were information and power.
Information is critical to developing options and power is key to making the options "operational." The more trustworthy
information you receive from (and about) the opposite, the more potential options you have. Trustworthy opposites can
offer ideas and a perspective that you may never have considered.
Let's return to the earlier Velcro example for a moment. Many people in the late 1940's were trying to improve
fastener technology beyond the button, zipper, tape, and glue.
People demanded a strong, yet temporary bond, especially between fabrics. If the companies that first dealt with
George de Mestral had trusted his information and shared decision-making power with him, perhaps they could have
accepted his idea and reaped the profits. Perhaps these company representatives only saw annoying weeds and a
mangy mutt. However, the final company, the one that partnered with George, took his idea seriously and combined it
with their manufacturing technology. Together, they reinvented the fabric fastening industry; developing options that
neither party could have created on their own.
Conversely, low trust between parties negatively impacts information and powers which, in turn, undermines option
development. At its very worst, options become so few that you are forced to use all the power you have to
"operationalize" the one solution while overriding the opposite's objections.
There is one more piece of vital information you must 'arm' yourself with going into a negotiations environment. You must
assess who you are dealing with, what is at stake, and what the current situation is.
Knowledge Check
THE WHO, STAKES, AND SITUATION
Barnes Center, The Who, Stakes, and Situation (2020)
0NuTEs
According to AFMAN 36-2647, Institutional Competency Development and Management, students must recognize the
current situation, describe all parties' viewpoints and concerns, manage personal emotions, and remain open to
alternative positions.
NEGOTIATION STRATEGIES
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Barnes Center, The Five Negotiation Strategies (2020)
GNurEs
Task and People Orientation
Every negotiation involves some sort of
task and the interaction of two or more
people or groups. These two variables
form the "framework" used to visualize
and understand the differences between
the five negotiation strategies. Once you
decide what is more important (task or
people), you can then select the
negotiation style that is most appropriate
for the situation.
Task
Orientation
+
People
Orientation
People Orientation
The first variable, people orientation,
are those relationships that exist
between us and others. In some
situations, these relationships are more
important to develop and maintain than
the tasks at hand . However, the ability to
negotiate does not mean you have to
develop a friendship. Though beneficial,
being friends with the opposite is not
necessary. As you will soon see in the
next section, trust is the key to
successful relationships.
Task
Orientation
A trusting relationship means you are willing to consider the opposite's needs and desires during negotiations as well
as sharing information with the expectation of receiving these actions of trust in return. On the other hand, disregarding
the relationship, trust, and information leads to a negative result. Here, you intend to ignore the opposite's needs and
desires and/or may not trust the information they provide. This distrust may prompt you to refuse or disclosure
information even to the point of being vague or misleading. There is a fine ethical line here so be careful when
negotiating to avoid creating a distrusting relationship and an uncomfortable situation.
Something else to consider when assessing a relationship's importance is how much you may need the opposite's
involvement in the negotiation process. If you need the opposite's power (i.e. referent, information, expert, coercive,
connection, reward, legitimate) and/or their participation to develop potential options; you need a positive relationship.
This will guide your strategy selection. However, if you do not value the opposite's power (perhaps because you have
enough power of your own) or their participation in the process, your people orientation will be low (negative) which will
steer your selection toward a more task-oriented style.
Task Orientation
The second variable is task orientation. In the Negotiations Strategy Chart (NSC), task orientation refers to the
importance of resolving the problem to meet your needs. In the military context, it is getting the mission done. A positive
task orientation means that you are very motivated to resolve a problem or respond to a critical situation. Conversely, a
negative task orientation means that you do not wish to resolve the situation at this time or not at all. It could be that you
are satisfied with the current situation or status quo. Perhaps you do not agree with any of the possible solutions. Or it
could be that you may not understand the problem and need more time to gather data.
Negotiation Strategy Selection
Evade
"Not now, can you come back later?•
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The Evade strategy is a passive, unassertive strategy where you do not have any motivation to work your expectations
or meet their expectations. When might you choose to evade or kick the can down the road? Evade works if the issue at
hand is totally unimportant to you, if you have higher priorities, or you lack the energy and drive to tackle the problem.
Often the status quo is actually preferred to any envisioned solution. Also, you may use the Evade strategy if you are
faced with an overwhelmingly competitive opponent that you have no power over.
