Organizational Climate and Creation of Durable Change

8/12/2019 Organizational Climate and Creation of Durable Change

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Semmens, R., Austin, C.M., & Riccio, G. (2010). Organizational Climate and Creation of Durable Change. In: Riccio, G., Diedrich, F., &

Cortes, M. (Eds.).An Initiative in Outcomes-Based Training and Education: Implications for an Integrated Approach to Values-Based

Requirements (Chapter 14). Fort Meade, MD: U.S. Army Asymmetric Warfare Group. [Cover a rt by Wordle.net represents word frequency in

ext.]


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233 Semmens et al.

Asymmetric Warfare Group

Chapter 14. Organizational Climate and Creation of Durable Change

Rob Semmens, C. Megan Austin

Imprimis, Inc.

Gary E. Riccio

The Wexford Group International

14.1 The Need

The Asymmetric Warfare Group (AWG) sought an independent scientific study of their initiative

in Outcomes Based Training and Education (OBTE). Two of the objectives of that effort (see

Chapter 1) are addressed briefly in this chapter:

Identify organizational factors affecting OBTE implementation (including life-cyclemanagement) in Army institutions of training and education.

Identify the extent to which initiatives analogous to OBTE can be developed to achievesimilar impact on other programs of training and education.

The Army has mandated change in Field Manual 1, The Army (Headquarters Department of the

Army [HQDA], 2005).It states that the Army culture needs to change to support the

transformation of the force to counter both conventional and irregular threats. While there have

been considerable gains in the implementation of OBTE over the last two years (see Chapters 1

and 11), organizational factors are likely to affect its durability (see Appendix C). Further, the

individuals and activities required to sustain OBTE are not the same as those instrumental in

initial implementation.

Early in the investigation it became apparent that there might be resistance to changing the

current approach to Army training. We thus looked for opportunities to acquire evidence for localsituational factors influencing the implementation of OBTE that were not directly under the

control of the AWG. From the outset, we were interested in answering, Why have things always

been this way? The individual officers and non-commissioned officers with whom we interactedon the ranges and in training areas generally wanted to do the right thing. There seemed to be

some systemic constraints that did not set them up for success, however, and the apparent result

was training that had considerable room for improvement (see Chapter 11, sections 9.2-9.3).

In interviews with the AWG train-the-trainer cadre, it appeared that many common practices orprocedures had to be disregarded to demonstrate OBTE, and that organizational barriers were

prohibiting or curtailing the implementation of this approach to training (anonymous, personal

communication, April 16, 2008). Trainers in the Army have often had difficulties with Range

Control, and the demonstration of OBTE proved to be no exception. In one case, a BrigadeCommander told Range Control to go away, because he was not going to stop training to

accommodate Range Controls preferences. On another occasion, an instructor, when questionedby Range Control about his risk assessment, had to call the post commander on his cell phone and

put Range Control personnel on the phone with the General who proceeded to approve the

training (anonymous, personal communication, May 18, 2009).


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Organizational Change 234


Sustainment of OBTE may require involvement of a wider range of personnel to reduce current

organizational frictions associated with training. Involvement of doctrine writers in the U.S.

Army Training and Doctrine Command (TRADOC), such as the working group for Regulation

350-70, and their coordination with instructor educators for OBTE is an example of the dialog

and diversity in a social network that can make a difference. Based on the organizational change

literature, even broader coordination may be required (e.g., Cooperrider, Whitney, & Stavros,

2003; Ludema, Whitney, Mohr, & Griffin, 2003; Schein, 1992).

Resistance to change is well described in the behavioral science, quality improvement, and

business literature. In the early days of social psychology, Kurt Lewin developed a model of the

change process in human systems (e.g., Lewin & Grabbe, 1945; see also, Schein, 2009). He

described resistance to change as forces in any system that hold the status quo in placeon one

side there are forces that push for change and on the other side there are forces pushing against

the change (Lewin, 1951; see Chapter 3; see also, Henle, Jaynes, & Sullivan, 1973). He

conceptualized reciprocal influences within a complex social network analogous to feedback in

electrical networks and dynamical systems (cf., Henle, 1971; Turvey Shaw, & Mace, 1982;

Riccio & Vicente, 2001). Interpersonal interactions and dialog are key manifestations of theopportunities for such reciprocal influence (Schein, 1968; 1993).

