Ethical issues and their impact on the Army

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US ARMY SERGEANTS MAJOR ACADEMY

Sergeants Major Course (SMC) Foundational Leadership Concepts

Introduction to Critical Thinking and Problem Solving

Doctrinal Excerpts

ADRP 6-22

Intellect

BASICS OF AN ARMY LEADER’S INTELLECT 5-1. An Army leader’s intellect draws on the mental tendencies and resources that shape conceptual abilities applied to one’s duties and responsibilities. Conceptual abilities enable effective problem solving and sound judgment before implementing concepts and plans. They help one think creatively and reason analytically, critically, ethically, and with cultural sensitivity to consider unintended as well as intended consequences. Leaders must anticipate the second- and third-order effects of their actions.

5-2. The conceptual components affecting an Army leader’s intellect include:

Mental agility.

Sound judgment.

Innovation.

Interpersonal tact.

Expertise.

MENTAL AGILITY 5-3. Mental agility is a flexibility of mind, an ability to anticipate or adapt to uncertain or changing situations. Agility enables

thinking through second- and third-order effects when current decisions or actions are not producing the desired results. Mental

agility provides organizations with operational adaptability to develop situational understanding to seize, retain, and exploit the

initiative.

5-4. Mental agility relies upon inquisitiveness and the ability to reason critically. Inquisitive leaders are eager to understand a

broad range of topics and keep an open mind to multiple possibilities before reaching an optimal solution. Critical thinking is a

thought process that aims to find facts, to think through issues, and solve problems. Central to decision making, critical

thinking enables understanding of changing situations, arriving at justifiable conclusions, making good judgments, and learning

from experience. Critical and creative thinking are the basis for the Army Design Methodology to understand, visualize, and

describe complex, ill-structured problems and develop approaches to solve them. Critical thinking captures the reflection and

continuous learning essential to applying Army Design Methodology concepts. Creative thinking involves thinking in

innovative ways while capitalizing on imagination, insight, and novel ideas.

5-5. Critical thinking examines a problem in depth from multiple points of view. This is an important skill for Army leaders - it

allows them to influence others and shape organizations. The first and most important step in finding an appropriate solution is

to isolate the main problem. A leader’s mental agility to quickly isolate a problem and identify solutions generates initiative to

adapt during operations. Leaders must instill agility and initiative within subordinates by creating a climate that encourages

participation and trust. Identifying and accepting honest mistakes in training makes subordinates more likely to develop

initiative. These qualities are necessary in the generating force and the operational Army.

SOUND JUDGMENT 5-6. Judgment requires the capacity to assess situations shrewdly and to draw rational conclusions. Consistent good judgment

enables leaders to form sound opinions and make reliable estimates and sensible decisions. Leaders acquire experience through

trial and error and by observing others. Learning from others can occur through mentoring and coaching by superiors, peers,

and even subordinates.

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5-7. Often, leaders must juggle facts, questionable data, and intuitive feelings to arrive at a quality decision. Good judgment

informs the best decision for the situation. It is a key attribute of transforming knowledge into understanding and quality

execution.

5-8. Judgment contributes to an ability to determine possible courses of action and decide what action to take. Before choosing,

leaders consider the consequences. Some sources that aid judgment are senior leaders’ intents, desired outcomes, laws,

regulations, experience, and values. Good judgment includes the ability to assess subordinates, peers, and the enemy for

strengths and weaknesses to create appropriate solutions and action. Like mental agility, it is a critical part of problem solving

and decision making.

INNOVATION 5-9. Innovation describes the ability to introduce something new when needed or as opportunities exist. Innovative leaders tend

to be inquisitive and good problem solvers. Being innovative includes creativity in producing original and worthwhile ideas.

Leaders should seize such opportunities to think creatively and to innovate. A key concept for creative thinking is developing

new ideas and approaches to accomplish missions. Creative thinking uses adaptive approaches (drawing from previous

circumstances) or innovative approaches (developing completely new ideas).

5-10. Leaders think creatively to adapt to new environments. Innovative leaders prevent complacency by finding new ways to

challenge subordinates with forward-looking approaches and ideas. To be innovators, leaders rely on intuition, experience,

knowledge, and input from subordinates. Innovative leaders reinforce team building by making everybody responsible for, and

stakeholders in, the innovation process.

ADRP 5-0

APPLY CRITICAL AND CREATIVE THINKING 1-40. Commanders and staffs apply critical and creative thinking throughout the operations process to assist them with

understanding situations, making decisions, and directing action. Critical thinking is purposeful and reflective judgment about

what to believe or what to do in response to observations, experience, verbal or written expressions, or arguments. Creative

thinking involves creating something new or original. Creative thinking leads to new insights, novel approaches, fresh

perspectives, and new ways of understanding and conceiving things.

