assessment framework power point

SERGEANTS MAJOR ACADEMY

Sergeants Major Course (SMC)

L100: Foundational Leadership Concepts

Lesson Plan for L105

Assessments

L105 Reading A

Doctrinal Excerpts

ADP 5-0

THE FRAMEWORK OF THE OPERATIONS PROCESS 1-15. The Army’s framework for organizing and putting command and control into action is the operations process—the

major command and control activities performed during operations: planning, preparing, executing, and

continuously assessing the operation. Commanders use the operations process to drive the conceptual and detailed

planning necessary to understand their OE; visualize and describe the operation’s end state and operational approach; make

and articulate decisions; and direct, lead, and assess operations as shown in figure 1-1.

1-20. The activities of the operations process are not discrete; they overlap and recur as circumstances demand. While

planning may start an iteration of the operations process, planning does not stop with the production of an order. After the

completion of the initial order, the commander and staff continuously revise the plan based on changing circumstances.

Preparation for a specific mission begins early in planning and continues for some subordinate units during execution.

Execution puts a plan into action and involves adjusting the plan based on changes in the situation and the assessment of

progress. Assessing is continuous and influences the other three activities.

Assessment

1-24. Assessment precedes and guides the other activities of the operations process and concludes each operation or phase

of an operation. The focus of assessment differs during planning, preparation, and execution. During planning, assessment

focuses on gathering information to understand the current situation and developing an assessment plan. During

preparation, assessment focuses on monitoring changes in the situation and on evaluating the progress of readiness to

execute the operation. Assessment during execution involves a deliberate comparison of forecasted outcomes to actual

events, using criterion to judge progress toward success. Assessment during execution helps commanders adjust plans

based on changes in the situation. (See chapter 5 for the fundamentals of assessment.)

1-47. Commanders lead by example through command presence. Command presence is creating a favorable impression in

demeanor, appearance, and professional and personal conduct. Commanders use their presence to gather and communicate

information and knowledge as well as to assess operations. Establishing a command presence makes the commander’s

knowledge and experience available to subordinates. It allows commanders to evaluate and provide direct feedback on their

subordinates’ performance.

Assess

1-49. Assessment involves deliberately comparing intended forecasted outcomes with actual events to determine the overall

effectiveness of force employment. Assessment helps the commander determine progress toward attaining the desired end

state, achieving objectives, and completing tasks. Commanders incorporate assessments by the staff, subordinate

commanders, and unified action partners into their personal assessment of the situation. Based on their assessment,

commanders adjust their visualization and modify plans and orders to adapt the force to changing circumstances. (See

chapter 5 for a detailed discussion on assessment.)

4-18. During execution, commanders focus their activities on directing, assessing, and leading while improving their

understanding and modifying their visualization. Initially, commanders direct the transition from planning to execution as

the order is issued and the responsibility for integration passes from the plans cell to the current operations integration cell.

During execution, the staff directs units, within delegated authority, to keep the operation progressing successfully.

Assessing allows the commander and staff to determine the existence and significance of variances from the operations as

envisioned in the initial plan. The staff makes recommendations to the commander about what action to take concerning

identified variances in the plan. During execution, leading is as important as decision making, since commanders influence

subordinates by providing purpose, direction, and motivation.

4-21. The command sergeant major provides another set of senior eyes to assist the commander. The command sergeant

major assists the commander with assessing operations as well as assessing the condition and morale of forces. In addition,

the Command Sergeant Major provides leadership and expertise to units and Soldiers at critical locations and times during

execution.

ASSESSMENT

4-25. During execution, assessment helps commanders visualize probable outcomes and determine whether they need to

change the plan to accomplish the mission, take advantage of opportunities, or react to unexpected threats. Assessment

includes both monitoring the situation and evaluating progress. Monitoring—the continuous observation of those conditions

relevant to the current operation—allows commanders and staffs to improve their understanding of the situation.

Evaluation—using indicators to measure change in the situation and judge progress—allows commanders to identify

variances, their significance, and if a decision is required to alter the plan. (See chapter 5 for a detailed discussion on

assessment.)

