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Appendix C

Developmental Counseling

C-l. Subordinate leadership development is

one of the most important responsibilities of

every Army leader. Developing the leaders who

will come after you should be one of your high-

est priorities. Your legacy and the Army's fu-

ture rests on the shoulders of those you prepare

for greater responsibility.

C-2. Leadership development reviews are a

means to focus the growing of tomorrow's lead-

ers. Think of them as AARs with a focus of mak-

ing leaders more effective every day. These

important reviews are not necessarily limited

to internal counseling sessions; leadership feed-

back mechanisms also apply in operational set-

tings such as the CTCs.

C-3. Just as training includes AARs and train-

ing strategies to fIx shortcomings, leadership

development includes performance reviews.

These reviews result in agreements between

leader and subordinate on a development strat-

egy or plan of action that builds on the subordi-

nate's strengths and establishes goals to

improve on weaknesses. Leaders conduct per-

formance reviews and create plans of action

during developmental counseling.

C-4. Leadership development reviews are a

component of the broader concept of develop-

mental counseling. Developmental counseling

is subordinate-centered communication that

produces a plan outlining actions that subordi-

nates must take to achieve individual and or-

ganizational goals. During developmental

counseling, subordinates are not merely pas-

sive listeners; they're actively involved in the

process. The Developmental Counseling Form

(DA Form 4856- E, which is discussed at the end

of this appendix) provides a useful framework

to prepare for almost any type of counseling.

Use it to help you mentally organize issues and

isolate important, relevant items to cover dur-

ing counseling sessions.

C-5. Developmental counseling is a shared ef-

fort. As a leader, you assist your subordinates in

identifying strengths and weaknesses and cre-

ating plans of action. Then you support them

throughout the plan implementation and as-

sessment. However, to achieve success, your

subordinates must be forthright in their com-

mitment to improve and candid in their own as-

sessment and goal setting.

THE LEADER'S RESPONSIBILITIES

C-6. Organizational readiness and mission ac-

complishment depend on every member's abil-

ity to perform to established standards.

Supervisors must mentor their subordinates

through teaching, coaching, and counseling.

Leaders coach subordinates the same way

sports coaches improve their teams: by identify-

ing weaknesses, setting goals, developing and

implementing plans of action, and providing

oversight and motivation throughout the pro-

cess. To be effective coaches, leaders must thor-

oughly understand the strengths, weaknesses,

and professional goals of their subordinates.

(Chapter 5 discusses coaching.)

Army

Leadership

C-7. Army leaders evaluate DA civilians using

procedures prescribed under the Total Army

Performance Evaluation System (TAPES). Al-

though TAPES doesn't address developmental

counseling, you can use DA Form 4856- E to

counsel DA civilians concerning professional

growth and career goals. DA Form 4856-E is

not appropriate for documenting counseling

concerning DA civilian misconduct or poor per-

formance. The servicing civilian personnel of-

fice can provide guidance for such situations.

C-8. Soldiers and DA civilians often perceive

counseling as an adverse action. Effective leaders

C-1

Appendix C

who counsel properly can change that perception.

Anny leaders conduct counseling to help subordi-

nates become better members of the team, main-

tain or improve performance, and prepare for the

future. Just as no easy answers exist for exactly

what to do in all leadership situations, no easy

answers exist for exactly what to do in all counsel-

ing situations. However, to conduct effective

counseling, you should develop a counseling style

with the characteristics listed in Figure C-l.

.Purpose: Clearly define the purpose of the counseling.

.Flexibility: Fit the counseling style to the character of each subordinate and to the relation-

ship desired.

.Respect: View subordinates as unique, complex individuals, each with a distinct set of values,

beliefs, and attitudes.

.Communication: Establish open, two-way communication with subordinates using spoken

language, nonverbal actions, gestures, and body language. Effective counselors listen more

than they speak.

.Support: Encourage subordinates through actions while guiding them through their prob-

lems.

Figure C-1. Characteristics of Effective Counseling

THE LEADER AS A COUNSELOR

C-9. Army leaders must demonstrate certain

qualities to be effective counselors. These quali-

ties include respect for subordinates, self-

awareness and cultural awareness, empathy,

and credibility.

RESPECT FOR SUBORDINATES

C-IO. As an Army leader, you show respect for

subordinates when you allow them to take re-

sponsibility for their own ideas and actions. Re-

specting subordinates helps create mutual

respect in the leader-subordinate relationship.

Mutual respect improves the chances of chang-

ing (or maintaining) behavior and achieving

goals.

SELF AWARENESS AND CULTURAL

AWARENESS

C-l1. As an Army leader, you must be fully

aware of your own values, needs, and biases

C-2

prior to counseling subordinates. Self-aware

leaders are less likely to project their biases

onto subordinates. Also, aware leaders are

more likely to act consistently with their own

values and actions.

C-12. Cultural awareness, as discussed in

Chapter 2, is a mental attribute. As an Army

leader, you need to be aware of the similarities

and differences between individuals of different

cultural backgrounds and how these factors

may influence values, perspectives, and actions.

Don't let unfamiliarity with cultural back-

grounds hinder you in addressing cultural is-

sues, especially if they generate concerns

within the organization or hinder team-

building. Cultural awareness enhances your

ability to display empathy.

FM 22-100

Developmental Counseling

EMPATHY

C-13. Empathy is the action of being

understanding of and sensitive to the feelings,

thoughts, and experiences of another person to

the point that you can almost feel or experience

them yourself. Leaders with empathy can put

themselves in their subordinate's shoes; they

can see a situation from the other person's per-

spective. By understanding the subordinate's

position, you can help a subordinate develop a

plan of action that fits the subordinate's per-

sonality and needs, one that works for the sub-

ordinate. If you don't fully comprehend a

situation from your subordinate's point of view,

you have less credibility and influence and your

subordinate is less likely to commit to the

agreed upon plan of action.

CREDmILITY

C-14. Leaders achieve credibility by being hon-

est and consistent in their statements and ac-

tions. To be credible, use a straightforward

style with your subordinates. Behave in a man-

ner that your subordinates respect and trust.

You can earn credibility by repeatedly demon-

strating your willingness to assist a subordi-

nate and being consistent in what you say and

do. If you lack credibility with your subordi-

nates you'll find it difficult to influence them.

LEADER COUNSELING SKILLS

C-15. One challenging aspect of counseling is

selecting the proper approach to a specific

situation. To counsel effectively, the technique

you use must fit the situation, your capabilities,

and your subordinate's expectations. In some

cases, you may only need to give information or

listen. A subordinate's improvement may call

for just a brief word of praise. Other situations

may require structured counseling followed by

definite actions.

C-16. All leaders should seek to develop and

improve their own counseling abilities. You can

improve your counseling techniques by study-

ing human behavior, learning the kinds ofprob-

lems that affect your subordinates, and

developing your interpersonal skills. The tech-

niques needed to provide effective counseling

will vary from person to person and session to

session. However, general skills that you'll

need in almost every situation include active

listening, responding, and questioning.

ACTIVE LISTENING

C-l 7. During counseling, you must actively lis-

ten to your subordinate. When you're actively

listening, you communicate verbally and non-

verbally that you've received the subordinate's

message. To fully understand a subordinate's

message, you must listen to the words and ob-

serve the subordinate's manners. Elements of

active listening you should consider include-

Army Leadership

.Eye contact. Maintaining eye contact

without staring helps show sincere interest.

Occasional breaks of contact are normal and

acceptable. Subordinates may perceive

excessive breaks of eye contact, paper shuf-

fling, and clock-watching as a lack of inter-

est or concern. These are guidelines only.

Based on cultural background, participants

in a particular counseling session may have

different ideas about what proper eye

contact is.

Body posture. Being relaxed and com-

fortable will help put the subordinate at

ease. However, a too-relaxed position or

slouching may be interpreted as a lack of in-

terest.

Head nods. Occasionally nodding your

head shows you're paying attention and

encourages the subordinate to continue.

Facial expressions. Keep your facial

expressions natural and relaxed. A blank

look or fixed expression may disturb the

subordinate. Smiling too much or frowning

may discourage the subordinate from

continuing.

Verbal expressions. Refrain from talking

too much and avoid interrupting. Let the

subordinate do the talking while keeping

the discussion on the counseling subject.

Speaking only when necessary reinforces

the importance of what the subordinate is

saying and encourages the subordinate to

.

.

.

.

C-3

Appendix C

continue. Silence can also do this, but be

careful. Occasional silence may indicate to

the subordinate that it's okay to continue

talking, but a long silence can sometimes be

distracting and make the subordinate feel

uncomfortable.

C-18. Active listening also means listening

thoughtfully and deliberately to the way a sub-

ordinate says things. Stay alert for common

themes. A subordinate's opening and closing

statements as well as recurring references may

indicate the subordinate's priorities. Inconsis-

tencies and gaps may indicate a subordinate's

avoidance of the real issue. This confusion and

uncertainty may suggest additional questions.

C-19. While listening, pay attention to the sub-

ordinate's gestures. These actions complete the

total message. By watching the subordinate's

actions, you can "see" the feelings behind the

words. Not all actions are proof of a subordi-

nate's feelings, but they should be taken into

consideration. Note differences between what

the subordinate says and does. Nonverbal indi-

cators of a subordinate's attitude include-

.Boredom. Drumming on the table,

doodling, clicking a ball-point pen, or rest-

ing the head in the palm of the hand.

.Self-confidence. Standing tall, leaning

back with hands behind the head, and

maintaining steady eye contact.

.Defensiveness. Pushing deeply into a

chair, glaring at the leader, and making

sarcastic comments as well as crossing or

folding arms in front of the chest.

.Frustration. Rubbing eyes, pulling on an

ear, taking short breaths, wringing the

hands, or frequently changing total body po-

sition.

.Interest, friendliness, and openness.

Moving toward the leader while sitting.

.Openness or anxiety. Sitting on the edge

of the chair with arms uncrossed and hands

open.

C-20. Consider these indicators carefully. Al-

though each indicator may show something

about the subordinate, don't assume a particu-

lar behavior absolutely means something. Ask

the subordinate about the indicator so you can

C-4

better understand the behavior and allow the

subordinate to take responsibility for it.

RESPONDING

C-21. Responding skills follow-up on active lis-

tening skills. A leader responds to communicate

that the leader understands the subordinate.

From time to time, check your understanding:

clarify and confirm what has been said. Respond

to subordinates both verbally and nonverbally.

Verbal responses consist of summarizing, inter-

preting, and clarifying the subordinate's mes-

sage. Nonverbal responses include eye contact

and occasional gestures such as a head nod.

QUESTIONING

C-22. Although questioning is a necessary skill,

you must use it with caution. Too many ques-

tions can aggravate the power differential be-

tween a leader and a subordinate and place the

subordinate in a passive mode. The subordinate

may also react to excessive questioning as an in-

trusion of privacy and become defensive. Dur-

ing a leadership development review, ask

questions to obtain information or to get the

subordinate to think about a particular situa-

tion. Generally, the questions should be open-

ended so as to evoke more than a yes or no an-

swer. Well-posed questions may help to verify

understanding, encourage further explanation,

or help the subordinate move through the

stages of the counseling session.

COUNSELING ERRORS

C-23. Effective leaders avoid common

counseling mistakes. Dominating the counsel-

ing by talking too much, giving unnecessary or

inappropriate "advice," not truly listening, and

projecting personal likes, dislikes, biases, and

prejudices all interfere with effective

counseling. You should also avoid other com-

mon mistakes such as rash judgments, stereo-

types, loss of emotional control, inflexible

methods of counseling and improper follow-up.

To improve your counseling skills, follow the

guidelines in Figure C-2.

FM 22-100

Developmental Counseling

.Determine the subordinate's role in the situation and what the subordinate has done to resolve

the problem or improve performance.

Draw conclusions based on more than the subordinate's statement.

.

.Try to understand what the subordinate says and feels; listen to what the subordinate says and

how the subordinate says it.

.Show empathy when discussing the problem.

.When asking questions, be sure that you need the information.

.Keep the conversation open-ended; avoid interrupting.

.Give the subordinate your full attention.

.Be receptive to the subordinate's feelings without feeling responsible to save the subordinate

from hurting.

.Encourage the subordinate to take the initiative and to say what the subordinate wants to say.

.Avoid interrogating.

.Keep your personal experiences out of the counseling session unless you believe your experi-

ences will really help.

Listen more; talk less.

Remain objective.

.

.

.Avoid confirming a subordinate's prejudices.

.Help the subordinate help himself.

Know what information to keep confidential and what to present to the chain of command.

.

Figure C-2. Guidelines to Improve Counseling

THE LEADER'S LIMITATIONS

C-24. Army leaders can't help everyone in every

situation. Even professional counselors can't

provide all the help that a person might need.

You must recognize your limitations and, when

the situation calls for it, refer a subordinate to a

person or agency more qualified to help.

C-25. These agencies Figure C-3 lists can help

you and your people resolve problems. Although

it's generally in an individual's best interest to

seek help first from their first-line leaders, lead-

ers must always respect an individual's right to

contact most of these agencies on their own.

Army Leadership C-5

Activity DescriDtion

Adjutant General Provides personnel and administrative services support such as orders,

ID cards, retirement assistance, deferments, and in- and out-processing.

American Red Cross Provides communications support between soldiers and families and

assistance during or after emergency or compassionate situations.

Army Community Service Assists military families through their information and referral services,

budget and indebtedness counseling, household item loan closet,

information on other military posts, and welcome packets for new arrivals.

Army Substance Abuse Program Provides alcohol and drug abuse prevention and control programs for DA

civilians.

Better Opportunities for Single Serves as a liaison between upper levels of command on the installation

Soldiers (BOSS) and single soldiers.

Army Education Center Provides services for continuing education and individual learning

services support.

Army Emergency Relief Provides financial assistance and personal budget counselin~;

coordinates student loans through Army Emergency Relief e ucation loan

programs.

Career Counselor Explains reenlistment options and provides current information on

prerequisites for reenlistment and selective reenlistment bonuses.

Chaplain Provides spiritual and humanitarian counseling to soldiers and DA

civilians.

Claims Section, SJA Handles claims for and against the government, most often those for the

loss and damage of household goods.

Legal Assistance Office Provides legal information or assistance on matters of contracts,

citizenship, adoption, marital problems, taxes, wills, and powers of

attorney.

Community Counseling Center Provides alcohol and drug abuse prevention and control programs for

soldiers.