1-41. Critical and creative thinking are indispensable to the operations process. For both commanders and staffs, these two

skills begin with a rigorous analysis of friendly and enemy forces, as they relate to one another in time and space. This analysis

includes weapons systems ranges, mobility options afforded by terrain and weather, operational reach, communications

systems ranges, sustainment, and other considerations of the operational and mission variables. Disciplined and focused

analysis of the operational and mission variables, coupled with critical and creative thinking about the challenges and

opportunities resulting from that analysis, is essential to developing a full appreciation of the range of alternatives available to

accomplish missions.

1-42. Red teams assist commanders and staffs with critical and creative thinking and help them avoid groupthink, mirror

imaging, cultural missteps, and tunnel vision throughout the conduct of operations. Red teaming enables commanders to

explore alternative plans and operations in the context of their operational environment, and from the perspective of unified

action partners, adversaries, and others. Throughout the operations process, red team members help identify relevant actors,

clarify the problem, and explain how others (unified action partners, the population, and the enemy) may view the problem

from their perspectives. They challenge assumptions and the analysis used to build the plan. In essence, red teams provide

commanders and staffs with an independent capability to challenge the organization’s thinking. (See ATTP 5-0.1 for a more

detailed discussion of the duties and responsibilities of red teams assigned to divisions, corps, and Army service component

commands.)

UNDERSTAND AND DEVELOP SOLUTIONS TO PROBLEMS 2-8. A problem is an issue or obstacle that makes it difficult to achieve a desired goal or objective. In a broad sense, a problem

exists when an individual becomes aware of a significant difference between what actually is and what is desired. In the

context of operations, an operational problem is the issue or set of issues that impede commanders from achieving their desired

end state.

2-9. Throughout operations, Army leaders face various problems, often requiring unique and creative solutions. Planning helps

commanders and staffs understand problems and develop solutions. Not all problems require the same level of planning. For

simple problems, leaders often identify them and quickly decide on a solution—sometimes on the spot. Planning is critical,

however, when a problem is actually a set of interrelated issues, and the solution to each affects the others. For unfamiliar

situations, planning offers ways to deal with the complete set of problems as a whole. In general, the more complex a situation

is, the more important and involved the planning effort becomes.

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2-10. Just as planning is only part of the operations process, planning is only part of problem solving. In addition to planning,

problem solving includes implementing the planned solution (execution), learning from the implementation of the solution

(assessment), and modifying or developing a new solution as required. The object of problem solving is not just to solve near-

term problems, but to do so in a way that forms the basis for long-term success.

FM 6-0

Chapter 4

Problem Solving Problem solving is a daily activity for leaders. This chapter describes types of problems

followed by a description of a systematic approach to assist in solving well and medium-

structured problems.

PROBLEMS 4-1. The ability to recognize and effectively solve problems is an essential skill for leaders. A problem is an issue or obstacle

that makes it difficult to achieve a desired goal or end state. The degree of interactive complexity of a given situation is the

primary factor that determines that problem’s structure. Problems range from well-structured to ill-structured. (See ADRP 5-0

more discussion on types of problems.)

4-2. Well-structured problems are easy to identify, required information is available, and methods to solve them are somewhat

obvious. While often difficult to solve, well-structured problems have verifiable solutions. Problems of mathematics and time

and space relationships, as in the case with detailed logistics planning and engineering projects, illustrate well-structured

problems. For well-structured problems, leaders may use the problem solving process, troop leading procedures, or the military

decision making process (MDMP).

4-3. Medium-structured problems are more interactively complex than well-structured problems. For example, a field manual

describes how a combined arms battalion conducts a defense, but it offers no single solution that applies to all circumstances.

Leaders may agree on the problem and the end state for the operation. However, they may disagree about how to apply the

doctrinal principles to a specific piece of terrain against a specific enemy. Medium-structured problems may require iterations

of the problem solving process, troop leading procedures, or the MDMP.

4-4. Ill-structured problems are complex, nonlinear, and dynamic; therefore, they are the most challenging to understand and

solve. Unlike well- or medium-structured problems, leaders disagree about how to solve ill-structured problems, what the end

state should be, and whether the desired end state is even achievable. Army design methodology assists leaders in

understanding ill-structured problems and developing operational approaches to manage or solve those problems. (See ADRP

5-0 for more information on the Army design methodology.)