FUNDAMENTALS OF ASSESSMENT 5-1. Assessment is the determination of the progress toward accomplishing a task, creating a condition, or achieving an

objective (JP 3-0). Assessment is a continuous activity of the operations process that supports decision making by

ascertaining progress of the operation for the purpose of developing and refining plans and for making operations more

effective. Assessment results enhance the commander’s decision making and help the commander and the staff to keep

pace with constantly changing situations.

5-2. Assessment involves deliberately comparing intended outcomes with actual events to determine the overall

effectiveness of force employment. More specifically, assessment helps the commander determine progress toward

attaining the desired end state, achieving objectives, and performing tasks. Through professional military judgment,

assessment helps answer the following questions:

 Where are we?

 What happened?

 Why do we think it happened?

 So what?

 What are the likely future opportunities and risks?

 What do we need to do?

5-3. Assessment precedes and guides the other activities of the operations process. During planning, assessment focuses on

understanding an OE and building an assessment plan. During preparation, the focus of assessment switches to discerning

changes in the situation and the force’s readiness to execute operations. During execution, assessment involves deliberately

comparing forecasted outcomes to actual events while using indicators to judge operational progress towards success.

Assessment during execution helps commanders determine whether changes in the operation are necessary to take

advantage of opportunities or to counter unexpected threats.

5-4. The situation and echelon dictate the focus and methods leaders use to assess. Assessment occurs at all echelons.

Normally, commanders assess those specific operations or tasks that they were directed to accomplish. This properly

focuses collection and assessment at each echelon, reduces redundancy, and enhances the efficiency of the overall

assessment process.

5-5. For units with a staff, assessment becomes more formal at each higher echelon. Assessment resources (to include staff

officer expertise and time available) proportionally increase from battalion to brigade, division, corps, and theater army.

The analytic resources and level of expertise of staffs available at higher echelon headquarters include a dedicated core

group of analysts. This group specializes in operations research and systems analysis, formal assessment plans, and various

assessment products. Division, corps, and theater army headquarters, for example, have dedicated plans, future operations,

and current operations integration cells. They have larger intelligence staffs and more staff officers trained in operations

research and systems analysis. Assessment at brigade echelon and lower is usually less formal, often relying on direct

observations and the judgment of commanders and their staffs.

5-6. For small units (those without a staff), assessment is mostly informal. Small-unit leaders focus on assessing their unit’s

readiness—personnel, equipment, supplies, and morale—and their unit’s ability to perform assigned tasks. Leaders also

determine whether the unit has attained task proficiency. If those tasks have not produced the desired results, leaders explore

why they have not and consider what improvements could be made for unit operations. As they assess and learn, small

units change their tactics, techniques, and procedures based on their experiences. In this way even the lowest echelons in

the Army follow the assessment process.

ASSESSMENT ACTIVITIES

5-7. The situation and type of operations affect the characteristics of assessment. During large-scale combat, assessment

tends to be rapid, focused on the level of destruction of enemy units, terrain gained or lost, objectives secured, and the status

of the friendly force to include sustainment. In other situations, such as counterinsurgency, assessment is less tangible.

Assessing the level of security in an area or the level of the population’s support for the government is challenging.

Identifying what and how to assess requires significant effort from the commander and staff.

5-8. Whether conducting major combat operations or operations dominated by stability tasks, assessment consists of the

major activities shown in figure 5-1. These activities include—

 Monitoring the current situation to collect relevant information.

 Evaluating progress toward attaining end state conditions, achieving objectives, and performing tasks.

 Recommending or directing action for improvement.

MONITORING

5-9. Monitoring is continuous observation of those conditions relevant to the current operation. Monitoring allows

staffs to collect relevant information, specifically that information about the current situation described in the commander’s

intent and concept of operations. Commanders cannot judge progress nor make effective decisions without an accurate

understanding of the current situation.