Community Health Nurse Provides preventive health care services.

Community Mental Health Provides assistance and counseling for mental health problems.

Service

Employee Assistance Program Provides health nurse, mental health service, and social work services for

DA civilians.

Equal Opportunity Staff Office Provides assistance for matters involving discrimination in race, color,

and Equal Employment national origin, gender, and religion. Provides, information on procedures

Opportunity Office for initiating complaints and resolving complaints informally.

Family Advocacy Officer Coordinates programs supporting children and families including abuse

and neglect investigation, counseling, and educational programs.

Finance and Accounting Office Handles inquiries for pay, allowances, and allotments.

Housing Referral Office Provides assistance with housing on and off post.

Inspector General Renders assistance to soldiers and DA civilians. Corrects injustices

affecting individuals and eliminates conditions determined to be

detrimental to the efficiency, economrr' morale, and reputation of the

Army. Investigates matters involving raud, waste, and abuse.

Social Work Office Provides services dealing with social problems to include crisis

intervention, family therapy, marital counseling, and parent or child

management assistance.

Transition Office Provides assistance and information on separation from the Army.

Appendix C

Figure C-3. Support Activities

C-G FM 22-100

Developmental Counseling

TYPES OF DEVELOPMENTAL COUNSELING

C-26. You can often categorize developmental

counseling based on the topic of the session. The

two major categories of counseling are event-

oriented and performance/professional growth.

EVENT-ORIENTED COUNSELING

C-27. Event-oriented counseling involves a

specific event or situation. It may precede

events, such as going to a promotion board or

attending a school; or it may follow events, such

as a noteworthy duty performance, a problem

with performance or mission accomplishment,

or a personal problem. Examples of event-

oriented counseling include, but are not limited

to-

Specific instances of superior or substan-

dard performance.

Reception and integration counseling.

Crisis counseling.

Referral counseling.

Promotion counseling.

Separation counseling.

Counseling for Specific Instances

C-28. Sometimes counseling is tied to specific

instances of superior or substandard duty per-

formance. You tell your subordinate whether or

not the performance met the standard and what

the subordinate did right or wrong. The key to

successful counseling for specific performance

is to conduct it as close to the event as possible.

.

.

.

.

.

.

C-29. Many leaders focus counseling for spe-

cific instances on poor performance and miss,

or at least fail to acknowledge, excellent per-

formance. You should counsel subordinates for

specific examples of superior as well as substan-

dard duty performance. To measure your own

performance and counseling emphasis, you can

note how often you document counseling for su-

perior versus substandard performance.

C-30. You should counsel subordinates who

don't meet the standard. If the subordinate's

performance is unsatisfactory because of a lack

of knowledge or ability, you and the subordi-

nate should develop a plan to improve the sub-

ordinate's skills. Corrective training may be

required at times to ensure the subordinate

Army

Leadership

knows and achieves the standard. Once the sub-

ordinate can achieve the standard, you should

end the corrective training.

C-31. When counseling a subordinate for a spe-

cific performance, take the following actions:

.Tell the subordinate the purpose of the

counseling, what was expected, and how the

subordinate failed to meet the standard.

.Address the specific unacceptable behavior

or action, not the person's character.

.Tell the subordinate the effect of the behav-

ior, action, or performance on the rest of the

organization.

.Actively listen to the subordinate's re-

sponse.

.Remain unemotional.

.Teach the subordinate how to meet the

standard.

.Be prepared to do some personal counseling,

since a failure to meet the standard may be

related to or the result of an unresolved per-

sonal problem.

.Explain to the subordinate what will be

done to improve performance (plan of ac-

tion). Identify your responsibilities in im-

plementing the plan of action; continue to

assess and follow up on the subordinate's

progress. Adjust plan of action as necessary.

Reception and Integration Counseling

C-32. As the leader, you must counsel new

team members when they arrive at your organi-

zation. This reception and integration counsel-

ing serves two purposes. First, it identifies and

helps fix any problems or concerns that new

members may have, especially any issues re-

sulting from the new duty assignment. Second,

it lets them know the organizational standards

and how they fit into the team. It clarifies job ti-

tles and sends the message that the chain of

command cares. Reception and integration

counseling should begin immediately upon arri-

val so new team members can quickly become

integrated into the organization. (Figure C-4

gives some possible discussion points.)

C-7

Appendix C

Organizational standards.

Chain of command.

NCO support channel (who and how used).

On-and-off duty conduct.

Personnel/personal affairs/initial clothing issue.

Organizational history, organization, and mission.

Soldier programs within the organization, such as soldier of the month/quarter/year and Audie

Murphy.

Off limits and danger areas.

Functions and locations of support activities (see Figure C-3).

On- and off-post recreational, educational, cultural, and historical opportunities.

Foreign nation or host nation orientation.

Other areas the individual should be aware of, as determined by the leader.

.

.

.

.

.

.

.

.

.

.

.

.

Figure C-4. Reception and Integration Counseling Points

Crisis Counseling

C-33. You may conduct crisis counseling to get

a subordinate through the initial shock after re-

ceiving negative news, such as notification of

the death of a loved one. You may assist the sub-

ordinate by listening and, as appropriate, pro-

viding assistance. Assistance may include

referring the subordinate to a support activity

or coordinating external agency support. Crisis

counseling focuses on the subordinate's imme-

diate, short-term needs.

Referral Counseling

C-34. Referral counseling helps subordinates

work through a personal situation and mayor

may not follow crisis counseling. Referral coun-

seling may also act as preventative counseling

before the situation becomes a problem. Usu-

ally, the leader assists the subordinate in iden-

tifying the problem and refers the subordinate

to the appropriate resource, such as Army Com-

munity Services, a chaplain, or an alcohol and

drug counselor. (Figure C-3 lists support activi-

ties.)

Promotion Counseling

C-35. Leaders must conduct promotion coun-

seling for all specialists and sergeants who are

eligible for advancement without waivers but

not recommended for promotion to the next

higher grade. Army regulations require that

C-B

soldiers within this category receive initial

(event-oriented) counseling when they attain

full eligibility and then periodic (perform-

ance/personal growth) counseling thereafter.

Adverse Separation Counseling

C-36. Adverse separation counseling may in-

volve informing the soldier of the administra-

tive actions available to the commander in the

event substandard performance continues and

of the consequences associated with those ad-

ministrative actions (see AR 635-200).

C-3 7. Developmental counseling may not apply

when an individual has engaged in more serious

acts of misconduct. In those situations, you

should refer the matter to the commander and

the servicing staff judge advocate. When the

leader's rehabilitative efforts fail, counseling

with a view towards separation fills an adminis-

trative prerequisite to many administrative dis-

charges and serves as a final warning to the

soldier to improve performance or face dis-

charge. In many situations, it may be beneficial

to involve the chain of command as soon as you

determine that adverse separation counseling

might be required. A unit first sergeant or com-

mander should be the person who informs the

soldier of the notification requirements out-

lined in AR 635-200.

FM 22-100

Developmental Counseling

PERFORMANCE AND PROFESSIONAL

GROWTH COUNSELING

Performance Counseling

C-38. During performance counseling, you con-

duct a review of a subordinate's duty perfor-

mance during a certain period. You and the

subordinate jointly establish performance ob-

jectives and standards for the next period.

Rather than dwelling on the past, you should fo-

cus the session on the subordinate's strengths,

areas needing improvement, and potential.

C-39. Performance counseling is required un-

der the officer, NCO, and DA civilian evaluation

reporting systems. The OER process requires

periodic performance counseling as part of the

OER Support Form requirements. Mandatory,

face-to-face performance counseling between

the rater and the rated NCO is required under

the NCOERS. TAPES includes a combination

of both of these requirements.

C-40. Counseling at the beginning of and dur-

ing the evaluation period facilitates a subordi-

nate's involvement in the evaluation process.

Performance counseling communicates stan-

dards and is an opportunity for leaders to estab-

lish and clarify the expected values, attributes,

skills, and actions. Part !Vb (Leader Attrib-

utes/Skills/Actions) of the OER Support Form

(DA Form 67-9-1) serves as an excellent tool for

leaders doing performance counseling. For

lieutenants and warrant officers one, the major

performance objectives on the OER Support

Form are used as the basis for determining the

developmental tasks on the Junior Officer De-

velopmental Support Form (DA Form 67-9-1a).

Quarterly face-to-face performance and devel-

opmental counseling is required for these junior

officers as outlined in AR 623-105.

C-41. As an Army leader, you must ensure

you've tied your expectations to performance

objectives and appropriate standards. You must

establish standards that your subordinates can

work towards and must teach them how to

achieve the standards if they are to develop.

Professional Growth Counseling

C-42. Professional growth counseling includes

planning for the accomplishment of individual

Army Leadership

and professional goals. You conduct this

counseling to assist subordinates in achieving

organizational and individual goals. During the

counseling, you and your subordinate conduct a

review to identify and discuss the subordinate's

strengths and weaknesses and create a plan of

action to build upon strengths and overcome

weaknesses. This counseling isn't normally

event-driven.

C-43. As part of professional growth

counseling, you may choose to discuss and de-

velop a "pathway to success" with the subordi-

nate. This future-oriented counseling

establishes short- and long-term goals and ob-

jectives. The discussion may include opportuni-

ties for civilian or military schooling, future

duty assignments, special programs, and reen-

listment options. Every person's needs are dif-

ferent, and leaders must apply specific courses

of action tailored to each individual.

C-44. Career field counseling is required for

lieutenants and captains before they're

considered for promotion to major. Raters

and senior raters, in conjunction with the

rated officer, need to determine where the of-

ficer's skills best fit the needs of the Army.

During career field counseling, consideration

must be given to the rated officer's prefer-

ence and his abilities (both performance and

academic). The rater and senior rater should

discuss career field designation with the offi-

cer prior to making a recommendation on the

rated officer's OER.

C-45. While these categories can help you or-

ganize and focus counseling sessions, they

should not be viewed as separate, distinct, or

exhaustive. For example, a counseling ses-

sion that focuses on resolving a problem may

also address improving duty performance. A

session focused on performance may also in-

clude a discussion on opportunities for pro-

fessional growth. Regardless of the topic of

the counseling session, leaders should follow

the same basic format to prepare for and

conduct it.

C-g

Appendix C

APPROACHES TO COUNSELING

C-46. An effective leader approaches each sub-

ordinate as an individual. Different people and

different situations require different counsel-

ing approaches. Three approaches to counsel-

ing include nondirective, directive, and

combined. These approaches differ in the tech-

niques used, but they all fit the definition of

counseling and contribute to its overall pur-

pose. The major difference between the ap-

proaches is the degree to which the subordinate

participates and interacts during a counseling

session. Figure C-5 summarizes the advantages

and disadvantages of each approach.

NONDIRECTIVE

C-47. The nondirective approach is preferred

for most counseling sessions. Leaders use their

experienced insight and judgment to assist sub-

ordinates in developing solutions. You should

partially structure this type of counseling by

telling the subordinate about the counseling

process and explaining what you expect.

C-48. During the counseling session, listen

rather than make decisions or give advice. Clar-

ify what's said. Cause the subordinate to bring

out important points, so as to better under-

stand the situation. When appropriate, summa-

rize the discussion. Avoid providing solutions or

rendering opinions; instead, maintain a focus

on individual and organizational goals and ob-

jectives. Ensure the subordinate's plan of ac-

tion supports those goals and objectives.

DIRECTIVE

C-49. The directive approach works best to cor-

rect simple problems, make on-the-spot correc-

tions, and correct aspects of duty performance.

The leader using the directive style does most of

the talking and tells the subordinate what to do

and when to do it. In contrast to the nondirec-

tive approach, the leader directs a course of ac-

tion for the subordinate.

C-50. Choose this approach when time is short,

when you alone know what to do, or if a subor-

dinate has limited problem-solving skills. It's

also appropriate when a subordinate needs

guidance, is immature, or is insecure.

COMBINED

C-51. In the combined approach, the leader

uses techniques from both the directive and

nondirective approaches, adjusting them to ar-

ticulate what's best for the subordinate. The

combined approach emphasizes the sub-

ordinate's planning and decision-making

responsibilities.

C-52. With your assistance, the subordinate

develops the subordinate's own plan of action.

You should listen, suggest possible courses, and

help analyze each possible solution to deter-

mine its good and bad points. You should then

help the subordinate fully understand all as-

pects of the situation and encourage the subor-

dinate to decide which solution is best.

C-10 FM 22-100

Advantages Disadvantages

Nondirective .Encourages maturity. .More time-consuming.

.Encourages open communication. .Requires greatest counselor skill.

.Develops personal responsibility.

Directive .Quickest method. .Doesn't encourage subordinates to be

.Good for people who need clear, part of the solution.

concise direction. .Tends to treat symptoms, not problems.

.Allows counselors to actively use their .Tends to discourage subordinates from

experience. talking freely.

.Solution is the counselor's, not the

subordinate's.

Combined .Moderately quick. .May take too much time for some

.Encourages maturity. situations.

.Encourages open communication.

.Allows counselors to actively use their

experience.

Developmental Counseling

Figure C-5. Counseling Approach Summary Chart

COUNSELING TECHNIQUES

C-53. As an Army leader, you may select from a

variety of techniques when counseling subordi-

nates. These counseling techniques, when ap-

propriately used, cause subordinates to do

things or improve upon their performance. You

can use these methods during scheduled coun-

seling sessions or while simply coaching a sub-

ordinate. Counseling techniques you can use

during the nondirective or combined ap-

proachesinclude--

.Suggesting alternatives. Discuss al-

ternative actions that the subordinate may

take, but both you and the subordinate de-

cide which course of action is most appropri-

ate.

.Recommending. Recommend one course

of action, but leave the decision to accept

the recommended action to the subordinate.

Persuading. Persuade the subordinate

that a given course of action is best, but

.

leave the decision to the subordinate. Suc-

cessful persuasion depends on the leader's

credibility, the subordinate's willingness to

listen, and their mutual trust.

.Advising. Advise the subordinate that a

given course of action is best. This is the

strongest form of influence not involving a

command.

C-54. Some techniques you can use during the

directive approach to counseling include--

.Corrective training. Teach and assist the

subordinate in attaining and maintaining

the standards. The subordinate completes

corrective training when the subordinate

attains the standard.