4-5. Not all problems require lengthy analysis. For well-structured problems, leaders may make quick decisions based on their

experiences. For well-structured or medium-structured problems involving a variety of factors, leaders need a systematic

problem-solving process. The objective of problem solving is not just to solve near-term problems, but to also do so in a way

that forms the basis for long-term success.

THE PROBLEM SOLVING PROCESS 4-6. Troop leading procedures and the MDMP are specifically designed for planning and problem solving for conducting

operations. For situations when operational planning is not appropriate, the Army’s approach to problem solving involves the

following steps:

Gather information and knowledge.

Identify the problem.

Develop criteria.

Generate possible solutions.

Analyze possible solutions.

Compare possible solutions.

Make and implement the decision.

GATHER INFORMATION AND KNOWLEDGE 4-7. Gathering information and knowledge and is an important first step in problem solving. Leaders cannot understand or

identify the problem without first gathering information and knowledge. While described as a step, gathering information and

knowledge continues throughout the problem solving process. It helps leaders understand the situation and determine what the

problem is by defining its limitations and scope. Leaders never stop acquiring and assessing the impact of new or additional

information relevant to the problem.

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4-8. Leaders require facts and assumptions to solve problems. Understanding facts and assumptions is critical to understanding

problem solving. In addition, leaders need to know how to handle opinions and organize information.

Facts 4-9. Facts are verifiable pieces of information that have objective reality. They form the foundation on which leaders base

solutions to problems. Regulations, policies, doctrinal publications, commander’s guidance, plans and orders, and personal

experiences are just a few sources of facts.

Assumptions 4-10. An assumption is a supposition on the current situation or a presupposition on the future course of events, either or both

assumed to be true in the absence of positive proof, necessary to enable the commander in the process of planning to complete

an estimate of the situation and make a decision on the course of action (JP 5-0). In other words, an assumption is information

that is accepted as true in the absence of facts, but cannot be verified. Appropriate assumptions used in decision making have

two characteristics:

They are valid; that is, they are likely to be true.

They are necessary; that is, they are essential to continuing the problem solving process.

4-11. If the process can continue without making a particular assumption, leaders discard that assumption. So long as an

assumption is both valid and necessary, leaders treat it as a fact. Problem solvers continually seek to confirm or deny the

validity of their assumptions.

Opinions 4-12. When gathering information, leaders evaluate opinions carefully. An opinion is a personal judgment that the leader or

another individual makes. Opinions cannot be totally discounted. They are often the result of years of experience. Leaders

objectively evaluate opinions to determine whether to accept them as facts, include them as opinions, or reject them.

Organizing Information 4-13. Leaders check each piece of information to verify its accuracy. If possible, two individuals should check and confirm the

accuracy of facts and the validity of assumptions. Being able to establish whether a piece of information is a fact or an

assumption is of little value if those working on the problem do not know the information exists. Leaders share information

with the decision maker, subordinates, and peers, as appropriate. A proposed solution to a problem is only as good as the

information that forms the basis of the solution. Sharing information among members of a problem-solving team increases the

likelihood that a team member will uncover the information that leads to the best solution.

4-14. Organizing information includes coordination with units and agencies that may be affected by the problem or its solution.

Leaders determine these as they gather information. They coordinate with other leaders as they solve problems, both to obtain

assistance and to keep others informed of situations that may affect them. Such coordination may be informal and routine. For

an informal example, a squad leader checks with the squad to the right to make sure their fields of fire overlap. For a formal

example, a division action officer staffs a decision paper with the major subordinate commands. As a minimum, leaders always

coordinate with units or agencies that might be affected by a solution they propose before they present it to the decision maker.

IDENTIFY THE PROBLEM 4-15. A problem exists when the current state or condition differs from or impedes achieving the desired end state or condition.

Leaders identify problems from a variety of sources. These include—

Higher headquarters’ directives or guidance.

Decisionmaker’s guidance.

Subordinates.

Personal observations.

4-16. When identifying a problem, leaders actively seek to identify its root cause, not merely the symptoms on the surface.

Symptoms may be the reason that the problem became visible. They are often the first things noticed and frequently require

attention. However, focusing on the symptoms of a problem may lead to false conclusions or inappropriate solutions. Using a

systematic approach to identifying the real problem helps avoid the “solving symptoms” pitfall.

4-17. Leaders do the following to identify the root cause of a problem:

Compare the current situation to the desired end state.

Define the problem’s scope or boundaries.

Answer the following questions:

Who does the problem affect?

What does the problem affect?

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When did the problem occur?

Where is the problem?

Why did the problem occur?

Determine the cause of obstacles between current and desired end state.

Write a draft problem statement.

Focus information collection efforts specific to the problem.