5-10. CCIRs and associated information requirements focus the staff’s monitoring activities and prioritize the unit’s

collection efforts. Information requirements concerning the enemy, terrain and weather, and civil considerations are

identified and assigned priorities through reconnaissance and surveillance. Operations officers use friendly reports to

coordinate other assessment-related information requirements.

5-11. Staffs monitor and collect information from the common operational picture and friendly reports. This information

includes operational and intelligence summaries from subordinate, higher, and adjacent headquarters and communications

and reports from liaison teams. Staffs also identify information sources outside military channels and monitor their reports.

These other channels might include products from civilian, host-nation, and other government agencies. Staffs apply

information management and knowledge management to facilitate disseminating this information to the right people at the

right time.

5-12. Staff sections record relevant information in running estimates. Staff sections maintain a continuous assessment of

current operations as a basis to determine if operations are proceeding according to the operations. In their running

estimates, staff sections use this new information and these updated facts and assumptions as the basis for evaluation.

5-13. The staff analyzes relevant information collected through monitoring to evaluate the operation’s progress. Evaluating

is using indicators to judge progress toward desired conditions and determining why the current degree of progress

exists. Evaluation is at the heart of the assessment process where most of the analysis occurs. Evaluation helps commanders

determine what is working and what is not working, and it helps them gain insights into how to better accomplish the

mission.

5-14. In the context of assessment, an indicator is a specific piece of information that infers the condition, state, or existence

of something, and provides a reliable means to ascertain performance or effectiveness (JP 5-0). Indicators should be—

 Relevant—bear a direct relationship to a task, effect, object, or end state condition.

 Observable—collectable so that changes can be detected and measured or evaluated.

 Responsive—signify changes in the OE in time to enable effective decision making.

 Resourced—collection assets and staff resources are identified to observe and evaluate.

5-15. The two types of indicators commonly used in assessment include measures of performance (MOPs) and measures

of effectiveness (MOEs). A measure of performance is an indicator used to measure a friendly action that is tied to

measuring task accomplishment (JP 5-0). MOPs help answer questions such as “Was the action taken?” or “Were the tasks

completed to standard?” A MOP confirms or denies that a task has been properly performed. MOPs are commonly found

and tracked at all levels in execution matrixes. MOPs help to answer the question “Are we doing things right?”

5-16. At the most basic level, every Soldier assigned a task maintains a formal or informal checklist to track task completion.

The status of those tasks and subtasks are MOPs. Similarly, operations consist of a series of collective tasks sequenced in

time, space, and purpose to accomplish missions. Current operations integration cells use MOPs in execution matrixes,

checklists, and running estimates to track completed tasks. Staffs use MOPs as a primary element of battle tracking with a

focus on the friendly force. Evaluating task accomplishment using MOPs is relatively straightforward and often results in

a “yes” or “no” answer.

5-17. A measure of effectiveness is an indicator used to measure a current system state, with change indicated by comparing

multiple observations over time (JP 5-0). MOEs help measure changes in conditions, both positive and negative. MOEs

help to answer the question “Are we doing the right things?” MOEs are commonly found and tracked in formal assessment

plans.

5-18. Evaluation includes analysis of why progress is or is not being made. Commanders and staffs propose and consider

possible causes. In particular, they address the question of whether or not changes in the situation can be attributed to

friendly actions. Commanders consult subject matter experts, both internal and external to the staff, on whether their staffs

have correctly identified the underlying causes for specific changes in the situation. These experts challenge key facts and

assumptions identified in the planning process to determine if the facts and assumptions are still relevant or valid.

5-19. Evaluating also includes considering whether the desired conditions have changed, are no longer achievable, or are

not achievable through the current operational approach. Staffs continually challenge the key assumptions made when

framing the problem. When an assumption is invalidated, then reframing may be in order.

RECOMMENDING OR DIRECTING ACTION

5-20. Monitoring and evaluating are critical activities; however, assessment is incomplete without recommending or

directing action. Assessment may reveal problems, but unless it results in recommended adjustments, its use to the

commander is limited. Ideally, recommendations highlight ways to improve the effectiveness of operations and plans by

informing all decisions. (See paragraph 5-29 for a list of potential recommendations.)