Commanding. Order the subordinate to

take a given course of action in clear, exact

words. The subordinate understands that

he has been given a command and will face

the consequences for failing to carry it out.

.

Army Leadership C-11

Appendix C

THE COUNSELING PROCESS

C-55. Effective leaders use the counseling pro-

cess. It consists of four stages:

.Identify the need for counseling.

.Prepare for counseling.

.Conduct counseling.

.Follow up.

IDENTIFY THE NEED FOR

COUNSELING

C-56. Quite often organizational policies, such

as counseling associated with an evaluation or

counseling required by the command, focus a

counseling session. However, you may conduct

developmental counseling whenever the need

arises for focused, two-way communication

aimed at subordinate development. Developing

subordinates consists of observing the subordi-

nate's performance, comparing it to the stan-

dard, and then providing feedback to the

subordinate in the form of counseling.

PREPARE FOR COUNSELING

C-57. Successful counseling requires prepara-

tion. To prepare for counseling, do the

following:

.Select a suitable place.

.Schedule the time.

.Notify the subordinate well in advance.

.Organize information.

.Outline the counseling session components.

.Plan your counseling strategy.

.Establish the right atmosphere.

Select a Suitable Place

C-58. Schedule counseling in an environment

that minimizes interruptions and is free from

distracting sights and sounds.

Schedule the Time

C-59. When possible, counsel a subordinate

during the duty day. Counseling after duty

hours may be rushed or perceived as un-

favorable. The length of time required for

counseling depends on the complexity of the is-

sue. Generally a counseling session should last

less than an hour. If you need more time,

C-12

schedule a second session. Additionally, select a

time free from competition with other activities

and consider what has been planned after the

counseling session. Important events can

distract a subordinate from concentrating on

the counseling.

Notify the Subordinate Well in Advance

C-60. For a counseling session to be a

subordinate-centered, two-person effort, the

subordinate must have time to prepare for it.

The subordinate should know why, where, and

when the counseling will take place. Counseling

following a specific event should happen as

close to the event as possible. However, for per-

formance or professional development counsel-

ing, subordinates may need a week or more to

prepare or review specific products, such as

support forms or counseling records.

Organize Information

C-61. Solid preparation is essential to

effective counseling. Review all pertinent in-

formation. This includes the purpose of the

counseling, facts and observations about the

subordinate, identification of possible prob-

lems, main points of discussion, and the de-

velopment of a plan of action. Focus on

specific and objective behaviors that the sub-

ordinate must maintain or improve as well as

a plan of action with clear, obtainable goals.

Outline the Components of the

Counseling Session

C-62. Using the information obtained, deter-

mine what to discuss during the counseling ses-

sion. Note what prompted the counseling,

what you aim to achieve, and what your role as

a counselor is. Identify possible comments or

questions to help you keep the counseling ses-

sion subordinate-centered and help the subor-

dinate progress through its stages. Although

you never know what a subordinate will say or

do during counseling, a written outline helps

organize the session and enhances the chance

of positive results. (Figure C-6 is one example

of a counseling outline prepared by a platoon

leader about to conduct an initial NCOER

counseling session with a platoon sergeant.)

FM 22-100

Developmental Counseling

Type of counseling: Initial NCOER counseling for SFC Taylor, a recently promoted new arrival to

the unit.

Place and time: The platoon office, 1500 hours, 9 October.

Time to notify the subordinate: Notify SFC Taylor one week in advance of the scheduled

counseling session.

Subordinate preparation: Have SFC Taylor put together a list of goals and objectives he would

like to complete over the next 90 to 180 days. Review the values, attributes, skills, and actions

from FM 22-100.

Counselor preparation:

.Review the NCO Counseling Checklist/Record (DA Form 2166-8-1).

.Update or review SFC Taylor's duty description and fill out the rating chain and duty description

on the working copy of the NCOER (DA Form 2166-8, Parts II and III).

.Review each of the values and responsibilities in Part IV of the NCOER and the values, attributes,

skills and actions in FM 22-100. Think of how each applies to SFC Taylor and the platoon ser-

geant position.

.Review the actions you consider necessary for a success or excellence in each value and re-

sponsibility.

.Make notes in blank spaces in Part IV of the NCOER to assist when counseling.

Role as counselor: Help SFC Taylor to understand the expectations and standards associated

with the platoon sergeant position. Assist SFC Taylor in developing the values, attributes, skills,

and actions that will enable him to achieve his performance objectives, consistent with those of the

platoon and company. Resolve any aspects of the job that aren't clearly understood.

Session outline: Complete an outline following the counseling session components in Figure C-?

and based on the draft duty description on the NCOER, ideally at least two to three days prior to

the actual counseling session.

Figure C-G. Example of a Counseling Outline

Plan Counseling Strategy

C-63. As many approaches to counseling exist

as there are leaders. The directive, nondirec-

tive, and combined approaches to counseling

were addressed earlier. Use a strategy that

suits your subordinates and the situation.

Establish the Right Atmosphere

C-64. The right atmosphere promotes two-way

communication between a leader and subordi-

nate. To establish a relaxed atmosphere, you

may offer the subordinate a seat or a cup of cof-

fee. You may want to sit in a chair facing the

subordinate since a desk can act as a barrier.

C-65. Some situations make an informal

atmosphere inappropriate. For example, during

counseling to correct substandard per-

formance, you may direct the subordinate to

remain standing while you remain seated

behind a desk. This formal atmosphere,

Army Leadership

normally used to give specific guidance,

reinforces the leader's rank, position in the

chain of command, and authority.

CONDUCT THE COUNSELING

SESSION

C-66. Be flexible when conducting a counseling

session. Often counseling for a specific incident

occurs spontaneously as leaders encounter sub-

ordinates in their daily activities. Such counsel-

ing can occur in the field, motor pool,

barracks-wherever subordinates perform

their duties. Good leaders take advantage of

naturally occurring events to provide subordi-

nates with feedback.

C-67. Even when you haven't prepared for for-

mal counseling, you should address the four ba-

sic components of a counseling session. Their

purpose is to guide effective counseling rather

C-13

Appendix C

than mandate a series of rigid steps. Counseling

sessions consist of-

.Opening the session.

.Discussing the issues.

.Developing the plan of action.

.Recording and closing the session.

Ideally, a counseling session results in a subor-

dinate's commitment to a plan of action. As-

sessment of the plan of action (discussed below)

becomes the starting point for follow-up

counseling. (Figure C-7 is an example of a coun-

seling session.)

Open the Session

C-68. In the session opening, state the purpose

of the session and establish a subordinate-

centered setting. Establish the preferred setting

early in the session by inviting the subordinate

to speak. The best way to open a counseling ses-

sion is to clearly state its purpose. For example,

an appropriate purpose statement might be:

"The purpose of this counseling is to discuss

your duty performance over the past month and

to create a plan to enhance performance and at-

tain performance goals." If applicable, start the

counseling session by reviewing the status of

the previous plan of action.

C-69. You and the subordinate should attempt

to develop a mutual understanding of the

issues. You can best develop this by letting the

subordinate do most of the talking. Use active

listening; respond, and question without

dominating the conversation. Aim to help the

subordinate better understand the subject of

the counseling, for example, duty performance,

a problem situation and its impact, or potential

areas for growth.

C-70. Both you and the subordinate should

provide examples or cite specific observations

to reduce the perception that either is unneces-

sarily biased or judgmental. However, when the

issue is substandard performance, you should

make clear how the performance didn't meet

the standard. The conversation, which should

be two-way, then addresses what the subordi-

nate needs to do to meet the standard. It's im-

portant that you define the issue as

substandard performance and don't allow the

C-14

subordinate to define the issue as an

unreasonable standard-unless you consider

the standard negotiable or are willing to alter

the conditions under which the subordinate

must meet the standard.

Develop a Plan of Action

C-71. A plan of action identifies a method for

achieving a desired result. It specifies what the

subordinate must do to reach the goals set dur-

ing the counseling session. The plan of action

must be specific: it should show the subordinate

how to modify or maintain his behavior. It

should avoid vague intentions such as "Next

month I want you to improve your land naviga-

tion skills." The plan must use concrete and di-

rect terms. For example, you might say: "Next

week you'll attend the map reading class with

1st Platoon. Mter the class, SGT Dixon will

coach you through the land navigation course.

He will help you develop your skill with the

compass. I will observe you going through the

course with SGT Dixon, and then I will talk to

you again and determine where and if you still

need additional training." A specific and achiev-

able plan of action sets the stage for successful

development.

Record and Close the Session

C-72. Although requirements to record coun-

seling sessions vary, a leader always benefits by

documenting the main points of a counseling

session. Documentation serves as a reference to

the agreed upon plan of action and the subordi-

nate's accomplishments, improvements, per-

sonal preferences, or problems. A complete

record of counseling aids in making recommen-

dations for professional development, schools,

promotions, and evaluation reports.

C-73. Additionally, Army regulations require

written records of counseling for certain per-

sonnel actions, such as a barring a soldier from

reenlisting, processing a soldier for administra-

tive separation, or placing a soldier in the over-

weight program. When a soldier faces

involuntary separation, the leader must take

special care to maintain accurate counseling

records. Documentation of substandard actions

conveys a strong corrective message to

subordinates.

FM 22-100

Developmental Counseling

C-74. To close the session, summarize its key

points and ask if the subordinate understands

the plan of action. Invite the subordinate to re-

view the plan of action and what's expected of

you, the leader. With the subordinate, establish

any follow-up measures necessary to support

the successful implementation of the plan of ac-

tion. These may include providing the subordi-

nate with resources and time, periodically

assessing the plan, and following through on re-

ferrals. Schedule any future meetings, at least

tentatively, before dismissing the subordinate.

FOLLOW UP

Leader's Responsibilities

C-75. The counseling process doesn't end with

the counseling session. It continues through

implementation of the plan of action and

evaluation of results. Mter counseling, you

must support subordinates as they implement

their plans of action. Support may include

teaching, coaching, or providing time and re-

sources. You must observe and assess this pro-

cess and possibly modify the plan to meet its

goals. Appropriate measures after counseling

include follow-up counseling, making referrals,

informing the chain of command, and taking

corrective measures.

Assess the Plan of Action

C-76. The purpose of counseling is to develop

subordinates who are better able to achieve per-

sonal, professional, and organizational goals.

During the assessment, review the plan of ac-

tion with the subordinate to determine if the

desired results were achieved. You and the sub-

ordinate should determine the date for this as-

sessment during the initial counseling session.

The assessment of the plan of action provides

useful information for future follow-up counsel-

ing sessions.

Open the Session

.Establish a relaxed environment. Explain to SFC Taylor that the more one discusses and under-

stands Army values and leader attributes, skills, and actions, the easier it is to develop and incor-

porate them into an individual leadership style.

.State the purpose of the counseling session. Explain that the initial counseling is based on leader

actions (what SFC Taylor needs to do to be a successful platoon sergeant) and not on profes-

sional developmental needs (what SFC Taylor needs to do to develop further as an NCO).

.Come to an agreement on the duty description, the meaning of each value and responsibility, and

the standards for success and excellence for each value and responsibility. Explain that subse-

quent counseling will focus on SFC Taylor's developmental needs as well as how well SFC Taylor

is meeting the jointly agreed upon performance objectives. Instruct SFC Taylor to perform a self-

assessment during the next quarter to identify his developmental needs.

.Ensure SFC Taylor knows the rating chain. Resolve any questions that SFC Taylor has about the

job. Discuss the team relationship that exists between a platoon leader and a platoon sergeant

and the importance of two-way communication between them.

Discuss the Issue

.Jointly review the duty description on the NCOER, including the maintenance, training, and taking

care of soldiers responsibilities. Mention that the duty description can be revised as necessary.

Highlight areas of special emphasis and appointed duties.

.Discuss the meaning of each value and responsibility on the NCOER. Discuss the values, attrib-

utes, skills, and actions outlined in FM 22-100. Ask open-ended questions to see if SFC Taylor

can relate these items to his role as a platoon sergeant.

Figure C-7. Example of a Counseling Session

Army Leadership C-15

Appendix C

.Explain that even though the developmental tasks focus on developing leader actions, character de-I

velopment forms the basis for leadership development. Character and actions can't be viewed as

separate; they're closely linked. In formulating the plan of action to accomplish major performancel

objectives, the proper values, attributes, and skills form the basis for the plan. As such, character de.!

velopment must be incorporated into the plan of action.

Assist in DevelopinQ a Plan of Action (DurinQ the CounselinQ Session)

.Ask SFC Taylor to identify actions that will facilitate the accomplishment of the major performance

objectives. Categorize each action into one of the values or responsibilities listed on the NCOER.

.Discuss how each value and responsibility applies to the platoon sergeant position. Discuss spe-

cific examples of success and excellence in each value and responsibility block. Ask SFC Taylor

for suggestions to make the goals more objective, specific, and measurable.

.Ensure that SFC Taylor has at least one example of a success or excellence bullet listed under

each value and responsibility.

.Discuss SFC Taylor's promotion goals and ask him what he considers to be his strengths and

weakness. Obtain copies of the last two master sergeant selection board results and match his

goals and objectives to these.

Close the Session

.Check SFC Taylor's understanding of the duty description and performance objectives.

.Stress the importance of teamwork and two-way communication.

.Ensure SFC Taylor understands that you expect him to assist in your development as a platoon

leader. This means that both of you have the role of teacher and coach.

.Remind SFC Taylor to perform a self-assessment during the next quarter.

.Set a tentative date during the next quarter for the routinely scheduled follow-up counseling.

Notes on Strategy

.Facilitate answering any questions SFC Taylor may have.

.Expect SFC Taylor to be uncomfortable with the terms and the developmental process; respond

in a way that encourages participation throughout the session.

Figure C-7. Example of a Counseling Session (continued)

SUMMARY

C-77. This appendix has discussed develop-

mental counseling. Developmental counseling

is subordinate-centered communication that

outlines actions necessary for subordinates to

achieve individual and organizational goals and

objectives. It can be either event-oriented or fo-

cused on personal and professional develop-

ment. Figure C-8 summarizes the major aspects

of developmental counseling and the counseling

process.

C-16 FM 22-100

Developmental Counseling

Leaders must demonstrate these quali-

ties to counsel effectively:

.Respect for subordinates.

.Self and cultural awareness.

.Credibility.

.Empathy.

Leaders must possess these counseling

skills: .Active listening.

.Responding.

.Questioning.