Redefine the problem as necessary as the staff acquires and assesses new knowledge and information.

Update facts and assumptions.

4-18. After identifying the root causes, leaders develop a problem statement—a statement that clearly describes the problem to

be solved. When the staff bases the problem upon a directive from a higher authority, it is best to submit the problem statement

to the decision maker for approval. This ensures the problem solver has understood the decision maker’s guidance before

continuing.

4-19. Once leaders develop a problem statement, they make a plan to solve the problem. Leaders make the best possible use of

available time and allocate time for each problem-solving step. This allocation provides a series of deadlines to meet in solving

the problem. Leaders use reverse planning to prepare their problem-solving timeline. They use this timeline to periodically

assess progress. They do not let real or perceived pressure cause them to abandon solving the problem systematically. They

change time allocations as necessary, but they do not omit steps.

DEVELOP CRITERIA 4-20. The third step in the problem-solving process is developing criteria. A criterion is a standard, rule, or test by which

something can be judged—a measure of value. Problem solvers develop criteria to assist them in formulating and evaluating

possible solutions to a problem. Criteria are based on facts or assumptions. Problem solvers develop two types of criteria:

screening and evaluation.

SCREENING CRITERIA 4-21. Leaders use screening criteria to ensure solutions they consider can solve the problem. Screening criteria defines the

limits of an acceptable solution. They are tools to establish the baseline products for analysis. Leaders may reject a solution

based solely on the application of screening criteria. Leaders commonly ask five questions of screening criteria to test a

possible solution:

Is it suitable?—Does it solve the problem and is it legal and ethical?

Is it feasible?—Does it fit within available resources?

Is it acceptable?—Is it worth the cost or risk?

Is it distinguishable?—Does it differ significantly from other solutions?

Is it complete?—Does it contain the critical aspects of solving the problem from start to finish?

EVALUATION CRITERIA 4-22. After developing screening criteria, the problem solver develops the evaluation criteria in order to differentiate among

possible solutions. (See figure 4-1.) Well-defined evaluation criteria have five elements:

Short Title—the criterion name.

Definition—a clear description of the feature being evaluated.

Unit of Measure—a standard element used to quantify the criterion. Examples of units of measure are U.S. dollars, miles

per gallon, and feet.

Benchmark—a value that defines the desired state or “good” for a solution in terms of a particular criterion.

Formula—an expression of how changes in the value of the criterion affect the desirability of the possible solution. The

problem solver states the formula in comparative terms (for example, less is better) or absolute terms (for example, a night

movement is better than a day movement).

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Figure 4-1. Sample evaluation criterion 4-23. A well thought-out benchmark is critical for meaningful analysis. Decision makers employ analysis to judge a solution

against a standard, determining whether that solution is good in an objective sense. It differs from comparison, in which

decision makers judge possible solutions against each other, determining whether a solution is better or worse in a relative

sense. Benchmarks are the standards used in such analysis. They may be prescribed by regulations or guidance from the

decision maker. Sometimes, a decision maker can infer the benchmark by the tangible return expected from the problem’s

solution. Often, however, leaders establish benchmarks themselves. Four common methods for doing this are:

Reasoning—based on personal experience and judgment as to what is good.

Historical precedent—based on relevant examples of prior success.

Current example—based on an existing condition, which is considered desirable.

Averaging—based on the mathematical average of the solutions being considered. Averaging is the least preferred of all

methods because it essentially duplicates the process of comparison.

4-24. In practice, the criteria by which choices are made are almost never of equal importance. Because of this, it is often

convenient to assign weights to each evaluation criterion. Weighting criteria establishes the relative importance of each one

with respect to the others. Weighting should reflect the judgment of the decision maker or acknowledged experts as closely as

possible. For example, a decision maker or expert might judge that two criteria are equal in importance, or that one criterion is

slightly favored in importance, or moderately or strongly favored. If decision makers assign these verbal assessments numerical

values, from 1 to 4 respectively, they can use mathematical techniques to produce meaningful numerical criteria weights.

GENERATE POSSIBLE SOLUTIONS 4-25. After gathering information relevant to the problem and developing criteria, leaders formulate possible solutions. They

carefully consider the guidance provided by the commander or their superiors, and develop several alternatives to solve the

problem. Too many possible solutions may result in time wasted on similar options. Experience and time available determine

how many solutions leaders consider. Leaders should consider at least two solutions. Limiting solutions enables the problem

solver to use both analysis and comparison as problem-solving tools. Developing only one solution to “save time” may produce

a faster solution but risks creating more problems from factors not considered.

4-26. When developing solutions, leaders generate options. They then summarize solutions in writing, sketches, or both.