One should distinguish the concept of resistance to change from any meaning associated with a

subordinate as a management problem or difficulties in getting a subordinate to do what the

superior wants. It demeans the concerns subordinates may have about the issues they face on the

front lines of an organization (Edmonson, 1999; Roberto, 2005, 2009). The primary locus of

friction may even be at the management level (Vaughan, 1997). In any case, friction cannot be

attributed to a single individual, subgroup, or service function. The issues surrounding a change

initiative are embedded within the complexity of an organization. Implementations of OBTE that

seem to be the most successful, at least in terms of minimal complaints about friction, seem to

address this complexity directly and through collaborative dialog (see Appendix C; Haskins,

2009; cf., Cooperrider et al., 2003; Ludema et al., 2003; Schein, 1993).

14.2 Initial Indications of Possible Resistance to Change

As reported in Chapter 10, we administered a post-deployment survey to Soldiers who had

participated in CATC to get an indication of whether the approach would be sustained in theOperating Force. In the short survey, one question attempted to reveal indications of potential

resistance to OBTE:

Once your unit enters the next training cycle, what might you see as obstacles to

executing a CATC [OBTE] approach to some or all of your training?

While the number of respondents to the survey was small (N=17), all had been deployed in

leadership positions within a platoon. These individuals had the most to gain by this new training,

but they had little influence in planning or resourcing the training. Nine Soldiers mentionedconcerns with the larger organization being open to changing the way the Army trains. They

mentioned doctrine, safety regulations, and that some more senior echelons were resistant toadopting a new approach or were stuck in old training standards. Five Soldiers mentioned a

possible lack of resources as an impediment, which could be interpreted as a lack of acceptance

by higher echelons in that platoons have little influence on the control the direction of resources.


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Another interesting indication of resistance to change was provided by a survey we administered

prior to familiarization with OBTE at Fort Sill and, again, six months after the beginning of

familiarization with OBTE (see Chapter 9).

Figure 1. Attitudes toward change at Fort Sill (see Chapter 9 for details).

The figure above indiciates that, among two different samples of officers and non-commissionedofficers, there was little change in the number of skills they thought OBTE could help them train

during basic training. All reported positive feelings about the training, however. In fact, the

Commander of the 434thBCT, indicated that their implementation of OBTE has been effective at

increasing the number of first time qualifiers (personal communication, June 30, 2009.) It is

likely that these Soldiers value the approach as useful, yet for a variety of reasons, they find itdifficult to implement formally or systemically during Basic Training. This could be due to real

or perceived organizational resistance to change (see also Chapter 9, section 9.2.3).

We continued to ask questions of those involved with implementing OBTE on an ad hoc and

informal basis. The lessons learned from this informal inquiry are used to identify leads that can

be pursued in the organizational change literature and subsequent research on OBTE.

14.3 Models and Considerations for Sustainable Change

14.3.1 The Change Transition Period

A literature review was conducted to determine similarities across several change models as aneffort to provide insight to further change implementation. While a full-scale, coordinated effort

of continuous change management cannot be outlined fully, identification of common obstacles

to change suggest activities that can be undertaken, in principle, to improve the durability of any

implementation of OBTE. The review showed that while there are many change models varying

in complexity and scope, several shared one common theme. They all describe cases where an

initial innovation found success and demonstrated a marked improvement over the standard

practice but, over time, this successful change eroded under the pressures of larger organizational


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influences (cf., Rasmussen, 1997; Snook, 2000). Figure 2 illustrates the transition period where

change is the least durable and vulnerable to loss.

Figure 2. Influences and opportunities during the change transition period.

The change transition period has been defined in several models, yet all of the descriptions areremarkably similar. In Kotters model (Kotter, 1995) this stage is called Consolidate

Improvements and Produce More Change. It is the seventh of eight of his stages and builds on

the sixth stage in which short-term, attainable, demonstrative improvements are made. In the

seventh stage, it is necessary to use the increased credibility from the initial success to changesystems, structures, and policies that are incongruent with the vision as well as to create an influx

of new personnel who can implement the vision and reinvigorate the change process. In the

eighth stage, the change leaders must articulate the connections between the new behavior and

success, and create new social norms and shared values consistent with changes (cf., Chrissis,

Konrad, & Shrum, 2003; CMMI Product Team, 2009). Based on findings reported in previous

chapters, it is likely that OBTE is currently in the sixth stage (although, see Appendix C for an

exception and a model for a path forward).

Several other models differentiate between the initial and sustained change. Berquist (1993)

differentiated between first-order change and second-order change. First-order change is doing

more of something or doing it better, and it is reversible. It is characterized by adjustments within

the existing structure that are not transformational; the old story can still be told. Second-order

change is considered fundamentally different in that, once the new way is in place, it becomes

impossible to return to the way things are done before. Juran (1999) agrees with this, indicating

that any change initiative actually has two change components: the intended change and the social

consequence. He defines this social consequence as the impact of the intended change on the


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cultural pattern of the human beings involvedon their pattern of beliefs, habits, traditions,

practices, and status symbols. This indicates a lasting and deeper implementation.