Effective leaders avoid common counsel-

ing mistakes. Leaders should avoid the

influence of-

.Personal bias.

.Rash judgments.

.Stereotyping.

.Losing emotional control.

.Inflexible counseling methods.

.Improper follow up.

The Counseling Process

1. Identify the need for counseling.

2. Prepare for counseling.

.Select a suitable place.

.Schedule the time.

.Notify the subordinate well in

advance.

.Organize information.

.Outline the components of the

counseling session.

.Plan counseling strategy.

.Establish the right atmosphere.

3. Conduct the counseling session.

.Open the session.

.Discuss the issue.

.Develop a plan of action (to in-

clude the leader's responsibili-

ties).

.Record and close the session.

4. Follow up.

.Support plan of action

mentation

.Assess the plan of action.

imple-

Figure C-8. A Summary of Developmental Counseling

THE DEVELOPMENTAL COUNSELING FORM

C-78. The Developmental Counseling Form

(DA Form 4856-E) is designed to help Army

leaders conduct and record counseling sessions.

Figure C-9 shows a completed DA Form 4856- E

documenting the counseling of a young soldier

with financial problems. While this is an exam-

ple of a derogatory counseling, you can see that

it is still developmental. Leaders must decide

when counseling, additional training,

rehabilitation, reassignment, or other develop-

mental options have been exhausted. If the pur-

pose of a counseling session is not

developmental, refer to paragraphs C-36 and

C-37. Figure C-I0 shows a routine perform-

ance/professional growth counseling for a unit

first sergeant. Figure C-ll shows a blank form

with instructions on how to complete each

block.

Army Leadership C-17

DEVELOPMENTAL COUNSELING FORM

Foruse of this form see FM 22-100

DATA REQUIRED BY THE PRIVACY ACT OF 1974

AUTHORITY: 5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)

PRINCIPAL PURPOSE: To assist leaders in conducting and recording counseling data pertaining to subordinates.

ROUTINE USES: For subordinate leader development lAW FM 22-100. Leaders should use this form as necessary.

DISCLOSURE: Disclosure is voluntary.

PART I -ADMINISTRATIVE DATA

Name (Last, First, MI)

I

Rank / Grade Social Security No.

I

Date of Counseling

Lloyd, Andrew PFC 123-45-6789 28 March 1997

Organization Name and Title of Counselor

2"dPlatoon, B Battery, 1 - 1 ADA Bn SGT Mark Levy, Squad Leader

PART II -BACKGROUND INFORMATION

Purpose of Counseling: (Leader states the reason for the counseling, e.g. performance/professional or event-

oriented counseling and includes the leader's facts and observations prior to the counseling):

The purpose of this counseling is to inform PFC Lloyd of his responsibility to manage his financial affairs and the

potential consequences of poorly managingfinances and to help PFC Lloyd develop a plan of action to resolve his

financial problems.

Facts: The battery commander received notice of delinquent payment on PFC Lloyd's Deferred Payment Plan (DPP).

A payment of$86.00 is 45 days delinquent

PART III -SUMMARY OF COUNSELING

Complete this section during or immediately subsequent to counseling.

Key Points of Discussion:

PFC Lloyd, late payments on a DPP account reflect a lack of responsibility and poor managing of finances. You should

know that the letter of lateness has been brought to the attention of the battery commander, the first sergeant, and the

platoon sergeant. They're all questioning your ability to manage your personal affairs. I also remind you that promotions

and awards are based more than on just performing MaS-related duties; soldiers must act professionally and responsibly

in all areas. Per conversation with PFC Lloyd, the following information was obtained:

He didn't make the DPP payment due to a lack of funds in his checking account. His most recent long distance phone bill

was over $220 due to calling his house concerning his grandmother's failing health. PFC Lloyd stated that he wanted to

pay for the phone calls himselfin order not to burden his parents with the expense of collect calls. He also stated that his

calling had tapered down considerably and he expects this month's phone bill to be approximately $50. We made an

appointment at A CS and A CS came up with the following information:

PFC Lloyd's monthly obligations: Car payment: $330

Car insurance: $138

Rent including utilities: $400

Other credit cards: $0

Total monthly obligations: $868.00

Monthly take-home pay: $1232.63

We discussed that with approximately $364 available for monthly living expenses, a phone bill in excess of $200 will

severely affect PFC Lloyd's financial stability and can't continue. We discussed the need for PFC Lloyd to establish a

savings account to help cover emergency expenses. PFC Lloyd agreed that his expensive phone bill and his inability to

make the DPP payment is not responsible behavior. He confirmed that he wants to get his finances back on track and

begin building a savings account.

OTHER INSTRUCTIONS

This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or retirement. For

separation requirements and notification of loss of benefits/consequences, see local directives and AR 635-200.

Appendix C

DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE

Figure C-9. Example of a Developmental Counseling Form-Event Counseling

C-18 FM 22-100

Developmental Counseling

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goals(s)

The actions must be specific enough to modify or maintain the subordinate's behavior and include a specific time line for

implementation and assessment (part IV below)).

Based on our discussion, PFC Lloyd will be able to resume normal payment on his DPP account next month (assuming that

his phone bill is approximately $50). PFC Lloyd agreed to contact the DPP office and provide a partial payment of$20

immediately. He agreed to exercise self-restraint and not make long distance calls asfrequently. He decided that his goal

is to make one ten-minute phone call every two weeks. He will write letters to express concern over his grandmother's

condition and ask his parents to do the same to keep him informed. His long-term goal is to establish a savings account

with a goal of contributing $50 a month.

PFC Lloyd also agreed to attend the check cashing class at ACS on 2, 9, and 16 April.

Assessment date: 27 June

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan

of action. The subordinate agrees/disagrees and provides remarks if appropriate).

Individual counseled: I agree/ cli31lgt'ee with the information above

Individual counseled remarks:

Signature ofIndividual Counseled: Andrew Llovd Date: 28 March 1997

Leader Responsibilities: (Leader's responsibilities in implementing the plan of action).

PFC Lloyd will visit the DPP office to make an immediate partial payment of$20 and will give me a copy of the receipt as

soon as the payment is made. PFC Lloyd will also provide me with a copy of the next month's phone bill and DPP payment

receipt.

PFC Lloyd's finances will be a key topic of discussion at his next monthly counseling session.

Signature of Counselor: Mark Levv Date: 28 March 1997

PART IV -ASSESSMENT OF THE PLAN OF ACTION

Assessment (Did the plan of action achieve the desired results? This section is completed by both the leader and the

individual counseled and provides useful information for follow-up counseling):

Counselor: Individual Counseled: Date of Assessment:

Note: Both the counselor and the individual counseled should retain a record ofthe counseling.

DA FORM 4856-E (Reverse)

Figure C-9 (continued). Example of a Developmental Counseling Form-Event Counseling

Army Leadership C-19

DEVELOPMENTAL COUNSELING FORM

Foruse of this form see FM 22-100

DATA REQUIRED BY THE PRIVACY ACT OF 1974

AUTHORITY: 5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)

PRINCIPAL PURPOSE: To assist leaders in conducting and recording counseling data pertaining to subordinates.

ROUTINE USES: For subordinate leader development lAW FM 22-100. Leaders should use this form as necessary.

DISCLOSURE: Disclosure is voluntary.

PART I -ADMINISTRATIVE DATA

Name (Last, First, MI)

I

Rank / Grade Social Security No.

I

Date of Counseling

McDonald, Stephen 1SG 333-33-3333 13 March 1998

Organization Name and Title of Counselor

D Company, 3-95" IN CPT Peterson, Company Commander

PART II -BACKGROUND INFORMATION

Purpose of Counseling: (Leader states the reason for the counseling, e.g. performance/professional or event-

oriented counseling and includes the leader's facts and observations prior to the counseling):

.Todiscuss dutyperformance for theperiod 19 Dec 97 to 11March 1998.

.To discuss short-range professional growth goalslplan for next year.

.Talk about long-range professional growth (2-5 years) goals.

PARTIII - SUMMARYOF COUNSELING

Complete this section during or immediately subsequent to counseling.

Key Points of Discussion:

.Performance (sustain):

.Emphasized safety and knowledge of demolition, tacticalproficiency on the Platoon Live Fire Exercises.

.Tookcharge of company defense during the last majorfield training exercise; outstanding integration and use of

engineer,heavy weapons, and air defense artillery assets. Superb execution of defensepreparations and execution.

.No dropped white cycle taskings.

.Goodjob coordinating with battalion adjutant on legal andpersonnel issues.

.Continue to take care of soldiers, keep the commander abreast of problems.

.Focused on subordinate NCO development; right manfor the rightjob.

Imvrove:

.Get NCODPs on the calendar.

.Hold NCOs to standard on sergeants time training.

OTHER INSTRUCTIONS

This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For

separation requirements and notification ofloss of benefits/consequences see local directives and AR 635-200.

Appendix C

DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE

Figure C-10. Example of a Developmental Counseling Form-

Performance/Professional Growth Counseling

C-20 FM 22-100

Developmental Counseling

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goals(s)

The actions must be specific enough to modify or maintain the subordinate's behavior and include a specific time line for

implementation and assessment (part IV below)).

.Develovmental Plan (next vear):

.Develop a yearlong plan for NCODPs; coordinate to place on the calendar and training schedules.

.Resume civilian education; correspondence courses.

.Develop a company soldier of the month competition.

.Assist the company XO in modularizing the supply room for quick, efficient load-outs.

.Put in place a program to develop Ranger School candidates.

Lone-ranee eoals (2 to 5vears):

.Earn bachelor's degree.

.Attend and graduate the Sergeant Majors Academy.

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan

of action. The subordinate agrees/disagrees and provides remarks if appropriate).

Individual counseled: I agree/ cli31lgt'ee with the information above

Individual counseled remarks:

Signature ofIndividual Counseled: lSG McDonald Date: 13 March 1998

Leader Responsibilities: (Leader's responsibilities in implementing the plan of action).

.Coordinate with the 1SG on scheduling of NCODPs and soldier of the month boards.

.Have the XO meet with the 1SG on developing a plan for modularizing and improving the supply room.

.Provide time for Ranger candidate program.

Signature of Counselor: Mark Levv Date: 28 March 1997

PART IV -ASSESSMENT OF THE PLAN OF ACTION

Assessment (Did the plan of action achieve the desired results? This section is completed by both the leader and the

individual counseled and provides useful information for follow-up counseling):

1SG McDonald has enrolled in an associates degree program at the University of Kentucky. The supply room received all

green evaluations during the last command inspection. Five of seven Ranger applicants successfully completed Ranger

School, exceeding the overall course completion rate of39%. Monthly soldier of the month boards proved to be impractical

because of the OPTEMPO; however, the company does now hold quarterly boards during the white cycle. Brigade command

sergeant major commented favorably on the last company NCODP he attended and gave the instructor a brigade coin.

Counselor: CPT Peterson Individual Counseled: 1SG McDonald Date of Assessment: 1 Aue 98

Note: Both the counselor and the individual counseled should retain a record ofthe counseling.

DA FORM 4856-E (Reverse)

Figure C-10 (continued). Example of a Developmental Counseling Form-

Performance/Professional Growth Counseling

Army Leadership C-21

DEVELOPMENTAL COUNSELING FORM

Foruse of this form see FM 22-100

DATA REQUIRED BY THE PRIVACY ACT OF 1974

AUTHORITY: 5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)

PRINCIPAL PURPOSE: To assist leaders in conducting and recording counseling data pertaining to subordinates.

ROUTINE USES: For subordinate leader development lAW FM 22-100. Leaders should use this form as necessary.

DISCLOSURE: Disclosure is voluntary.

PART I -ADMINISTRATIVE DATA

Name (Last, First, MI)

I

Rank / Grade Social Security No.

I

Date of Counseling

Organization Name and Title of Counselor

PART II -BACKGROUND INFORMATION

Purpose of Counseling: (Leader states the reason for the counseling, e.g. performance/professional or event-

oriented counseling and includes the leader's facts and observations prior to the counseling):

See paragraph C-68, Open the Session

The leader should annotate pertinent, specific, and objective facts and observations made. If applicable, the leader

and subordinate start the counseling session by reviewing the status of the previous plan of action.

PART III - SUMMARY OF COUNSELING

Complete this section during or immediately subsequent to counseling.

Key Points of Discussion:

See paragraphs C-69 and C-70, Discuss the Issues.

The leader and subordinate should attempt to develop a mutual understanding of the issues. Both the leader and the

subordinate should provide examples or cite specific observations to reduce the perception that either is unnecessarily

biased or judgmental.

OTHER INSTRUCTIONS

This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For

separation requirements and notification of loss of benefits/consequences see local directives and AR 635-200.

Appendix C

DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE

Figure C-11. Guidelines on Completing a Developmental Counseling Form

C-22 FM 22-100

Developmental Counseling

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goals(s)

The actions must be specific enough to modify or maintain the subordinate's behavior and include a specific time line for

implementation and assessment (part IV below)).

See paragraph C-71, Develop a Plan of Action

The plan of action specifies what the subordinate must do to reach the goals set during the counseling session. The plan of

action must be specific and should contain the outline, guideline(s), and time line that the subordinate follows. A specific

and achievable plan of action sets the stage for successful subordinate development.

Remember, event-oriented counseling with corrective training as part of the plan of action can't be tied to a specified time

frame. Corrective training is complete once the subordinate attains the standard.

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan

of action. The subordinate agrees/disagrees and provides remarks if appropriate).

Individual counseled: I agree/ disagree with the information above

Individual counseled remarks:

See paragraph C-72 through C-74, Close the Session

Signature ofIndividual Counseled: Date:

Leader Responsibilities: (Leader's responsibilities in implementing the plan of action).

See paragraph C76, Leader's Responsibilities

To accomplish the plan of action, the leader must list the resources necessary and commit to providing them to the soldier.

Signature of Counselor: Date:

PART IV -ASSESSMENT OF THE PLAN OF ACTION

Assessment (Did the plan of action achieve the desired results? This section is completed by both the leader and the

individual counseled and provides useful information for follow-up counseling):

The assessment of the plan of action provides useful information for future follow-up counseling. This block should be

completed prior to the start of afollow-up counseling session. During an event-oriented counseling session, the counseling

session is not complete until this block is completed.

During performancelprofessional growth counseling, this block serves as the starting point for future counseling sessions.

Leaders must remember to conduct this assessment based on resolution of the situation or the established time line

discussed in the plan of action block above.