GENERATE OPTIONS 4-27. Leaders must use creativity to develop effective solutions. Often, groups can be far more creative than individuals.

However, those working on solutions should have some knowledge of or background in the problem area.

4-28. The basic technique for developing new ideas in a group setting is brainstorming. Brainstorming is characterized by

unrestrained participation in discussion. While brainstorming, leaders—

State the problem and make sure all participants understand it.

Appoint someone to record all ideas.

Withhold judgment of ideas.

Encourage independent thoughts.

Aim for quantity, not quality.

Hitchhike ideas—combine one person’s thoughts with those of others.

At the conclusion of brainstorming, leaders may discard solutions that clearly miss the standards described by the screening

criteria. If this informal screen leaves only one or no solution, then leaders need to generate more options.

SUMMARIZE THE SOLUTION IN WRITING AND SKETCHES 4-29. After generating options, leaders accurately record each possible solution. The solution statement clearly portrays how

the action or actions solve the problem. In some circumstances, the solution statement may be a single sentence. For example,

it might be “Provide tribal leader with the means to dig a well.” In other circumstances, the solution statement may require

more detail, including sketches or concept diagrams. For example, if the problem is to develop a multipurpose small-arms

range, leaders may choose to portray each solution with a narrative and a separate sketch or blueprint of each proposed range.

ANALYZE POSSIBLE SOLUTIONS 4-30. Having identified possible solutions, leaders analyze each one to determine its merits and drawbacks. If criteria are well

defined, including a careful selection of benchmarks, analysis is greatly simplified. 4-31. Leaders use screening criteria and

benchmarks to analyze possible solutions. They apply screening criteria to judge whether a solution meets minimum

requirements. For quantitative criteria, they measure, compute, or estimate the raw data values for each solution and each

criterion. In analyzing solutions that involve predicting future events, they use war-gaming, models, and simulations to

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visualize events and estimate raw data values for use in analysis. Once raw data values have been determined, the leader judges

them against applicable screening criteria to determine if a possible solution merits further consideration. Leaders screen out

any solution that fails to meet or exceeds the set threshold of one or more screening criteria.

4-32. After applying the screening criteria to all possible solutions, leaders use benchmarks to judge them with respect to the

desired state. Data values that meet or exceed the benchmark indicate that the possible solution achieves the desired end state.

Data values that fail to meet the benchmark indicate a poor solution that fails to achieve the desired end state. For each

solution, leaders list the areas in which analysis reveals it to be good or not good. Sometimes the considered solutions fail to

reach the benchmark. When this occurs, the leader points out the failure to the decision maker.

4-33. Leaders carefully avoid comparing solutions during analysis. Comparing solutions during analysis undermines the

integrity of the process and tempts problem solvers to jump to conclusions. They examine each possible solution independently

to identify its strengths and weaknesses. They are also careful not to introduce new criteria.

COMPARE POSSIBLE SOLUTIONS 4-34. During this step, leaders compare each solution against the others to determine the optimum one. Comparing solutions

identifies which solution best solves the problem based on the evaluation criteria. Leaders use any comparison technique that

helps reach the best recommendation. The most common technique is a decision matrix. (See paragraphs 9-176 through 9-182

for information on using a decision matrix.)

MAKE AND IMPLEMENT THE DECISION 4-35. After completing their analysis and comparison, leaders identify the preferred solution. If a superior assigned the

problem, leaders prepare the necessary products (verbal, written, or both) needed to present the recommendation to the decision

maker. Before presenting the findings and a recommendation, leaders coordinate their recommendation with those affected by

the problem or the solutions. In formal situations, leaders present their findings and recommendations to the decision maker as

staff studies, decision papers, or decision briefings.

4-36. A good solution can be lost if the leader cannot persuade the audience that it is correct. Every problem requires both a

solution and the ability to communicate the solution clearly. The writing and briefing skills a leader possesses may ultimately

be as important as good problem-solving skills.

4-37. Based on the decision maker’s decision and final guidance, leaders refine the solution and prepare necessary

implementing instructions. Formal implementing instructions can be issued as a memorandum of instruction, policy letter, or

command directive. Once leaders have given instructions, they monitor their implementation and compare results to the

measure of success and the desired end state established in the approved solution. When necessary, they issue additional

instructions.

4-38. A feedback system that provides timely and accurate information, periodic review, and the flexibility to adjust must also

be built into the implementation plan. Leaders stay involved and carefully avoid creating new problems because of

uncoordinated implementation of the solution. Army problem solving does not end with identifying the best solution or

obtaining approval of a recommendation.