Its important to note that different kinds of influencers and implementers are needed at different

stages in a change process. Hishborn (2000) described two personalities that manifest in change

initiatives. In organizational settings, zealots provide the best leadership when the campaign's

strategic theme has yet to take root. Then, consensus builders provide the best leadership whencorporate policies need to be changed. The Diffusion of Innovations model distinguishes between

those who adopt a change early and those who adopt a change later (Rogers, 2005). The early

adopters are more open to change and more willing to take a risk. The late adopters and laggards

are likely to have fewer resources, are more skeptical of the change, and demand more evidence

before adopting the change. These different types of personalities suggest that different activities

are needed to convince different people to adopt a change (cf., Bowling, Beehr, Wagner, &

Libkuman, 2005).

14.3.2 Organizational Culture

A theme in the literature on organizational change is that an understanding of organizational

culture is of paramount importance in implementing change. Vicente (2006) describes culture asan emergent property, the invisible hand that guides behavior.

Culture is manifested both in what people expect from one another and what people

expect from their dealings with the external environment of customers, competitors,supplies and stakeholders. Culture is unspoken, implicit, taken for granted. You feel

the effects of culture when what you do feels appropriate or inappropriate. Culture is

largely invisible, especially to those that live within it. One of the reasons it is

difficult to change is that it is almost impossible to see the norms and expectations

that hold it in place. [p. 10]

Project failure can be closely linked to poor understanding of the targeted culture as well as the

misguided assumptions of project designers (Berger et al, 2007, pp. 121-122; Juran, 1999).

Culture must be understood and addressed if the change is to be durable (Schein, 2009). The useof climate surveys often helps (Zohar, 2007). An understanding of culture helps disambiguate

questions that are inherently vague, such as What aspects of the Army culture are the biggest

barriers to change? Where assessment of the culture of an organization reveals friction, there

will be implications that some aspects of culture may have to change for a new initiative to be

viable and sustainable. Considering such consequences of culture, and the consequences for it,thus can lead to the identification of new requirements. These derived requirements appropriately

supplement the requirements that originally motivated the innovation (cf., Chrissis, et al., 2003).

Rigorously traceable change proposals become contextualized, and the influence of context

becomes traceable and verifiable.

14.3.3 Clarity of Mission and Shared Understanding

A focused mission that is clearly stated and linked to a broader vision can both reflect and

influence the culture of a place (Juran, 1999). The need for change must be understood across the

organization, and that vision for the change must be maintained as newcomers join the ranks ofthe change agents. Lack of understanding about the vision is the most often cited barrier to

change. Participants who understand the vision should be able to answer the question Whats in

it for me? If employees cannot explain the risks of not participating in the change, it is unlikely


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they truly understand the mission (Prosci Research, 2007). Employees are more likely to

understand a mission if they are included as active participants in refining the definition of the

mission to ensure its viability in the local culture, consistency with a broader shared vision, and in

revealing potentially unintentional consequences (Cooperrider et al., 2003; Freeman et al., 2008;

Ludema et al., 2003; Schein, 1992, 1993; see also Appendix C).

Collaboration and communication can be utilized within an organization to achieve both buy inand a deeper understanding of mission, objectives, and practices. This is not to abdicate

leadership. Good leaders can be directive about the process of decision making without being

directive about the solution or content of a decision; leaders can be assertive while leading with

restraint (Roberto, 2005, 2009). They can inspire leadership in others rather than thinking for

them and getting them to do what they are told.

14.3.4 Relevant Observations During the Current Investigation

Broad collaboration and communication is being used to achieve shared understanding of the

organizational climate for change in the Department of Military Instruction (DMI) at the UnitedStates Military Academy (C. Haskins, personal communication, June 9, 2009). The Commander

of DMI has used this approach in prior assignments to build consensus around new initiativesrelated to OBTE. He includes instructors and their command chain in the definition of outcomes

and in the continual adaptation of courses. He requires that the outcomes for his training be

written in plain English so that his subordinates dont apply preconceived notions to

understanding the change he is attempting to implement (Appendix C). Thus they are not merelyincluded. They are participants in thinking and solving problems, which is precisely what they

will try to get their students to do in the courses in DMI. Our informal observations of this

command climate suggest that it is energizing for the participants and that it motivates deeper and

broader engagement.

At Fort Sill, we were able to talk with one battery commander who had been involved with the

implementation of OBTE in his Basic Combat Training Battery. He had generally positive

feelings about OBTE as applied to marksmanship and medical skills. However, when asked if hisfeedback went beyond the Battalion, he was unable to say. This may indicate a risk to the change,

as the proponents of the innovation do not have clear lines of communication with the newadopters. More formal supports could be provided for shared understanding in the context of

organizational change (Cooperrider et al., 2003; Ludema et al., 2003; Schein, 1993; see also,

Appendix C).