In assessing TIPO, the Evade strategy may be appropriate when:
Comply
"Yes, absolutely, let's do it your way!"
The Comply strategy tends to delegate the responsibility to the other person or party. This (along with the Evade
strategy) is a passive approach to negotiations. This strategy is preferred when preserving the relationship between you
and the other party is the paramount concern even if it is at the expense of the task. The result of this strategy is that the
more assertive party gets what they want and you, as the compliant side, give up whatever is at stake or gives in to the
opposite.
In assessing TIPO, the Comply strategy may be appropriate when:
Insist
"Take it or Leave W
The Insist strategy is useful when you believe that obtaining your objective is paramount, regardless of the cost to the
opposite's interests or the relationship. The Insist strategy is usually associated with a position and declared with a
demand that leaves little room for movement and /or compromise. Information is usually hoarded and withheld.
Relationships are usually put at risk and any long-term negotiating relationships are difficult to maintain. This style is
preferred when a "winner takes all" requirement is sought. Usually, the Insist strategy is used when there is a single issue
(like price or security) and the possibility of future interaction between the parties is unlikely or winner's residual power
after the negotiations will allow for more use of the Insist strategy. The Insist strategy is quick, and there's usually one
outcome: one party "wins" and the other "loses." At issue is which party gets to play the victor or the vanquished. Usually,
the party with the greater amount of power is the victor.
In assessing TIPO, the Insist strategy may be appropriate when:
Settle
"Let's just split the difference and call it a day"
The Settle strategy may be an option when you seek resolution to a situation, but see little chance for you to really get it
"your way" (e.g. the Insist Strategy) or you don't want to "give in" (e.g. the Comply Strategy) to the opposite. By using the
Settle strategy, you may minimally satisfy both side's task interests through the process of compromising on whatever
difference separating you from the opposite; usually in the form of splitting the difference " ... somewhere down the
middle." The Settle strategy usually opens not with a demand (a hard position with no wiggle room), but a softer "offer" (a
position leaving some room for you or the opposite to maneuver the other to a solution). Each party "gets something."
but usually not what you really need or what fully satisfies you. Additionally, the people orientation is not strong, as you
expect the opposite to take care of their interests as you are taking care of yours. It is not antagonistic, neither is it
nurturing.
Settling usually results in a quick negotiation (Settle is an efficient process), but rarely an optimal outcome (Settle is
usually not an effective process). Also, the Settle strategy is usually most useful where only one variable is at stake or
being considered (like price). A quick tutorial on the Settle strategy is available in any segment of "Pawn Stars" or
"American Pickers" series on cable television. Observe how they intuitively use TIPO in these cable television programs.
In assessing TIPO, the Settle strategy may be appropriate when:
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Cooperate
"Let's work together and come up with an even
better idea"
The Cooperative Negotiation Strategy (CNS) reflects
high interests in both people and task orientations.
CNS seeks to create new value within available
resources. This style is useful when a party desires to
achieve a mutually satisfying outcome while
simultaneously managing the relationship. For this to
occur, trust must exist with both parties willing to
share information and power. They must also
suspend judgment in order to work together to
develop options.
Cooperation is particularly effective in diverse
situations, especially in the military environment.
Agreements in the military must be reached with
people and groups that are often very different. To
move beyond the obstacles and barriers that potentially hinder us from reaching an agreement, the CNS focuses on the
basic and perhaps common interests that drive each party's position. Shared interests lead to common ground,
generating options valued by both parties. Implementing CNS also offers opportunities for both parties to work together
to generate options that are better than what they could have created on their own.
In assessing TIPO, the Cooperative Negotiation Strategy may be appropriate when :
Knowledge Check
CONCLUSION
Barnes Center, Introduction to Negotiations Recap (2020)
0NurEs
Throughout life we have to cooperate with others to reach a mutually-desired result. As you can see, being an effective
negotiator is not easy; it requires lots of practice. However, the rewards that come from developing these skills are not
only advantageous for you, but for your people, and your organization as well. Now, when you find yourself in a situation
where others just don't seem to want to cooperate, you have some tools in your arsenal to help move negotiations
forward . Use what you know about negotiations and you will be well on your way to becoming a highly effective NCO.
Check your knowledge!
Engage in this optional Flashcard activity to self-check your knowledge of key terms presented in this lesson. The activity
does not report to the gradebook and you can retry it as many times as you want.
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