Counselor: Individual Counseled: Date of Assessment:

Note: Both the counselor and the individual counseled should retain a record ofthe counseling.

DA FORM 4856-E (Reverse)

Figure C-11 (continued). Guidelines on Completing a Developmental Counseling Form

Army Leadership C-23

Appendix D

A Leader Plan of Action and the ECAS

D-l. By completing a set of tasks (shown in Fig-

ure D-1), leaders can improve, sustain, or rein-

force a standard of performance within their

organizations. Leaders may complete some or

all of the sub-tasks shown in Figure D-1, de-

pending on the situation.

D-2. A leader plan of action (developed in step

3) identifies specific leader actions necessary to

achieve improvement. It is similar to the indi-

vidual plan of action that Appendix C discusses.

2 41

B

.

Observe

.

Interact

.

Gather

subordinate

input

.

Obtain

peer

input

3

Analyze Develop Plan of Action

(improve/maintain) Execute Plan

of Action

. . .

+- Reassess +-

Figure D-1. The Leader Plan of Action Development Process

Identify Problems .Develop

COAs

- Gather information

- Limitations/risk

- Resources

-Key personnel

- Facts/assumptions

.Predictoutcomes

.Select COAs

+

D-3. Begin your plan of action by assessing

your unit (Step 1). Observe, interact, and

gather feedback from others; or conduct formal

assessments of the workplace. Then analyze

the information you gathered to identify what

needs improvement (Step 2). Once you have

identified what needs improvement, begin to

develop courses of action to make the

improvements.

D-4. In Step 3, you develop your plan of action.

First, develop and consider several possible

courses of action to correct the weaknesses you

identified. Gather important information, as-

sess the limitations and risks associated with

the various courses, identify available key per-

sonnel and resources, and verify facts and as-

sumptions. Attempt to predict the outcome for

each possible course of action. Based on your

predictions, select several leader actions to deal

with the problems.

Army Leadership

.

Educate/Counsel

Subordinates

.Institute

Procedures

.Reward/Punish

Improve/Maintain

+

D-5. Execute your plan of action (Step 4) by

educating, training, or counseling your subordi-

nates; instituting new policies or procedures;

and revising or enforcing proper systems of re-

wards and punishment. Your organization

moves towards excellence by improving sub-

standard or weak areas and maintaining condi-

tions that meet or exceed the standard. Finally,

periodically reassesses your unit to identify new

matters of concern or to evaluate the effective-

ness of the leader actions.

D-6. You can use this process for many areas of

interest within your organization. A case study

demonstrating how to use an ECAS to prepare

a leader plan of action follows. It includes a de-

scription of how one leader gathered informa-

tion to complete the survey. (You can obtain the

form used to conduct an ECAS through Train-

ing Support Centers by ordering GTA 22-6-1.)

D-1

Appendix D

PREPARATION OF AN ECAS

D-7. 2LT Christina Ortega has been a military

police platoon leader for almost eight months.

When she first came to the platoon, it was a

well-trained, cohesive group. Within two

months of her taking charge, she and her

platoon deployed on a six-month rotation to

support operations in Bosnia. The unit per-

formed well, and she quickly earned a reputa-

tion as a leader with high standards for herself

and her unit. Now redeployed, she must have

her platoon ready in two months for a rotation

at the Combat Maneuver Training Center

(CMTC). She realizes that within that time she

must get the unit's equipment ready for deploy-

ment, train her soldiers on different missions

they will encounter at the CMTC, and provide

them some much needed and deserved time off.

D-8. As 2L T Ortega reflects on her first eight

months of leadership, she remembers how she

took charge of the platoon. She spoke individu-

ally with the leaders in the platoon about her

expectations and gathered information about

her subordinates. She stayed up all night com-

pleting the leadership philosophy memoran-

dum that she gave to every member of her

platoon. Mter getting her feet on the ground

and getting to know her soldiers, she assessed

the platoon's ethical climate using the ECAS.

Her unit's overall ECAS score was very good.

She committed herself to maintaining that

positive ethical climate by continuing the estab-

lished policies and by monitoring the climate

periodically.

D-9. Having completed a major deployment

and received a recent influx of some new

soldiers, 2LT Ortega decides to complete an-

other ECAS. She heads to the unit motor pool to

observe her soldiers preparing for the next

day's training exercise. The platoon is deploy-

ing to the local training area for the "best

squad" competition prior to the ARTEP evalua-

tion at the CMTC. "The best squad competition

has really become a big deal in the company,"

she thinks. "Squad rivalry is fierce, and the

squad leaders seem to be looking for an edge so

they can come out on top and win the weekend

pass that goes to the winning squad."

D-2

D-IO. She talks to as many of her soldiers as

she can, paying particular attention to the new-

est members of the unit. One new soldier, a ve-

hicle driver for SSG Smith, the 2nd Squad

Leader, appears very nervous and anxious.

During her conversation with the soldier, 2LT

Ortega discovers some disturbing information.

D-l1. The new soldier, PFC O'Brien, worries

about his vehicle's maintenance and readiness

for the next day. His squad leader has told him

to "get the parts no matter what." PFC O'Brien

says that he admires SSG Smith because he re-

alizes that SSG Smith just wants to perform

well and keep up the high standards of his pre-

vious driver. He recounts that SSG Smith has

vowed to win the next day's land navigation

competition. "SSG Smith even went so far as to

say that he knows we'll win because he already

knows the location of the points for the course.

He saw them on the XO's desk last night and

wrote them on his map."

D-12. 2LT Ortega thanks the soldier for talk-

ing honestly with her and immediately sets him

straight on the proper and improper way to get

repair parts. By the time she leaves, PFC

O'Brien knows that 2LT Ortega has high stan-

dards and will not tolerate improper means of

meeting them. Meanwhile, 2LT Ortega heads

back toward the company headquarters to find

the XO.

D-13. She finds the XO busily scribbling num-

bers and dates on pieces of paper. He is obvi-

ously involved and frantic. He looks up at her

and manages a quick "Hi, Christina," before re-

turning to his task. The battalion XO appar-

ently did not like the way the unit status report

(USR) portrayed the status of the maintenance

in the battalion and refused to send that report

forward. Not completely familiar with the USR,

2L T Ortega goes to the battalion motor officer

to get some more information. Mter talking to a

few more people in her platoon, 2L T Ortega

completes the ECAS shown in Figure D-2.

FM 22-100

A Leader Plan of Action

GTA 22-6-1

i\tOnl1\ental Flff:

«;~-I tAlssiOIJ 10".. E

./, ".og.1 No"o ~ thi cal

Deadlines vO ~:f'"2 "Zero Defeeb"

~~ °11\ C

$"limate

Action.oC 4ETHICAL

+=-=

UnitsIWorkpla..

UnitLead.n ~CLIMATE ;Polici...ndProe.dures Assessment

~'" 4

~

~~C",,, is"",~

#' ~

Limited TCompetition

""'0.""," l1ual Ch8' Survey

Stre..

An ethical climate is one in which our stated Army values are routinely

articulated, supported, practiced and respected. The Ethical Climate of an

organization is determined by a variety of factors, including the individual

character of unit members, the policies and practices within the

organization, the actions of unit leaders, and environmental and mission

factors. Leaders should periodically assess their unit's ethical climate and

take appropriate actions to maintain the high ethical standards expected of

all Army organizations. This survey will assist you in making these

assessments and in identifying the actions necessary to accomplish this

vital leader function. FM 22-100, Army Leadership, provides specific

leader actions necessary to sustain or improve your ethical climate, as

necessary.

DISTRIBUTION RESTRICTION STATEMENT:

Approved for public release: distribution is unlimited

References: FM 22-100

DISTRIBUTION: U.S. Army Training Support Centers (TSCs)

HEADQUARTERS, DEPARTMENT OF THE ARMY

OCTOBER 1997

E. We maintain an organizational creed, motto, and/or philosophy that

is consistent with Army values.

F. We submit unit reports that reflect accurate information.

G We ensure unit members are aware of, and are comfortable using, the

various channels available to report unethical behavior.

H. We treat fairly those individnals in our unit who report unethical

behavior.

I. We hold accountable (Le., report and/or punish) members of our

organization who behave unethically.

Section II Total

*Use the following scale for questions in Section III.

Ne;,:,

----~i:V~- - - _s~m~~~

---~os~~~~ ---~7YS

I

III. Unit Leader Actions -"What do I do?" This section focuses on

what you do as the leader of your organization to encourage an ethical climate.

A. I discuss Army values in orientation programs when I welcome new

members to my organization.

B. I routinely assess the ethical climate of my unit (i.e., sensing sessions,

climate surveys, etc.).

C. I communicate my expectations regarding ethical behavior in my unit,

and require subordinates to perform tasks in an ethical manner.

D. I encourage discussions of ethical issues in After Action Reviews,

training meetings, seminars, and workshops.

E. I encourage unit members to raise ethical questions and concerns to the

chain of command or other individnals, if needed (i.e., chaplain, 14 etc.). 2

F. I consider ethical behavior in performance evaluations, award and 4

promotion recommendations, and adverse personnel actions.

G I include maintaining a strong ethical climate as one of my unit's goals

and objectives.

Section III Total

INSTRUCTIONS

Answer the questions in this survey according to how you currently perceive your

unit and your own leader actions, NOT according to how you would prefer them to

be or how you think they should be. This information is for your use, (not your

chain of command's) to determine if you need to take action to improve the Ethical

Climate in your organization. Use the following scale for all questions in Sections I

and II.

Strongly Neither Agree Strongly

Disagree Disagree nor Disagree Agree Agree

1'2 3 4 5

I. Individual Character -"Who are we?" This section focuses on your

organization's members' commitment to Army values. Please answer the following

questions based on your observations of the ethical commitment in your unit.

(This means your immediate unit. If you are a squad leader, it means you and your

squad. If you are a civilian supervisor, it means you and your section.)

A. In general, the members of my unit demonstrate a commitment to

Army values (honor, selfless service, integrity, loyalty, courage, duty

and respect).

B. The members of my unit typically accomplish a mission by "doing the

right thing" rather than compromising Army values.

C. I understand, and I am committed to, the Army's values as outlined in

FM 22-100, Armv LeadershiD.

4

Section I Total

2

5

11

II. Unit/Workplace Policies & Practices -"What do we do?"

This section focuses on what you, and the leaders wbo report to you, do to

maintain an ethical climate in your workplace. (This does not mean your superiors.

Their actions will be addressed in Section IV).

A. We provide clear instructions which help prevent unethical behavior.

B. We promote an environment in which subordinates can leam ftom their

mistakes.

C. We maintain appropriate, not dysfunctional, levels of stress and

competition in our unit.

D. We discuss ethical behavior and issues during regular counseling

sessions. ~

4

-1.

4

IV, Environmental/Mission Factors -"What surrounds us?"

This section focuses on the external environment SUITOunding your organization.

Answer the following questions to assess the impact of these factors on the ethical

behavior in your organization.

Use the following scale for all questions in Section IV. ***Note: the scale is

reversed for this section (Strongly Agree is scored as a "I", not a "5") ***

2

4

31

Strongly Neither Agree Strongly

Agree Agree nor Disagree Disagree Disagree

1 2 3 4 5

A. My unit is currently under an excessive amount of stress (i.e., inspections,

limited resources, ftequent deployments, training events, deadlines, etc.).

B. My higher unit leaders foster a 'zero defects' outlook on performance,

such that they do not tolerate mistakes.

C. My higher unit leaders over-emphasize competition between units.

D. My higher unit leaders appear to be unconcerned with unethical behavior

as long as the mission is accomplished.

E. I do not feel comfortable bringing up ethical issues with my supervisors.

F. My peers in my unit do not seem to take ethical behavior very seriously.

Section IV Total

2

5

"'1

11

1

1

5

..Q

2Place the Total Score from each section in the spaces below:

(A score of 1 or 2 on any question requires some immediate leader action.)

Section I -Individual Character Total Score ~

l.L

32

:r=r-

-1. Section II -Leader Action Total Score

Section III -Unit Policies and Procedures Total Score

Section IV -Environmental/Mission Factors Total Score

~

32

IECAS Total Socre (I + II + III + IV) ~

25 -75

Take Immediate Action to

Improve Ethical Climate

76-100

Take Actions to Improve

Ethical Climate

101 -125

Maintain a Healthy

Ethical Climate

Figure D-2. Example of an Ethical Climate Assessment Survey

Army Leadership D-3

Appendix D

PREPARATION OF A LEADER PLAN OF ACTION

D-14. 2LT Ortega looks at her ECAS score and

determines that she needs to take action to im-

prove the ethical climate in her platoon. To help

determine where she should begin, 2L T Ortega

looks at the scores for each question. She knows

that any question receiving a" 1" or "2" must be

addressed immediately in her plan of action. As

2L T Ortega reviews the rest of the scores for

her unit, she identifies additional problems to

correct. Furthermore, she decides to look at a

few actions in which her unit excels and to de-

scribe ways to sustain the performance. As she

continues to develop the leader plan of action,

she looks at each subject she has identified. She

next develops the plan shown in Figure D-3 to

correct the deficiencies. At the bottom of the

form, she lists at least two actions she plans to

take to maintain the positive aspects of her pla-

toon's ethical climate.

D-15. 2LT Ortega has already completed the

first three steps (assess, analyze, and develop a

plan of action) specified in Figure D-l. When she

takes action to implement the plan she will have

completed the process. She must then follow up

to ensure her actions have the effects she

intended.

D-4 FM 22-100

A Leader Plan of Action

Actions to correct negative aspects of the ethical climate in the organization

Problem: Dysfunctional competition/stress in the unit (the competition is causing some members of

the unit to seek ways to gain an unfair advantage over others) [ECAS question # II.C., IV.A. &

IV.C.]

Action:

.Postpone the platoon competition; focus on the readiness of equipment and soldier preparation

rather than competition.

.Build some time in the long-range calendar to allow soldiers time to get away from work and

relax.

.Focus on the group's accomplishment of the mission (unit excellence). Reward the platoon, not

squads, for excellent performance. Reward teamwork.

Problem: Battalion XO "ordering" the changing of reports [IV B., D. & F.]

Action:

.Go see the company XO first and discuss what he should do.

.If the XO won't deal with it, see the commander myself to raise the issue.

Problem: Squad leader's unethical behavior [I.B. & II.A.]