14.3.5 Organizational Support and Incentives

Ultimately, even the most optimally primed environment for change must provide adequate

support. Support includes sustainment training, education, material resources, as well as time to

assimilate the new methods (Jorgensen, Owen, & Neus, 2009; Juran, 1999; National Academy for

Academic Leadership, 2007). There is a temptation for upper echelons to assume support isadequate. Thus it is important to continue to probe lower echelons to determine if the necessary

operational and logistical resources are available to all levels in order to promote success (Berger

& Benhow, 2001; National Academy for Academic Leadership, 2007). This gives subordinates

the opportunity to comment on whether or not it is good and sufficient.

Incentives play a large role in accelerating change (Juran, 1999; National Academy for Academic

Leadership, 2007). If participants dont feel any incentive to participate they may not do so, either

actively or passively, or they may participate inconsistently. A critical consideration is that all the


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factors influencing an individuals behavior and performance within an organization should be

aligned. This can be complex in that implicit and indirect influences may not be well understood,

they may be different or inconsistent with explicit criteria, and they may combine with explicit

criteria to create emergent influences that may not be desirable (Rasmussen, 1997). With respect

to OBTE, all the right intentions and preparation for teaching students how to be adaptable and to

develop long-term intangible attributes easily can be undermined by an implicit or explicit

criterion based on throughput or a narrow conception of risk. For such reasons, in OBTE, it isimportant to assess what instructors are doing in addition to what they are achieving, and it is

important to query them about why they are doing what they are doing.

14.4 Conclusions

The intent of this chapter was to demonstrate fruitful lines of inquiry into sources of resistance to

changes necessitated or implied by OBTE. The forces described above are the barriers all

organizations must anticipate and understand if they are to succeed in their quality improvement

initiatives. Given the common themes underlying resistance to change, we designed questions to

help identify patterns and key areas that are blocking progress at all levels involved in planningand executing OBTE (see, e.g., Chapters 9 and 13). With these questions, we began to assess

attitudes and depth of understanding as well as to identify patterns of resistance and the highestyield areas for improving the rate of adoption. We began to see the art of the possible in surveys

and interviews with individuals who were responsible for instruction.

Moving forward, it is clear that a thoroughgoing assessment of an instructional service systemshould include assessments of organizational climate and resistance to change at all levels of an

organization that influences instruction and learning. Moreover, the intent for these assessments

should be similar to the assessments we developed for instructors (see Chapter 2) and students

(see Chapters 7 and 12). They should be replicable and actionable (Chrissis et al., 2003; CMMI

Product Team, 2009). They should provide insights that are credible, transferable, dependable,and confirmable (Denzin & Lincoln, 2003; see Chapter 11). The multidisciplinary research

relevant to organizational change, exemplified by citations in this chapter, can be leveraged to

develop such methods of assessing organizational factors affecting change. Finally,organizational assessments should be commensurate with the measures of instruction and

learning so that there can be a synthesis of the lessons learned. Ultimately, programmaticdecision-making requires an integrated understanding of the instructional service system with

respect to overarching goals and multifaceted ways of making coordinated progress toward those

goals (cf., CMMI Product Team, 2009; Rasmussen, 1997; Riccio & Vicente, 2001; Pellegrino et

al., 2001; see Chapters 1 and 11).

14.5 References

Berger R. & Benhow, D. (2001). The certified quality engineer handbook. ASQ Quality Press.

Bergquist, W, (1993). The Modern Organization: Mastering the Art of Irreversible Change. San

Francisco: Jossey-Bass.Bowling, N., Beehr, T., Wagner, S., & Libkuman, T. (2005). Adaptation-level theory, opponent

process theory, and dispositions: An integrated approach to the stability of job satisfaction.

Journal of Applied Psychology, 90, 6, 10441053.

Chrissis, M.B., Konrad, M. & Shrum, S. (2003). CMMI: Guidelines for process integration and

product improvement. Boston, MA: Pearson Education.

CMMI Product Team (2009). CMMI for services, version 1.2. (CMU/SEI-TR-2009-001; ESCTR-

2009-001). Pittsburgh, PA: Carnegie Mellon University.


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Cooperrider, D., Whitney, D. & Stavros, J. (2003). Appreciative inquiry handbook: The first in a

series of AI worksbooks for leaders of change. Bedford Heights, OH: Lakeshore

Communications.