5-21. Based on the evaluation of progress, the staff brainstorms possible improvements to the plan and makes preliminary

judgments about the relative merit of those changes. Staff members identify those changes possessing sufficient merit and

provide them as recommendations to the commander or make adjustments within their delegated authority.

Recommendations to the commander range from continuing the operation as planned, to executing a branch, or to making

unanticipated adjustments. Making adjustments includes assigning new tasks to subordinates, reprioritizing support,

adjusting information collection assets, and significantly modifying the COA. Commanders integrate recommendations

from the staff, subordinate commanders, and other partners with their personal assessments. Using those recommendations,

they decide if and how to modify the operation to better accomplish the mission.

5-22. Assessment helps identify threats, suggests improvements to effectiveness, and reveals opportunities. The staff

presents the results and conclusions of its assessments and recommendations to the commander as an operation develops.

Just as the staff devotes time to analysis and evaluation, so too must it make timely, complete, and actionable

recommendations. The chief of staff or executive officer ensures the staff completes its analyses and recommendations in

time to affect the operation and for information to reach the commander when needed.

ASSESSMENT PROCESS

5-23. There is no single way to conduct assessment. Every situation has its own distinctive challenges, making every

assessment unique. The following steps can help guide the development of an effective assessment plan and assessment

activities during preparation and execution:

 Step 1 – Develop the assessment approach (planning).

 Step 2 – Develop the assessment plan (planning).

 Step 3 – Collect information and intelligence (preparation and execution).

 Step 4 – Analyze information and intelligence (preparation and execution).

 Step 5 – Communicate feedback and recommendations (preparation and execution).

 Step 6 – Adapt plans or operations (planning and execution).

(See ATP 5-0.3 for a detailed discussion of each step of the assessment process.)

STEP 1 – DEVELOP THE ASSESSMENT APPROACH

5-24. Assessment begins in planning as the commander identifies the operation’s end state, operational approach, and

associated objectives and tasks. Concurrently, the staff begins to develop an assessment approach by identifying specifi c

information needed to monitor and analyze conditions associated with attaining the operation’s end state, achieving

objectives, and accomplishing tasks. In doing so, the staff tries to answer the following questions:

 How will we know we are creating the desired conditions?

 What information do we need?

 Who is best postured to provide that information?

5-25. If a higher headquarters assessment plan exists, the staff aligns applicable elements of that assessment plan to the plan

they are developing. The assessment approach becomes the framework for the assessment plan and will continue to mature

through plan development. The assessment approach should identify the information and intelligence needed to assess

progress and inform decision making.

STEP 2 – DEVELOP THE ASSESSMENT PLAN

5-26. This step overlaps Step 1. It focuses on developing a plan to monitor and collect necessary information and intelligence

to inform decision making throughout execution. The assessment plan should link end state conditions, objectives, and tasks

to observable key indicators. This plan also should include specific staff responsibilities to monitor, collect, and analyze

information as well as develop recommendations and assessment products as required.

STEP 3 – COLLECT INFORMATION

5-27. Staffs collect relevant information throughout planning and execution. They refine and adapt information collection

requirements as the operations progresses. Staffs and subordinate commands provide information during execution through

applicable battle rhythm events and reports. Intelligence staffs continually provide updates about the situation to include

information about the enemy, terrain, and civil considerations.

STEP 4 – ANALYZE INFORMATION AND INTELLIGENCE

5-28. Analysis seeks to identify positive or negative movement toward achieving objectives or attaining end state conditions.

Accurate analysis seeks to identify trends and changes that significantly impact the operation. Based on this analysis, the

staff estimates the effects of force employment and resource allocation; determines whether forces have achieved their

objectives; or realizes that a decision point has emerged.

5-29. Recommendations generated by staff analyses regarding achievement of the objective or attainment of the desired end

state conditions, force employment, resource allocation, validity of planning assumptions, and decision points should enable

the staff to develop recommendations for consideration. Recommendations can include the following:

 Update, change, add, or remove critical assumptions.

 Transition between phases.