Action:

.Reprimand the squad leader for getting the land navigation points unfairly.

.Counsel the squad leader on appropriate ways to give instructions and accomplish the mission

without compromising values.

Problem: Unclear instructions given by the squad leader ("get the parts no matter what") [II.A.]

Action:

.Have the platoon sergeant give a class (NCODP) on proper guidelines for giving instructions

and appropriate ethical considerations when asking subordinates to complete a task.

.Have the platoon sergeant counsel the squad leader(s) on the importance of using proper supply

procedures.

Problem: Company XO "changing report" to meet battalion XO's needs [IV.B. & F.]

Action:

.Have an informal discussion with the company XO about correct reporting or see the company

commander to raise the issue about the battalion XO.

Actions to maintain positive aspects of the ethical climate in the organization

Maintain: Continue to hold feedback (sensing) sessions and conduct ECAS assessments to maintain

a feel for how the platoon is accomplishing its mission. [II.D. & G.; III.A. & B.]

Maintain: Continue to reward people who perform to high standards without compromising values.

Punish those caught compromising them. [III.E. & F.]

Figure D-3. Example of a Leader Plan of Action

Army Leadership D-5

Appendix E

Character Development

E-l. Everyone who becomes part of America's

Army, soldier or DA civilian, has character. On

the day a person joins the Army, leaders begin

building on that character. Army values em-

phasize the relationship between character

and competence. Although competence is a

fundamental attribute of Army leaders,

character is even more critical. This appendix

discusses the actions Army leaders take to de-

velop their subordinates' character.

E-2. Army leaders are responsible for refining

the character of soldiers and DA civilians. How

does the Army as an institution ensure proper

character development? What should leaders

do to inculcate Army values in their

subordinates?

E-3. Leaders teach Army values to every new

member of the Army. Together with the leader

attributes described in Chapter 2, Army values

establish the foundation ofleaders of character.

Once members learn these values, their leaders

ensure adherence. Adhering to the principles

Army values embody is essential, for the Army

cannot tolerate unethical behavior. Unethical

behavior destroys morale and cohesion; it

undermines the trust and confidence essential

to teamwork and mission accomplishment.

E-4. Ethical conduct must reflect beliefs and

convictions, not just fear of punishment. Over

time, soldiers and DA civilians adhere to Army

values because they want to live ethically and

profess the values because they know it's right

to do so. Once people believe and demonstrate

Army values, they are persons of character. Ul-

timately, Army leaders are charged with the

with the essential role of developing character

in others. Figure E-l shows the leader actions

that support character development.

Shaping the organization's /

ethical climate) Internalization::>

/Believe

Reinforcing Army Values and r--

LdDlLeader Attributes) Reinforcement >

ea ers eve op I..

Character by ... '==- Comply

Education >Learn

Subordinates

Teaching Army Values)

and Demonstrating Attributes

Figure E-1. Character Development

Army Leadership E-1

Appendix E

LEADERS TEACH VALUES;

SUBORDINATES LEARN THE

CULTURE

E-5. Army leaders must teach their sub-

ordinates moral principles, ethical theory,

Army values, and leadership attributes.

Through their leaders' programs, soldiers and

DA civilians develop character through educa-

tion, experience, and reflection. By educating

their subordinates and setting the example,

Army leaders enable their subordinates to

make ethical decisions that in turn contribute

to excellence. Subordinates gain deeper

understanding from experiencing, observing,

and reflecting on the aspects of Army leader-

ship under the guidance of their leaders.

E-6. Inculcating Army values doesn't end with

basic training. All Army leaders should seek to

deepen subordinates' understanding of the

ethical aspects of character through classes, in-

formal discussions, one-on-one coaching, and

formal developmental counseling. Army lead-

ers can also improve their own understanding

through study, reflection, and discussions with

peers and superiors.

LEADERS REINFORCE VALUES;

SUBORDINATES COMPLY

E-7. Leaders reinforce and discipline behavior

to guide subordinates' development. To help

subordinates live according to Army values,

leaders enforce rules, policies, and regulations.

Still, soldiers and DA civilians of character do

more than merely comply with established in-

stitutional rules. Acting correctly but without

complete understanding or sound motivation is

not good enough in America's values-based

Army. People of character behave correctly

through correct understanding and personal

desire. Understanding comes from training and

self-development. Personal desire comes from a

person's realization that Army values are

worth adopting and living by and from that per-

son's decision to do just that.

E-8. Character stems from a thorough

understanding of Army values; however, this

understanding must go beyond knowing the

one-line definitions. Individuals must also

E-2

know why Army values are important and how

to apply them to everyday Army life. Leaders

can promote Army values by setting the exam-

ple themselves and pointing out other examples

of Army values in both normal and exceptional

activities. Army leaders can use unit histories

and traditions, prominent individuals, and re-

cent events to bring Army values to life and ex-

plain why adhering to them is important.

LEADERS SHAPE THE ETHICAL

CLIMATE; SUBORDINATES

INTERNALIZE ARMY VALUES

E-9. Doing the right thing is good. Doing the

right thing for the right reason and with the

right intention is better. People of character

must possess the desire to act ethically in all

situations. One of the Army leader's primary

responsibilities is to maintain an ethical

climate that supports development of such a

character. When an organization's ethical

climate nurtures ethical behavior, over time,

people think, feel, and act ethically-they inter-

nalize the aspects of sound character.

E-IO. Leaders should influence others'

character development and foster correct ac-

tions through role modeling, teaching, and

coaching. Army leaders seek to build a climate

in which subordinates and organizations can

reach their full potential. Together, these

actions promote organizational excellence.

E-l1. Army leaders can use the ECAS to assess

ethical aspects of their own character and ac-

tions, the workplace, and the external environ-

ment. Once they have done their assessment,

leaders prepare and carry out a plan of action.

The plan of action focuses on solving ethical

problems within the leaders' span of influence;

leaders pass ethical problems they cannot

change to higher headquarters. E-12. Becoming

a person of character and a leader of character

is a career-long process involving both self-

development and developmental counseling.

While individuals are responsible for their own

character development, leaders are responsible

for encouraging, supporting, and assessing the

efforts of their subordinates. Leaders of charac-

ter can develop only through continual study,

reflection, experience, and feedback.

FM 22-100

Appendix F

The Constitution of the United States

As a member of the Army, you have taken an oath to "support and defend the Constitution of the United

States against all enemies, foreign and domestic [and to] bear true faith and allegiance to the same." But

what is this document that you have sworn to protect? In essence, the Constitution is a blueprint

establishing the powers and responsibilities of the three branches of the United States government as

well as the rights of American citizens. Especially important for the Army are those provisions in the

Constitution that place fundamental military authority in Congress and the president. As part of that

authority, Congress has the power to "provide for the common Defense," which includes the power to

"raise and support Armies," and the president is the commander in chief of the armed forces. So the

Constitution establishes the critical principle that America's military leaders are subordinate to the

nation's civilian authorities. Given the importance of that concept to our system of government, this

appendix contains a copy of the US Constitution. As you read it, you will see that, although the

Constitution was written over 200 years ago, it remains relevant today for Army leaders and all

Americans.

THE PREAMBLE

We the People of the United States, in Or-

der to form a more perfect Union, establish Jus-

tice, insure domestic Tranquility, provide for

the common defence, promote the general

Welfare, and secure the Blessings of Liberty to

ourselves and our Posterity, do ordain and es-

tablish this Constitution for the United States

of America.

THE CONSTITUTION

ARTICLE I

Section 1

All legislative Powers herein granted shall

be vested in a Congress of the United States,

which shall consist of a Senate and House of

Representatives.

Section 2

The House of Representatives shall be com-

posed of Members chosen every second Year by

the People of the several States, and the Elec-

tors in each State shall have the Qualifications

requisite for Electors of the most numerous

Branch of the State Legislature.

No Person shall be a Representative who shall

not have attained to the Age of twenty five

Years, and been seven Years a Citizen of the

United States, and who shall not, when elected,

Army Leadership

be an Inhabitant of that State in which he shall

be chosen.

Representatives and direct Taxes shall be

apportioned among the several States which

may be included within this Union, according to

their respective Numbers, which shall be deter-

mined by adding to the whole Number of free

Persons, including those bound to Service for a

Term of Years, and excluding Indians not

taxed, three fifths of all other Persons. The ac-

tual Enumeration shall be made within three

Years after the first Meeting of the Congress of

the United States, and within every subsequent

Term of ten Years, in such Manner as they shall

by Law direct. The Number of Representatives

shall not exceed one for every thirty Thousand,

but each State shall have at Least one Repre-

sentative; and until such enumeration shall be

made, the State of New Hampshire shall be

F-1

Appendix F

entitled to chuse three, Massachusetts eight,

Rhode- Island and Providence Plantations one,

Connecticut five, New-York six, New Jersey

four, Pennsylvania eight, Delaware one, Mary-

land six, Virginia ten, North Carolina five,

South Carolina five, and Georgia three.

When vacancies happen in the Representation

from any State, the Executive Authority thereof

shall issue Writs of Election to fill such Vacancies.

The House of Representatives shall chuse

their Speaker and other Officers; and shall have

the sole Power of Impeachment.

Section 3

The Senate of the United States shall be

composed of two Senators from each State, cho-

sen by the Legislature thereof, for six Years;

and each Senator shall have one Vote.

Immediately after they shall be assembled

in Consequence of the first Election, they shall

be divided as equally as may be into three

Classes. The Seats of the Senators of the first

Class shall be vacated at the Expiration of the

second Year, of the second Class at the Expira-

tion of the fourth Year, and of the third Class at

the Expiration of the sixth Year, so that one

third may be chosen every second Year; and if

Vacancies happen by Resignation, or otherwise,

during the Recess of the Legislature of any

State, the Executive thereof may make tempo-

rary Appointments until the next Meeting of

the Legislature, which shall then fill such Va-

canCIes.

No Person shall be a Senator who shall not

have attained to the Age of thirty Years, and

been nine Years a Citizen of the United States,

and who shall not, when elected, be an Inhabi-

tant of that State for which he shall be chosen.

The Vice President of the United States

shall be President of the Senate, but shall have

no Vote, unless they be equally divided.

The Senate shall chuse their other Officers,

and also a President pro tempore, in the Ab-

sence of the Vice President, or when he shall ex-

ercise the Office of President of the United

States.

The Senate shall have the sole Power to try

all Impeachments. When sitting for that Pur-

pose, they shall be on Oath or Affirmation.

When the President of the United States is

tried, the Chief Justice shall preside: And no

Person shall be convicted without the Concur-

rence of two thirds of the Members present.

Judgment in Cases of Impeachment shall

not extend further than to removal from Office,

and disqualification to hold and enjoy any Of-

fice of honor, Trust or Profit under the United

States: but the Party convicted shall neverthe-

less be liable and subject to Indictment, Trial,

Judgment and Punishment, according to Law.

Section 4

The Times, Places and Manner of holding

Elections for Senators and Representatives,

shall be prescribed in each State by the Legisla-

ture thereof; but the Congress may at any time

by Law make or alter such Regulations, except

as to the Places of chusing Senators.

The Congress shall assemble at least once

in every Year, and such Meeting shall be on the

first Monday in December, unless they shall by

Law appoint a different Day.

Section 5

Each House shall be the Judge of the Elec-

tions, Returns and Qualifications of its own

Members, and a Majority of each shall consti-

tute a Quorum to do Business; but a smaller

Number may adjourn from day to day, and may

be authorized to compel the Attendance of ab-

sent Members, in such Manner, and under such

Penalties as each House may provide.

Each House may determine the Rules of its

Proceedings, punish its Members for disorderly

Behaviour, and, with the Concurrence of two

thirds, expel a Member.

Each House shall keep a Journal of its Pro-

ceedings, and from time to time publish the

same, excepting such Parts as may in their

Judgment require Secrecy; and the Yeas and

Nays of the Members of either House on any

question shall, at the Desire of one fifth of those

Present, be entered on the Journal.

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The Constitution of the United States

Neither House, during the Session of Con-

gress, shall, without the Consent of the other,

adjourn for more than three days, nor to any

other Place than that in which the two Houses

shall be sitting.

Section 6

The Senators and Representatives shall re-

ceive a Compensation for their Services, to be

ascertained by Law, and paid out of the Treas-

ury of the United States. They shall in all

Cases, except Treason, Felony and Breach of

the Peace, be privileged from Arrest during

their Attendance at the Session of their respec-

tive Houses, and in going to and returning from

the same; and for any Speech or Debate in ei-

ther House, they shall not be questioned in any

other Place.

No Senator or Representative shall, during

the Time for which he was elected, be appointed

to any civil Office under the Authority of the

United States, which shall have been created,

or the Emoluments whereof shall have been en-

creased during such time; and no Person hold-

ing any Office under the United States, shall be

a Member of either House during his Continu-

ance in Office.

Section 7

All Bills for raising Revenue shall originate

in the House of Representatives; but the Senate

may propose or concur with Amendments as on

other Bills.

Every Bill which shall have passed the

House of Representatives and the Senate, shall,

before it become a Law, be presented to the

President of the United States; Ifhe approve he

shall sign it, but if not he shall return it, with

his Objections to that House in which it shall

have originated, who shall enter the Objections

at large on their Journal, and proceed to recon-

sider it. If after such Reconsideration two

thirds of that House shall agree to pass the Bill,

it shall be sent, together with the Objections, to

the other House, by which it shall likewise be

reconsidered, and if approved by two thirds of

that House, it shall become a Law. But in all

such Cases the Votes of both Houses shall be de-

termined by Yeas and Nays, and the Names of

the Persons voting for and against the Bill shall

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be entered on the Journal of each House respec-

tively. If any Bill shall not be returned by the

President within ten Days (Sundays excepted)

after it shall have been presented to him, the

Same shall be a Law, in like Manner as if he had

signed it, unless the Congress by their Adjourn-

ment prevent its Return, in which Case it shall

not be a Law.

Every Order, Resolution, or Vote to which

the Concurrence of the Senate and House of

Representatives may be necessary (except on a

question of Adjournment) shall be presented to

the President of the United States; and before

the Same shall take Effect, shall be approved by

him, or being disapproved by him, shall be re-

passed by two thirds of the Senate and House of

Representatives, according to the Rules and

Limitations prescribed in the Case of a Bill.