Edmondson, A. (1999). Psychological safety and learning behavior in work teams.Administrative

Science Quarterly, 44, 350-383.

Freeman, J., Jason, J., Aten, T., Diedrich, F., Cooke, N., Winner, J., Rowe. L., & Riccio, G.

(2008). Shared Interpretation of Commander's Intent (SICI). Final Report to the ArmyResearch Institute for the Behavior and Social Sciences, contract number W74V8H-06-C-

0004.

Headquarters Department of the Army (2005). The Army. Field Manual No. 1-0. Washington,

DC: Headquarters Department of the Army.

Henle, M. (1971). The selected papers of Wolfgang Kohler.New York, NY: Liveright.

Henle, M., J. Jaynes, & Sullivan, J. (Eds.) (1973), Historical conceptions of psychology (pp. 257-

266).New York, NY: Springer.

Hirschhorn, L. & May, L. (2000). The campaign approach to change. Change, 32(3). 30-37.

Jorgensen, H., Owen, L., & Neus, A. (2009). Stop improvising change management! Strategy and

Leadership, 37(2), 38-44.Juran, J. M. (1999). The quality improvement process. In J.M. Juran & A.B. Godfrey (Eds.).

Jurans Quality Handbook (5thedition). McGraw Hill, New York.Kotter, J. P. (1995). Leading change why transformation efforts fail. Harvard Business Review,

March-April, 59-67.

Lewin, K. (1951).Field theory in the social sciences. New York, NY: Harper.

Lewin, K & Grabbe, P. (1945). Conduct, knowledge, and acceptance of new values. The Journalof Social Issues, 1 (3), 53-64.

Ludema, J., Whitney, d., Mohr, B., & Griffin, T. (2003). The appreciative inquiry summit: A

practitioners guide to leading large-group change. San Francisco, CA: Barrett-Koehler.

National Academy for Academic Leadership (2007).Leadership & institutional change.

Retrieved April 1, 2009 fromhttp://www.thenationalacademy.org/ready/change.html.Pellegrino, J., Chudowsky, N., & Glaser, R. (Eds.) (2001).Knowing what students know: The

science and design of educational assessment. Washington, DC: National Academy Press.

Prosci Research (2007).Best practices in change management: Benchmarking report. Loveland,CO: Prosci Research. Retrieved March 30, 2009 from http://www.prosci.com/tutorial-

resistance.htm.Rasmussen, J. (1997). Risk management in a dynamic society: a modeling problem. Safety

Science, 27, 183-213.

Riccio, G. & Vicente, K. (2001). Coping with change and novelty in energy facility operations:

Recommendations for knowledge-based, extra-procedural problem solving. In: M. Gross &

T. Ayes (Eds.), Electrical Power Research Institute Report 1004666. Palo Alto, CA: EPRI.Roberto, (2005).Managing for conflict and consensus: Why great leader dont take yes for an

answer. Saddle River, NJ: Wharton School Publishing.

Roberto, M. (2009).Know What You Don't Know: How Great Leaders Prevent Problems Before

They Happen. Saddle River, NJ: Wharton School Publishing.

Rogers, E. M. (2005).Diffusion of Innovations. Glencoe: Free Press.Snook, S. (2000).Friendly Fire: The Accidental Shootdown of U.S. Black Hawks over Northern

Iraq. Princeton, NJ: Princeton University Press.

Salmoni, B. (2007). Recommendations to plenum from panel E: Military as culture.Pedagogy

for the Long WarTeaching Irregular Warfare. Quantico, VA: United States Naval

Academy and Marine Corps.

Schein, E. (1968). Personal change through interpersonal relationships. In W. Bennis, W., E.

Schein, F. Steele, & D. Berlew, D. (Eds.).Interpersonal Dynamics. Homewood, NJ: Dosey

Press.


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TABLE OF CONTENTS

.

page

Prologue: A Programmatic View of the Inquiry into Outcomes-Based Training & Education....... 1Historicity of our Research on OBTE..........................................................................................1The Approach and Lessons Learned from the Research..............................................................3Documentation of the Research ...................................................................................................4

Section I. Development of Stakeholder Requirements for OBTE..............................................6 Chapter 1. Preparation for Full Spectrum Operations ......................................................................7

1.1 Requirements of Full Spectrum Operations...........................................................................81.2 Outcomes-Based Training and Education (OBTE)..............................................................10

1.2.1 Exemplar of OBTE: Combat Applications Training Course........................................111.2.2 OBTE as a Multifaceted Instructional System .............................................................12

1.3 An Appraisal of Instruction with Respect to OBTE ............................................................131.3.1 A Systems Engineering Framework for Integration and Development of OBTE........131.3.2 Preparation for Validation and Verification .................................................................14