 Execute branches or sequels.

 Change resource allocation.

 Adjust objectives or end state conditions.

 Change or add tasks to subordinate units.

 Adjust priorities.

 Change priorities of effort.

 Change command relationships.

 Change task organizations.

 Adjust decision points.

 Refine or adapt the assessment plan.

STEP 5 – COMMUNICATE FEEDBACK AND RECOMMENDATIONS

5-30. Assessment products contain recommendations for the commander based upon the commander’s guidance. Regardless

of quality and effort, the assessment process is limited if the communication of its results is deficient or inconsistent with

the commander’s personal style of assimilating information and making decisions. Additionally, there may be a requirement

to provide input to higher headquarters assessments in which the requirements and feedback could be within a different

construct.

STEP 6 – ADAPT PLANS OR OPERATIONS

5-31. Commanders direct changes or provide additional guidance that dictate updates or modifications to operations to drive

progress of operations to objectives and end state conditions. Staffs capture the commander’s decisions and guidance to

ensure forces take necessary actions. As the operation evolves, the assessment plan will evolve as well.

GUIDES TO EFFECTIVE ASSESSMENT

5-32. Throughout the conduct of operations, commanders integrate their own assessments with those of the staff,

subordinate commanders, and other unified action partners in the AO. The following guides aid in effective assessment:

 Commander involvement.

 Integration.

 Incorporation of the logic of the plan.

 Caution when establishing cause and effect.

COMMANDER INVOLVEMENT

5-33. The commander’s involvement in operation assessment is essential. The assessment plan should focus on the

information and intelligence that directly support the commander’s decision making. Commanders establish priorities for

assessment in their planning guidance and CCIRs. By prioritizing the effort, commanders guide the staff’s analysis efforts.

Committing valuable time and energy to developing excessive and time-consuming assessment schemes squanders

resources better devoted to other operations process activities. Commanders reject the tendency to measure something just

because it is measurable. Effective commanders avoid burdening subordinates and staffs with overly detailed assessments

and collection tasks. Generally, the echelon at which a specific operation, task, or action is conducted should be the

echelon at it is assessed.

INTEGRATION

5-34. Assessment requires integration. Assessing progress is the responsibility of all staff sections and not the purview of

any one staff section or command post cell. Each staff section assesses the operation from its specific area of expertise.

However, these staff sections must coordinate and integrate their individual assessments and associated recommendations

across the warfighting functions to produce comprehensive assessments for the commander, particularly in protracted

operations. They do this in the assessment working group.

5-35. Most assessment working groups are at higher echelons (division and above) and are more likely to be required in

protracted operations. Normally, the frequency of meetings is part of a unit’s battle rhythm. The staff, however, does not

wait for a scheduled working group to inform the commander on issues that require immediate attention. Nor does the staff

wait to take action in those areas within its delegated authority.

5-36. The assessment working group is cross-functional by design and includes membership from across the staff, liaison

personnel, and other unified action partners outside the headquarters. Commanders direct the chief of staff, executive

officer, or a staff section leader to run the assessment working group. Typically, the operations officer, plans officer, or

senior operations research and systems analysis staff section serves as the staff lead for the assessment working group.

5-37. Developing an assessment plan occurs concurrently within the steps of the MDMP. The resulting assessment plan

should support the command’s battle rhythm. The frequency with which the assessment working group meets depends on

the situation. Additionally, the assessment working group may present its findings and recommendations to the commander

for decision. Subordinate commanders may participate and provide their assessments of operations and recommendations

along with the staff. Commanders combine these assessments with their personal assessment, consider recommendations,

and then direct changes to improve performance and better accomplish the mission.

INCORPORATION OF THE LOGIC OF THE PLAN

5-38. Effective assessment relies on an accurate understanding of the logic (reasoning) used to build the plan. Each plan is

built on assumptions and an operational approach. The reasons or logic as to why the commander believes the plan will

produce the desired results become important considerations when staffs determine how to assess operations. Recording,

understanding, and making this logic explicit helps the staffs recommend the appropriate MOEs and MOPs for assessing

the operation.