Section 8

The Congress shall have Power To lay and

collect Taxes, Duties, Imposts and Excises, to

pay the Debts and provide for the common De-

fence and general Welfare of the United States;

but all Duties, Imposts and Excises shall be uni-

form throughout the United States;

To borrow Money on the credit of the

United States;

To regulate Commerce with foreign N a-

tions, and among the several States, and with

the Indian Tribes;

To establish an uniform Rule of Naturaliza-

tion, and uniform Laws on the subject of Bank-

ruptcies throughout the United States;

To coin Money, regulate the Value thereof,

and of foreign Coin, and fix the Standard of

Weights and Measures;

To provide for the Punishment of counter-

feiting the Securities and current Coin of the

United States;

To establish Post Offices and post Roads;

To promote the Progress of Science and

useful Arts, by securing for limited Times to

Authors and Inventors the exclusive Right to

their respective Writings and Discoveries;

F-3

Appendix F

To constitute Tribunals inferior to the su-

preme Court;

To define and punish Piracies and Felonies

committed on the high Seas, and Offences

against the Law of Nations;

To declare War, grant Letters of Marque

and Reprisal, and make Rules concerning Cap-

tures on Land and Water;

To raise and support Armies, but no Appro-

priation of Money to that Use shall be for a

longer Term than two Years;

To provide and maintain a Navy;

To make Rules for the Government and

Regulation of the land and naval Forces;

To provide for calling forth the Militia to

execute the Laws of the Union, suppress Insur-

rections and repel Invasions;

To provide for organizing, arming, and dis-

ciplining, the Militia, and for governing such

Part of them as may be employed in the Service

of the United States, reserving to the States re-

spectively, the Appointment of the Officers, and

the Authority of training the Militia according

to the discipline prescribed by Congress;

To exercise exclusive Legislation in all

Cases whatsoever, over such District (not ex-

ceeding ten Miles square) as may, by Cession of

particular States, and the Acceptance of Con-

gress, become the Seat of the Government of

the United States, and to exercise like Author-

ity over all Places purchased by the Consent of

the Legislature of the State in which the Same

shall be, for the Erection of Forts, Magazines,

Arsenals, dock-Yards, and other needful Build-

ings;-And

To make all Laws which shall be necessary

and proper for carrying into Execution the

foregoing Powers, and all other Powers vested

by this Constitution in the Government of the

United States, or in any Department or Officer

thereof.

Section 9

The Migration or Importation of such Per-

sons as any of the States now existing shall

think proper to admit, shall not be prohibited

F-4

by the Congress prior to the Year one thousand

eight hundred and eight, but a Tax or duty may

be imposed on such Importation, not exceeding

ten dollars for each Person.

The Privilege of the Writ of Habeas Corpus

shall not be suspended, unless when in Cases of

Rebellion or Invasion the public Safety may re-

quire it.

NoBill of Attainder or ex post facto Law

shall be passed.

No Capitation, or other direct, Tax shall be

laid, unless in Proportion to the Census or Enu-

meration herein before directed to be taken.

No Tax or Duty shall be laid on Articles ex-

ported from any State.

No Preference shall be given by any Regula-

tion of Commerce or Revenue to the Ports of

one State over those of another: nor shall Ves-

sels bound to, or from, one State, be obliged to

enter, clear, or pay Duties in another.

No Money shall be drawn from the Treas-

ury, but in Consequence of Appropriations

made by Law; and a regular Statement and Ac-

count of the Receipts and Expenditures of all

public Money shall be published from time to

time.

No Title of Nobility shall be granted by the

United States: And no Person holding any Of-

fice of Profit or Trust under them, shall, with-

out the Consent of the Congress, accept of any

present, Emolument, Office, or Title, of any

kind whatever, from any King, Prince, or for-

eign State.

Section 10

No State shall enter into any Treaty, Alli-

ance, or Confederation; grant Letters of

Marque and Reprisal; coin Money; emit Bills of

Credit; make any Thing but gold and silver

Coin a Tender in Payment of Debts; pass any

Bill of Attainder, ex post facto Law, or Law im-

pairing the Obligation of Contracts, or grant

any Title of Nobility.

No State shall, without the Consent of the

Congress, lay any Imposts or Duties on Imports

or Exports, except what may be absolutely nec-

essary for executing its inspection Laws: and

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The Constitution of the United States

the net Produce of all Duties and Imposts, laid

by any State on Imports or Exports, shall be for

the Use of the Treasury of the United States;

and all such Laws shall be subject to the Revi-

sion and Controul of the Congress.

No State shall, without the Consent of Con-

gress, lay any Duty of Tonnage, keep Troops, or

Ships of War in time of Peace, enter into any

Agreement or Compact with another State, or

with a foreign Power, or engage in War, unless

actually invaded, or in such imminent Danger

as will not admit of delay.

ARTICLE II

Section 1

The executive Power shall be vested in a

President of the United States of America. He

shall hold his Office during the Term of four

Years, and, together with the Vice President,

chosen for the same Term, be elected, as fol-

lows:

Each State shall appoint, in such Manner

as the Legislature thereof may direct, a

Number of Electors, equal to the whole

Number of Senators and Representatives to

which the State may be entitled in the

Congress: but no Senator or Representative, or

Person holding an Office of Trust or Profit

under the United States, shall be appointed an

Elector.

The Electors shall meet in their respective

States, and vote by Ballot for two Persons, of

whom one at least shall not be an Inhabitant of

the same State with themselves. And they shall

make a List of all the Persons voted for, and of

the Number of Votes for each; which List they

shall sign and certify, and transmit sealed to

the Seat of the Government of the United

States, directed to the President of the Senate.

The President of the Senate shall, in the Pres-

ence of the Senate and House of Representa-

tives, open all the Certificates, and the Votes

shall then be counted. The Person having the

greatest Number of Votes shall be the Presi-

dent, if such Number be a Majority of the whole

Number of Electors appointed; and if there be

more than one who have such Majority, and

have an equal Number of Votes, then the House

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of Representatives shall immediately chuse by

Ballot one of them for President; and if no Per-

son have a Majority, then from the five highest

on the List the said House shall in like Manner

chuse the President. But in chusing the Presi-

dent, the Votes shall be taken by States, the

Representation from each State having one

Vote; A quorum for this Purpose shall consist of

a Member or Members from two thirds of the

States, and a Majority of all the States shall be

necessary to a Choice. In every Case, after the

Choice of the President, the Person having the

greatest Number of Votes of the Electors shall

be the Vice President. But if there should re-

main two or more who have equal Votes, the

Senate shall chuse from them by Ballot the Vice

President.

The Congress may determine the Time of

chusing the Electors, and the Day on which

they shall give their Votes; which Day shall be

the same throughout the United States.

No Person except a natural born Citizen, or

a Citizen of the United States, at the time of the

Adoption of this Constitution, shall be eligible

to the Office of President; neither shall any Per-

son be eligible to that Office who shall not have

attained to the Age of thirty five Years, and

been fourteen Years a Resident within the

United States.

In Case of the Removal of the President

from Office, or of his Death, Resignation, or In-

ability to discharge the Powers and Duties of

the said Office, the Same shall devolve on the

Vice President, and the Congress may by Law

provide for the Case of Removal, Death, Resig-

nation or Inability, both of the President and

Vice President, declaring what Officer shall

then act as President, and such Officer shall act

accordingly, until the Disability be removed, or

a President shall be elected.

The President shall, at stated Times, re-

ceive for his Services, a Compensation, which

shall neither be encreased nor diminished dur-

ing the Period for which he shall have been

elected, and he shall not receive within that Pe-

riod any other Emolument from the United

States, or any of them.

F-5

Appendix F

Before he enter on the Execution of his Of-

fice, he shall take the following Oath or Af-

firmation:-"I do solemnly swear (or affirm)

that I will faithfully execute the Office of Pres i-

dent of the United States, and will to the best of

my Ability, preserve, protect and defend the

Constitution of the United States."

Section 2

The President shall be Commander in

Chief of the Army and Navy of the United

States, and of the Militia of the several States,

when called into the actual Service of the

United States; he may require the Opinion, in

writing, of the principal Officer in each of the

executive Departments, upon any Subject relat-

ing to the Duties of their respective Offices, and

he shall have Power to grant Reprieves and

Pardons for Offences against the United States,

except in Cases of Impeachment.

He shall have Power, by and with the Ad-

vice and Consent of the Senate, to make Trea-

ties, provided two thirds of the Senators

present concur; and he shall nominate, and by

and with the Advice and Consent of the Senate,

shall appoint Ambassadors, other public Minis-

ters and Consuls, Judges of the supreme Court,

and all other Officers of the United States,

whose Appointments are not herein otherwise

provided for, and which shall be established by

Law: but the Congress may by Law vest the Ap-

pointment of such inferior Officers, as they

think proper, in the President alone, in the

Courts of Law, or in the Heads of Departments.

The President shall have Power to fill up all

Vacancies that may happen during the Recess

of the Senate, by granting Commissions which

shall expire at the End of their next Session.

Section 3

He shall from time to time give to the Con-

gress Information of the State of the Union, and

recommend to their Consideration such Meas-

ures as he shall judge necessary and expedient;

he may, on extraordinary Occasions, convene

both Houses, or either of them, and in Case of

Disagreement between them, with Respect to

the Time of Adjournment, he may adjourn

them to such Time as he shall think proper; he

shall receive Ambassadors and other public

F-6

Ministers; he shall take Care that the Laws be

faithfully executed, and shall Commission all

the Officers of the United States.

Section 4

The President, Vice President and all civil

Officers of the United States, shall be removed

from Office on Impeachment for, and Convic-

tion of, Treason, Bribery, or other high Crimes

and Misdemeanors.

ARTICLE III

Section 1

The judicial Power of the United States,

shall be vested in one supreme Court, and in

such inferior Courts as the Congress may from

time to time ordain and establish. The Judges,

both of the supreme and inferior Courts, shall

hold their Offices during good Behaviour, and

shall, at stated Times, receive for their Services,

a Compensation, which shall not be diminished

during their Continuance in Office.

Section 2

The judicial Power shall extend to all Cases,

in Law and Equity, arising under this Constitu-

tion, the Laws of the United States, and Trea-

ties made, or which shall be made, under their

Authority;-to all Cases affecting Ambassa-

dors, other public Ministers and Consuls;-to

all Cases of admiralty and maritime Jurisdic-

tion;-to Controversies to which the United

States shall be a Party;-to Controversies be-

tween two or more States;-between a State

and Citizens of another State;-between Citi-

zens of different States, -between Citizens of

the same State claiming Lands under Grants of

different States, and between a State, or the

Citizens thereof, and foreign States, Citizens or

Subjects.

In all Cases affecting Ambassadors, other

public Ministers and Consuls, and those in

which a State shall be Party, the supreme Court

shall have original Jurisdiction. In all the other

Cases before mentioned, the supreme Court

shall have appellate Jurisdiction, both as to

Law and Fact, with such Exceptions, and under

such Regulations as the Congress shall make.

FM 22-100

The Constitution of the United States

The Trial of all Crimes, except in Cases of

Impeachment, shall be by Jury; and such Trial

shall be held in the State where the said Crimes

shall have been committed; but when not com-

mitted within any State, the Trial shall be at

such Place or Places as the Congress may by

Law have directed.

Section 3

Treason against the United States, shall

consist only in levying War against them, or in

adhering to their Enemies, giving them Aid and

Comfort. No Person shall be convicted of Trea-

son unless on the Testimony of two Witnesses

to the same overt Act, or on Confession in open

Court.

The Congress shall have Power to declare

the Punishment of Treason, but no Attainder of

Treason shall work Corruption of Blood, or For-

feiture except during the Life of the Person at-

tainted.

ARTICLE IV

Section 1

Full Faith and Credit shall be given in each

State to the public Acts, Records, and judicial

Proceedings of every other State. And the Con-

gress may by general Laws prescribe the Man-

ner in which such Acts, Records and

Proceedings shall be proved, and the Effect

thereof.

Section 2

The Citizens of each State shall be entitled

to all Privileges and Immunities of Citizens in

the several States.

A Person charged in any State with Trea-

son, Felony, or other Crime, who shall flee from

Justice, and be found in another State, shall on

Demand of the executive Authority of the State

from which he fled, be delivered up, to be re-

moved to the State having Jurisdiction of the

Crime.

No Person held to Service or Labour in one

State, under the Laws thereof, escaping into an-

other, shall, in Consequence of any Law or

Regulation therein, be discharged from such

Service or Labour, but shall be delivered up on

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Claim of the Party to whom such Service or La-

bour may be due.

Section 3

New States may be admitted by the Con-

gress into this Union; but no new State shall be

formed or erected within the Jurisdiction of any

other State; nor any State be formed by the

Junction of two or more States, or Parts of

States, without the Consent of the Legislatures

of the States concerned as well as of the Con-

gress.

The Congress shall have Power to dispose

of and make all needful Rules and Regulations

respecting the Territory or other Property be-

longing to the United States; and nothing in

this Constitution shall be so construed as to

Prejudice any Claims of the United States, or of

any particular State.

Section 4

The United States shall guarantee to every

State in this Union a Republican Form of Gov-

ernment, and shall protect each of them against

Invasion; and on Application of the Legislature,

or of the Executive (when the Legislature can-

not be convened) against domestic Violence.

ARTICLE V

The Congress, whenever two thirds of both

Houses shall deem it necessary, shall propose

Amendments to this Constitution, or, on the

Application of the Legislatures of two thirds of

the several States, shall call a Convention for

proposing Amendments, which, in either Case,

shall be valid to all Intents and Purposes, as

Part of this Constitution, when ratified by the

Legislatures of three fourths of the several

States, or by Conventions in three fourths

thereof, as the one or the other Mode of Ratifi-

cation may be proposed by the Congress; Pro-

vided that no Amendment which may be made

prior to the Year One thousand eight hundred

and eight shall in any Manner affect the first

and fourth Clauses in the Ninth Section of the

first Article; and that no State, without its Con-

sent, shall be deprived of its equal Suffrage in

the Senate.

F-7

Appendix F

ARTICLE VI

All Debts contracted and Engagements en-

tered into, before the Adoption of this Constitu-

tion, shall be as valid against the United States

under this Constitution, as under the Confed-

eration.

This Constitution, and the Laws of the

United States which shall be made in Pursu-

ance thereof; and all Treaties made, or which

shall be made, under the Authority of the

United States, shall be the supreme Law of the

Land; and the Judges in every State shall be

bound thereby, any Thing in the Constitution

or Laws of any State to the Contrary notwith-

standing.