1.4 References ............................................................................................................................17Chapter 2. Formative Measures for Instructors..............................................................................20

2.1 Development of Formative Measures ..................................................................................202.1.1 The COMPASS Methodology......................................................................................202.1.2 Development of Measures for OBTE ...........................................................................21

2.2 Description of Formative Measures .....................................................................................212.2.1 Results of the COMPASS Process................................................................................212.2.2 Elaboration on the Description of Measures.................................................................23

2.3 OBTE Performance Measures: Planning for Training.........................................................232.3.1 Define Outcomes ..........................................................................................................232.3.2 Create a Positive Learning Environment......................................................................252.3.3 Create the Parameters of Learning................................................................................27

2.4 OBTE Performance Indicators: Training Execution............................................................282.4.1 Communicate the Parameters of Learning....................................................................282.4.2 Training Emphasizes Broad Combat or Mission Success ............................................292.4.3 Customize Instruction When Possible Based on Constraints/Conditions ....................312.4.4 Facilitates Learning of Concepts ..................................................................................322.4.5 Creates a positive learning environment.......................................................................342.4.6 Instructors Utilize Measures of Effectiveness & Self-Evaluation................................362.4.7 Uses scenarios to facilitate learning..............................................................................382.4.8 Instructors exhibit intangible attributes in own actions................................................402.4.9 Hotwashes and Mini-AAR............................................................................................42

2.5 Uses of the Measures ...........................................................................................................432.5.1 Formative Measures for Instructors..............................................................................442.5.2 Quality Assurance and Instructor Education ................................................................442.5.3 Continuous Improvement of Assessments....................................................................452.5.4 Program Evaluation and Organizational Change..........................................................46

2.6 References ............................................................................................................................46


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Chapter 3. Principles and Practices of Outcomes Based Training & Education............................503.1 Multifaceted Inquiry.............................................................................................................50

3.1.1 Interaction with Progenitors of OBTE..........................................................................513.1.2 AWG Documents on OBTE .........................................................................................523.1.3 Collaborative Reflection on Participant Observation in CATC ...................................523.1.4 Interaction with Stakeholders .......................................................................................53

3.2 Essential Characteristics of OBTE.......................................................................................533.2.1 The Meaning of Developmental is a Critical Difference..............................................533.2.2 The Definition of Outcomes is a Critical Difference....................................................563.2.3 The Emphasis on Values and Causally Potent Intangibles is a Critical Difference .....583.2.4 The Meaning of Experience is a Critical Difference....................................................613.2.5 The Emphasis on Instructor-Student Interactions is a Critical Difference ...................623.2.6 The Emphasis on Learning to Learn is a Critical Difference .......................................633.2.7 The Emphasis on Collaborative Design and Development is a Critical Difference.....65

3.3 Toward a Grounded Theory for OBTE................................................................................663.3.1 Need for an Integrated Interdisciplinary Framework ...................................................663.3.2 Formative Measures of Instructor Behavior as Evolving Best Practices of OBTE......67

3.4 Emerging Best Practices in OBTE for a Community-Centered Environment.....................683.4.1 Leadership and Enculturation of Soldiers.....................................................................683.4.2 Robust and Adaptable Plan...........................................................................................703.4.3 Instructors as Role Models ...........................................................................................703.4.4 Collaborative Identification of Outcomes and Measures .............................................71

3.5 Emerging Best Practices in OBTE for a Knowledge-Centered Environment .....................713.5.1 Integrated Understanding of Basic Soldier Skills in Full Spectrum Operations ..........723.5.2 Task Relevance of Planned Instructional Events..........................................................723.5.3 Reveal Operational Relevance of Training...................................................................733.5.4 Incorporate Stress into Instructional Events .................................................................733.5.5 Identify General Lessons Learned and Extrapolate to New Situations ........................74

3.6 Emerging Best Practices in OBTE for an Assessment-Centered Environment...................743.6.1 Collaborative Reflection and Problem Solving ............................................................753.6.2 Communication.............................................................................................................753.6.3 Nature and Extent of Guidance.....................................................................................763.6.4 Establish a Pervasive Mindset of Collaborative Reflection..........................................76

3.7 Emerging Best Practices in OBTE for a Learner-Centered Environment ...........................773.7.1 Soldier Motivation and Development of Intangibles....................................................773.7.2 Plan for Development of the Individual .......................................................................783.7.3 Get Students to Take Ownership ..................................................................................783.7.4 Collaborative Reflection as a Means to Develop Self Efficacy....................................79

3.8 References ............................................................................................................................79Chapter 4. Grounded Theory for Values-Based Training & Education.........................................86