CAUTION WHEN ESTABLISHING CAUSE AND EFFECT

5-39. Although establishing cause and effect is sometimes difficult, it is crucial to effective assessment. Sometimes,

establishing causality between actions and their effects can be relatively straightforward, such as in observing a bomb

destroy a bridge. In other instances, especially regarding changes in human behavior, attitudes, and perception, establishing

links between cause and effect proves difficult. Commanders and staffs must guard against drawing erroneous conclusions

in these instances.

CAUTION WHEN ESTABLISHING CAUSE AND EFFECT

5-39. Although establishing cause and effect is sometimes difficult, it is crucial to effective assessment. Sometimes,

establishing causality between actions and their effects can be relatively straightforward, such as in observing a bomb

destroy a bridge. In other instances, especially regarding changes in human behavior, links between cause and effect proves

difficult. Commanders and staffs must guard against drawing erroneous conclusions in these instances.

ADP 6-22

ASSESSING DEVELOPMENTAL NEEDS

6-48. An important step in developing others is to understand which areas are already strong and which should be stronger.

Leaders who know their subordinates understand where to encourage development. Leaders observe new subordinates under

different task conditions to identify strengths and weaknesses and to see how quickly they pick up new information and

skills.

6-49. Leaders continuously assess the developmental needs of their subordinates. They evaluate the competence of their

subordinates. They assess whether someone can meet the expectations of a new position. They review the organization’s

policies, status reports, and recent inspection results for indicators of weak areas. They ask outgoing leaders for an

assessment and meet with key people outside the organization. Effective leaders periodically update their in-depth

assessments since a thorough assessment enables gradual and systematic changes without causing damaging organizational

turmoil.

6-50. FM 6-22 provides indicators of leader performance and information on determining whether each attribute and

competency is a strength, meeting standard, or a developmental need. To objectively assess subordinates over time,

leaders—

 Observe and record subordinates’ performance in the core leader competencies.

 Determine if their performances meet, exceed, or fall below expected standards.

 Share observations with subordinates and provide an opportunity for them to comment.

6-51. Leader development doctrine furnishes detailed information on assessing individual capabilities and expanding them

through feedback, study, and practice. FM 6-22 provides learning activities for all leader attributes and competencies. This

information is useful whether a leader is developing self or others.

ASSESSING, ADJUSTING, AND CONTINUING MISSION

7-11. The ability to assess a situation accurately and reliably against desired outcomes, established values, and ethical

standards is a key way for leaders to achieve consistent results and mission success. Assessment occurs continually during

planning, preparation, and execution; it is not solely an after-the-fact evaluation. Accurate assessment requires instinct and

intuition based on experience and learning. Accurate assessment requires reliable and valid information. Leaders take action

based on their assessments to reset or keep tasks and missions on track. Leaders periodically assess individual and

organizational weaknesses to prevent mishaps and mission failure. Accurate assessment is essential to developing

subordinate leadership, training management, and initiating improvements.

ASSESSING TO ENSURE MISSION SUCCESS AND ORGANIZATIONAL IMPROVEMENT

9-43. Assessing situations—looking at the state of the organization and its component elements—is critical for

organizational leaders to achieve consistent results and mission success. Accurate assessment requires their instincts and

intuitions based on the reliability of information and their sources. Quality organizational assessment can determine

weaknesses and force focused improvements.

9-44. Besides designing effective assessment systems, organizational leaders set achievable, measurable assessment

standards. Organizational leaders ask—

 What is the standard?

 Does the standard make sense to all concerned?

 Did we meet the standard?

 What system measures the standard?

 Who is responsible for the system?

 How do we reinforce or correct our findings?

9-45. Because their decisions can have wide-ranging effects, leaders must be sensitive to how their actions affect the

organization’s climate. The ability to discern and predict second- and third-order effects benefits organizational leaders in

assessing the health of the organizational climate and providing constructive feedback to subordinates.