4.1 Exploration of Holistic and Functionalistic Underpinnings for OBTE ...............................864.1.1 Fundamental Units of Analysis.....................................................................................874.1.2 Nested Time Scales and Adaptability...........................................................................884.1.3 Adaptability and Ambiguity .........................................................................................904.1.4 Mechanistic Analogies and Predominant Experimental Paradigms .............................92

4.2 Three Pillars for the Scientific Foundation of OBTE ..........................................................93 4.2.1 Ecological Psychology..................................................................................................934.2.2 Self-Efficacy Theory.....................................................................................................974.2.3 Positive psychology......................................................................................................98

4.3 A More Integrated Scientific Infrastructure.......................................................................101


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4.3.1 Self Determination Theory .........................................................................................1014.3.2 Situated Learning Theory ...........................................................................................1034.3.3 Existential Psychology................................................................................................105

4.4 Building on the Scientific Infrastructure for OBTE...........................................................1094.4.1 Triadic Frameworks....................................................................................................1094.4.2 Further Development ..................................................................................................112

4.5 References ..........................................................................................................................112Chapter 5. Passion and Reason in Values-Based Learning & Development ...............................118

5.1 The Nested Self ..................................................................................................................1185.1.1 An Alternative to Individual versus Collective ..........................................................1185.1.2 Cognition and Reality .................................................................................................119

5.2 Conscious Experience and the Dynamics of Thinking ......................................................1225.3 Emotion, Information, and Engagement ............................................................................125

5.3.1 Ecological Perspective on Emotion ............................................................................1255.3.2 Emotion as Engagement .............................................................................................1265.3.3 Implications for Training and Education....................................................................129

5.4 Emotion, Decision-Making, and Inter-Temporal Choice...................................................1295.4.1 Toward a More Integrated Theory..............................................................................1295.4.2 Emotion and Decision-Making...................................................................................1305.4.3 Emotion and Nested Time Scales ...............................................................................1315.4.4 Neuroeconomics and Inter-Temporal Reasoning .......................................................1325.5.5 Inter-Temporal Reasoning and Adaptive Dynamical Systems...................................133

5.5 Beyond Science..................................................................................................................1345.5.1 Existentialism..............................................................................................................1345.5.2 The Soldier-Scholar as an Emergent Property of a Collective Pursuit.......................135

5.6 References ..........................................................................................................................137Section II. Verification and Validation of OBTE as a Service System ..................................142 Chapter 6. Initial Impressions of Participation in CATC .............................................................1436.1 Methods..............................................................................................................................143

6.1.1 Participants..................................................................................................................1436.1.2 Procedure ....................................................................................................................1436.1.3 Analyses......................................................................................................................144

6.2 Results ................................................................................................................................1446.3 Implications for Service System Development: Peer Review ...........................................1466.4 References ..........................................................................................................................147

Chapter 7. Local Development of Measures of Effectiveness .....................................................1497.1 What do Instructors Believe Soldiers Should Learn in Initial Entry Training?.................1497.2 Measure Development Process ..........................................................................................1507.3 What do OBTE-Trained DS Believe is Important to Assess in BRM/ARM? ................... 1517.4 Implications........................................................................................................................1567.5 Conclusions........................................................................................................................1587.6 References ..........................................................................................................................159


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Chapter 8. Observations of Behavior and Communication in Rifle Marksmanship Training .....1608.1 Methods..............................................................................................................................160

8.1.1 Participants..................................................................................................................1608.1.2 Procedure ....................................................................................................................1608.1.3 Analyses......................................................................................................................161

8.2 Results ................................................................................................................................1638.2.1 Behavior of DS ...........................................................................................................1638.2.2 Behavior and Performance of Privates .......................................................................1658.2.3 Patterns of Communication ........................................................................................1688.2.4 Potential Influence of Instructor Behavior on Performance of Privates.....................170

8.3 Implications for Service System Development..................................................................1718.3.1 Verification of OBTE .................................................................................................1718.3.2 Validation of OBTE....................................................................................................172

8.4 References ..........................................................................................................................173Chapter 9. Impact on Rifle Marksmanship Training....................................................................174

9.1 Behavioral Data Collection During Basic Rifle Marksmanship ........................................1749.1.1 Method........................................................................................................................1749.1.2 Assessment..................................................................................................................1759.1.3 Results An Overview...............................................................................................1779.1.4 Evidence for Influence of OBTE................................................................................1789.1.5 Behavior of Drill Sergeants after Exposure to OBTE ................................................1809.1.6 Behavior of Privates....................................................................................................1829.1.7 Patterns of Communication ........................................................................................1869.1.8 Summary.....................................................................................................................186