TC 26-6

Chapter 4, page 4-2:

PURPOSE OF CLIMATE ASSESSMENTS

The purpose of climate assessments is to provide the leadership a “snapshot picture” of a unit as it is perceived

by members of the organization as it relates to race, gender, color, religion, national origin, and sexual

harassment. In short, it determines if a unit’s climate is both positive and healthy. A climate that is not healthy

can quickly develop into inter-group tension within the unit. To assist commanders, DA and the Army Research

Institute (ARI), has identified certain common conditions that are indicators of an EO climate that is not healthy.

Some of these indicators are:

• Perceptions by Soldiers the EO complaint process is not working or supported by the chain of command.

• Sexual or racial jokes are prevalent.

• Increase in the number of EO complaints.

• Polarization of groups.

• Use of abusive words and display of offensive symbols.

• Low morale.

• Discriminatory practices in surrounding civilian community.

• Poor personal appearance by Soldiers.

• Poor military courtesy by Soldiers.

• Increased number of AWOLs.

• Claims of unfairness in promotions.

• Frequent fights.

• Increase in the volume and nature of rumors.

• Unwillingness to communicate between superior and subordinates.

• Increase in requests for transfer.

Page 4-3:

PLANNING THE ASSESSMENT

Regardless of the conditions under which they are conducted, for assessments to be successful they must be well

planned. In planning the assessment, commanders must decide what they want. Having a clear picture of the

desired outcome will help define the process and resources necessary to accomplish the assessment.

Commanders who do not identify or state what they want from the assessment may be unhappy or dissatisfied

with the results. Even if the immediate commander did not direct the assessment, commanders should take the

opportunity to maximize planning efforts and formulate their own desired outcomes from any assessment

conducted. The following are a few of the more common outcomes expected from a climate assessment.

• Unit strengths to be maintained and unit weakness to be remedied.

• Soldiers’ and leaders’ perceptions about command/unit climate.

• Current status of EO program execution.

• Leaders’ effectiveness in performing EO duties and responsibilities.

• Indicators of institutional or personal discrimination.

• Indicators of behaviors that constitute sexual harassment.

• Issues and concerns for developing EO training.

• Comparisons of commanders’ estimates to the actual assessment

• Determination of training needs.

Page 4-5:

CONDUCTING THE ASSESSMENT

Once the purpose and scope of the assessment is determined and all planning actions have been finalized, the

commander may begin conducting the assessment. Administrative Procedures Prior to the assessment,

commanders must inform unit personnel about its purpose and scope. Commanders may elect to keep everyone

fully informed or notify personnel only about those phases of the assessment that involve their participation. In

either case, Soldiers and leaders should have a schedule of times and locations for specific events. If

participation is expected of a specific target group, a by-name roster should be available.

Commanders should discourage any assessment that segregates unit personnel by race, ethnic identity, or

gender. The commander should also inform their Soldiers of the time frame for accomplishing these actions.

Survey Instruments

The following survey instruments are used in conjunction with Army climate assessments:

• Command Climate Survey (CCS).

• Unit Climate Profile (UCP)

• Training Diagnostic Assessment System (TDAS)

• General Organizational Questionnaire (GOQ)

• DEOMI Equal Opportunity Climate Survey (DEOCS)

Page 4-9:

INTERVENTION STRATEGIES

Based on the analysis and the overall conclusion reached on the EO climate assessment, the commander will

make corrections where appropriate. There are a wide variety of intervention strategies that a commander can

use. Which strategy the commander chooses will depend on a number of factors. Criteria for selecting certain

alternatives will vary because of mission, command structure, and geographical location. The following criteria

are common to any selection process:

• Time: What is the required time necessary to achieve the desired results?

• Impact: How big of an improvement is required? How much resistance to the change can be anticipated?

• Permanence: Will the required action result in a permanent change or short term fix?

• Audience: Will the strategy reach the target population? Will the change apply across all levels of the

organization?

• Resources: Is the desired method resource intensive? In evaluating this strategy, it may be necessary to

consider the availability of resources. However, strategies considered to be the best alternatives should not be

eliminated simply because there is a difference between what is required and what is on hand.