9.2 Attitudes Toward an OBTE in Basic Training...................................................................1879.2.1 Method........................................................................................................................1879.2.2 Results.........................................................................................................................187

9.4 References ..........................................................................................................................191Chapter 10. Influence of CATC in an Operational Setting ..........................................................19210.1 Methods............................................................................................................................192

10.1.1 Participants................................................................................................................19210.1.2 Procedure ..................................................................................................................19210.1.3 Analyses....................................................................................................................193

10.2 Results ..............................................................................................................................19310.2.1 Downstream Impact on Marksmanship ....................................................................19310.2.2 Downstream Impact on Training in the Units ..........................................................19410.2.3 Downstream Impact on Self Efficacy.......................................................................195

10.3 Implications for Service System Development: Validation.............................................19610.4 References ........................................................................................................................197

Chapter 11. Implications for Service System Development.........................................................19811.1 Lessons Learned about Transfer of OBTE.......................................................................19811.2 Implications for Service System Development................................................................199

11.2.1 Further Development and Analysis of Stakeholder Requirements for OBTE..........19911.2.2 Further Development of OBTE as a Service System ...............................................199 11.2.3 Further Verification and Validation of OBTE..........................................................201

11.3 References ........................................................................................................................203


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Chapter 15. Five ways OBTE can enable the Army Leader Development Strategy....................24215.1 Background ......................................................................................................................24215.2 An Emerging Consensus..................................................................................................244

15.2.1 What Part to Balance?...............................................................................................24415.2.2 Improving Training, by Design ................................................................................24515.2.3 Increased Use of dL and Dependence on Self-Development ...................................24615.2.4 Future Orientation, Unknown Requirements............................................................24715.2.5 The Quality Instructor Challenge .............................................................................24715.2.6 Purpose and Design are Key.....................................................................................24815.2.7 A Natural Advantage ................................................................................................24915.2.8 Task Specialization or Generalized Competency.....................................................249

15.3 Conclusion........................................................................................................................25115.4 References ........................................................................................................................252

Epilogue. Integration of Leader Development, Education, Training, and Self-Development.....254Toward Values-Based Standards for Army Doctrinal Requirements ......................................254Nested Standards and Quality Assurance.................................................................................256Needs and Opportunities for Staff & Faculty Development.................................................... 259

A Role for Science and Measurement .................................................................................259Toward Best Practices in Instructor Education....................................................................260Critical Considerations for Further Scientific Investigation ....................................................263

The Necessity of Long-Term Studies ..................................................................................263False Dichotomy of Objective-Subjective...........................................................................264Clarity About What Is Evaluated.........................................................................................265Next Steps ............................................................................................................................266

References ................................................................................................................................268Section IV. Appendices...............................................................................................................270 Appendix A. OBTE Principles & Practices: Instructor Measures................................................271

A.1 Genesis of Formative Measures for Instructors ................................................................271A.2 Principles of Outcomes-Based Training & Education......................................................272A.3 Guide to Using Measures of Instructor Behavior..............................................................276A.4 Complete Menu of Instructor Measures............................................................................279

Appendix B. OBTE Principles & Practices: Student Measures...................................................318B.1 Guide to Using Measures of Student Behavior ................................................................. 318B.2 Complete Menu of Student Measures ...............................................................................319

Appendix C: A Commanders View of Outcomes-Based Training and Education..................... 340Summary ..................................................................................................................................340

Definition.............................................................................................................................340Description...........................................................................................................................340 Elements of OBTE. ..................................................................................................................341Developing the Outcomes....................................................................................................341Developing the Training Plan ..............................................................................................341Conducting Training............................................................................................................342How Training is Assessed....................................................................................................344

Conclusion................................................................................................................................344


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Appendix D: Warrior Ethos..........................................................................................................345Analysis of the Concept and Initial Development of Applications..........................................345

Current Understanding of Warrior Ethos.............................................................................345Purpose.................................................................................................................................348 Approach..............................................................................................................................348 Expansion of the Definition of Warrior Ethos.....................................................................348The Tenets of Warrior Ethos ...............................................................................................349Clarifying the Definition of Warrior Ethos..........................................................................351Warrior Attributes Derived from the Tenets of Warrior Ethos ...........................................353

References ................................................................................................................................355Supplementary Work Product from Warrior Ethos Project .....................................................355

Appendix E: Indicators of Warrior Ethos.....................................................................................356Methods....................................................................................................................................356

Participants...........................................................................................................................356 Instruments and Facilities ....................................................................................................356Procedure .............................................................................................................................356

Results ...................................................................................................................................... 358Qualitative Findings.............................................................................................................358Quantitative Findings...........................................................................................................358

Discussion ................................................................................................................................359


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