The Senators and Representatives before

mentioned, and the Members of the several

State Legislatures, and all executive and judicial

Officers, both of the United States and of the

several States, shall be bound by Oath or M-

firmation, to support this Constitution; but no

religious Test shall ever be required as a Quali-

fication to any Office or public Trust under the

United States.

ARTICLE VII

The Ratification of the Conventions of nine

States, shall be sufficient for the Establishment

of this Constitution between the States so rati-

fying the same.

Done in Convention by the Unanimous Consent of the States present the Seventeenth Day of

September in the Year of our Lord one thousand seven hundred and Eighty seven and of the

Independence of the United States of America the Twelfth. In witness whereof We have hereunto

subscribed our Names,

G. WASHINGTON-President. And deputy from Virginia

Delaware

Geo: Read

Gunning Bedford jun

John Dickinson

Richard Bassett

Jaco: Broom

South Carolina

J. Rutledge

Charles Cotesworth

Pinckney

Charles Pinckney

Pierce Butler

Georgia

William Few

Abr Baldwin

New Hampshire

John Langdon

Nicholas

Massachusetts

Nathaniel Gorham

Rufus King

Connecticut

Wm: Saml. Johnson

Roger Sherman

Maryland

James McHenry

Dan of St Thos. Jenifer

Danl Carroll.

Virginia

John Blair---

James Madison Jf.

New York

Alexander Hamilton

New Jersy

Wil: Livingston

David Brearley

Wm. Paterson

Jona: Dayton

Pennsylvania

B Franklin

Thomas Mifflin

Robt Morris

Geo. Clymer

Thos. FitzSimons

Jared Ingersoll

James Wilson

Gouv Morris

North Carolina

Wm. Blount

Richd. Dobbs Spaight

Hu Williamson

Attest William Jackson

Secretary

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The Constitution of the United States

THE PREAMBLE TO THE BILL OF RIGHTS

Congress of the United States begun and held

at the City of New York, on Wednesday the

fourth of March, one thousand seven hundred

and eighty-nine.

The Conventions of a number of the States,

having at the time of their adopting the Consti-

tution expressed a desire in order to prevent

misconstruction or abuse of its powers, that

further declaratory and restrictive clauses

should be added: And as extending the ground

of public confidence in the Government will

best ensure the beneficent ends of its

institution.

Resolved by the Senate and House of Represen-

tatives of the United States of America in

Congress assembled, two thirds of both Houses

concurring that the following Articles be pro-

posed to the Legislatures of the several states as

Amendments to the Constitution of the United

States, all or any of which articles, when rati-

fied by three fourths of the said Legislatures to

be valid to all intents and purposes as part of

the said Constitution. viz.

Articles in addition to, and Amendment of the

Constitution of the United States of America,

proposed by Congress and Ratified by the Legis-

latures of the several States, pursuant to the

fifth Article of the original Constitution.

AMENDMENT I

THE BILL OF RIGHTS

Congress shall make no law respecting an

establishment of religion, or prohibiting the

free exercise thereof; or abridging the freedom

of speech, or of the press; or the right of the peo-

ple peaceably to assemble, and to petition the

Government for a redress of grievances.

AMENDMENT II

A well regulated Militia being necessary to

the security of a free State, the right of the peo-

ple to keep and bear Arms, shall not be in-

fringed.

AMENDMENT III

No Soldier shall, in time of peace be quar-

tered in any house, without the consent of the

Owner, nor in time of war, but in a manner to

be prescribed by law.

AMENDMENT IV

The right of the people to be secure in their

persons, houses, papers, and effects, against

unreasonable searches and seizures, shall not

be violated, and no Warrants shall issue, but

upon probable cause, supported by Oath or af-

firmation, and particularly describing the place

to be searched, and the persons or things to be

seized.

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AMENDMENT V

No person shall be held to answer for a capi-

tal, or otherwise infamous crime, unless on a

presentment or indictment of a Grand Jury, ex-

cept in cases arising in the land or naval forces,

or in the Militia, when in actual service in time

of War or public danger; nor shall any person be

subject for the same offence to be twice put in

jeopardy of life or limb; nor shall be compelled

in any criminal case to be a witness against

himself, nor be deprived of life, liberty, or prop-

erty, without due process of law; nor shall pri-

vate property be taken for public use, without

just compensation.

AMENDMENT VI

In all criminal prosecutions, the accused

shall enjoy the right to a speedy and public trial,

by an impartial jury of the State and district

wherein the crime shall have been committed,

which district shall have been previously ascer-

tained by law, and to be informed of the nature

and cause of the accusation; to be confronted

with the witnesses against him; to have com-

pulsory process for obtaining witnesses in his

favor, and to have the Assistance of Counsel for

his defence.

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Appendix F

AMENDMENT VII

In suits at common law, where the value in

controversy shall exceed twenty dollars, the

right of trial by jury shall be preserved, and no

fact tried by a jury, shall be otherwise reexam-

ined in any Court of the United States, than ac-

cording to the rules of the common law.

AMENDMENT VIII

Excessive bail shall not be required, nor ex-

cessive fines imposed, nor cruel and unusual

punishments inflicted.

AMENDMENT IX

The enumeration in the Constitution, of

certain rights, shall not be construed to deny or

disparage others retained by the people.

AMENDMENT X

The powers not delegated to the United

States by the Constitution, nor prohibited by it

to the States, are reserved to the States respec-

tively, or to the people.

AMENDMENTS 11THROUGH 27

AMENDMENT XI

Passed by Congress March 4, 1794. Ratified

February 7, 1795.

The Judicial power of the United States

shall not be construed to extend to any suit in

law or equity, commenced or prosecuted

against one of the United States by Citizens of

another State, or by Citizens or Subjects of any

Foreign State.

Note: Article III, section 2, of the Constitution

was modified by amendment 11.

AMENDMENT XII

Passed by Congress December 9, 1803. Ratified

June 15, 1804.

The Electors shall meet in their respective

states and vote by ballot for President and

Vice-President, one of whom, at least, shall not

be an inhabitant of the same state with them-

selves; they shall name in their ballots the per-

son voted for as President, and in distinct

ballots the person voted for as Vice-President,

and they shall make distinct lists of all persons

voted for as President, and of all persons voted

for as Vice-President, and of the number of

votes for each, which lists they shall sign and

certify, and transmit sealed to the seat of the

government of the United States, directed to

the President of the Senate; the President of

the Senate shall, in the presence of the Senate

and House of Representatives, open all the cer-

tificates and the votes shall then be counted;

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The person having the greatest number of votes

for President, shall be the President, if such

number be a majority of the whole number of

Electors appointed; and if no person have such

majority, then from the persons having the

highest numbers not exceeding three on the list

of those voted for as President, the House of

Representatives shall choose immediately, by

ballot, the President. But in choosing the Presi-

dent, the votes shall be taken by states, the rep-

resentation from each state having one vote; a

quorum for this purpose shall consist of a mem-

ber or members from two-thirds of the states,

and a majority of all the states shall be neces-

sary to a choice. [And if the House of Represen-

tatives shall not choose a President whenever

the right of choice shall devolve upon them, be-

fore the fourth day of March next following,

then the Vice-President shall act as President,

as in case of the death or other constitutional

disability of the President. ]* The person hav-

ing the greatest number of votes as Vice-

President, shall be the Vice-President, if such

number be a majority of the whole number of

Electors appointed, and if no person have a ma-

jority, then from the two highest numbers on

the list, the Senate shall choose the Vice-

President; a quorum for the purpose shall con-

sist of two-thirds of the whole number of Sena-

tors, and a majority of the whole number shall

be necessary to a choice. But no person consti-

tutionally ineligible to the office of President

shall be eligible to that of Vice-President of the

United States.

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*Superseded by section 3of the 20th

amendment.

Note: A portion of Article II, section 1of the

Constitution was superseded by the 12th

amendment.

AMENDMENT XIII

Passed by Congress January 31, 1865. Ratified

December 6,1865.

Section 1

Neither slavery nor involuntary servitude,

except as a punishment for crime whereof the

party shall have been duly convicted, shall exist

within the United States, or any place subject to

their jurisdiction.

Section 2

Congress shall have power to enforce this

article by appropriate legislation.

Note: A portion of Article IV, section 2, of the

Constitution was superseded by the 13th

amendment.

AMENDMENT XIV

Passed by Congress June 13, 1866. Ratified

July 9,1868.

Section 1

All persons born or naturalized in the

United States, and subject to the jurisdiction

thereof, are citizens of the United States and of

the State wherein they reside. No State shall

make or enforce any law which shall abridge

the privileges or immunities of citizens of the

United States; nor shall any State deprive any

person of life, liberty, or property, without due

process oflaw; nor deny to any person within its

jurisdiction the equal protection of the laws.

Section 2

Representatives shall be apportioned

among the several States according to their re-

spective numbers, counting the whole number

of persons in each State, excluding Indians not

taxed. But when the right to vote at any election

for the choice of electors for President and

Vice-President of the United States, Represen-

tatives in Congress, the Executive and Judicial

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officers of a State, or the members of the

Legislature thereof, is denied to any of the male

inhabitants of such State, being twenty-one

years of age, *and citizens of the United States,

or in any way abridged, except for participation

in rebellion, or other crime, the basis of repre-

sentation therein shall be reduced in the pro-

portion which the number of such male citizens

shall bear to the whole number of male citizens

twenty-one years of age in such State.

Section 3

No person shall be a Senator or Rep-

resentative in Congress, or elector of President

and Vice-President, or hold any office, civil or

military, under the United States, or under any

State, who, having previously taken an oath, as

a member of Congress, or as an officer of the

United States, or as a member of any State leg-

islature, or as an executive or judicial officer of

any State, to support the Constitution of the

United States, shall have engaged in insurrec-

tion or rebellion against the same, or given aid

or comfort to the enemies thereof. But Con-

gress may by a vote of two-thirds of each House,

remove such disability.

Section 4

The validity of the public debt of the United

States, authorized by law, including debts in-

curred for payment of pensions and bounties

for services in suppressing insurrection or re-

bellion, shall not be questioned. But neither the

United States nor any State shall assume or pay

any debt or obligation incurred in aid of insur-

rection or rebellion against the United States,

or any claim for the loss or emancipation of any

slave; but all such debts, obligations and claims

shall be held illegal and void.

Section 5

The Congress shall have the power to en-

force, by appropriate legislation, the provisions

of this article.

*Changed by section 1of the 26th amendment.

Note: Article I, section 2, of the Constitution

was modified by section 2of the 14th

amendment.

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Appendix F

AMENDMENT XV

Passed by Congress February 26, 1869. Ratified

February 3, 1870.

Section 1

The right of citizens of the United States to

vote shall not be denied or abridged by the

United States or by any State on account of

race, color, or previous condition of servitude.

Section 2

The Congress shall have the power

to enforce this article by appropriate legisla-

tion.

AMENDMENT XVI

Passed by Congress July 2, 1909. Ratified

February 3, 1913.

The Congress shall have power to

lay and collect taxes on incomes, from whatever

source derived, without apportionment among

the several States, and without regard to any

census or enumeration.

Note: Article I, section 9, of the Constitution

was modified by amendment 16.

AMENDMENT XVII

Passed by Congress May 13, 1912. Ratified

April 8, 1913.

The Senate of the United States shall be

composed of two Senators from each State,

elected by the people thereof, for six years; and

each Senator shall have one vote. The electors

in each State shall have the qualifications req-

uisite for electors of the most numerous branch

of the State legislatures.

When vacancies happen in the representa-

tion of any State in the Senate, the executive

authority of such State shall issue writs of elec-

tion to fill such vacancies: Provided, That the

legislature of any State may empower the ex-

ecutive thereof to make temporary appoint-

ments until the people fill the vacancies by

election as the legislature may direct.

This amendment shall not be so construed

as to affect the election or term of any Senator

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chosen before it becomes valid as part of the

Constitution.

Note: Article I, section 3, of the Constitution

was modified by the 17th amendment.

AMENDMENT XVIII

Passed by Congress December 18, 1917. Ratified

January 16,1919. Repealed by amendment 21.

Section 1

After one year from the ratification of this

article the manufacture, sale, or transportation

of intoxicating liquors within, the importation

thereof into, or the exportation thereof from

the United States and all territory subject to

the jurisdiction thereof for beverage purposes is

hereby prohibited.

Section 2

The Congress and the several States shall

have concurrent power to enforce this article by

appropriate legislation.

Section 3

This article shall be inoperative un-

less it shall have been ratified as an amendment

to the Constitution by the legislatures of the

several States, as provided in the Constitution,

within seven years from the date of the submis-

sion hereof to the States by the Congress.

AMENDMENT XIX

Passed by Congress June 4, 1919. Ratified

August 18, 1920.

The right of citizens of the United States to

vote shall not be denied or abridged by the

United States or by any State on account of sex.

Congress shall have power to enforce this

article by appropriate legislation.

AMENDMENT XX

Passed by Congress March 2, 1932. Ratified

January 23,1933.

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The Constitution of the United States

Section 1

The terms of the President and the Vice

President shall end at noon on the 20th day of

January, and the terms of Senators and Repre-

sentatives at noon on the 3d day of January, of

the years in which such terms would have

ended if this article had not been ratified; and

the terms of their successors shall then begin.

Section 2

The Congress shall assemble at least once

in every year, and such meeting shall begin at

noon on the 3d day of January, unless they shall

by law appoint a different day.

Section 3

If, at the time fixed for the beginning of the

term of the President, the President elect shall

have died, the Vice President elect shall become

President. If a President shall not have been

chosen before the time fIXed for the beginning

of his term, or if the President elect shall have

failed to qualify, then the Vice President elect

shall act as President until a President shall

have qualified; and the Congress may by law

provide for the case wherein neither a Presi-

dent elect nor a Vice President shall have quali-

fied, declaring who shall then act as President,

or the manner in which one who is to act shall

be selected, and such person shall act accord-

ingly until a President or Vice President shall

have qualified.

Section 4

The Congress may by law provide for the

case of the death of any of the persons from

whom the House of Representatives may

choose a President whenever the right of choice

shall have devolved upon them, and for the case

of the death of any of the persons from whom

the Senate may choose a Vice President when-

ever the right of choice shall have devolved

upon them.

Section 5

Sections 1 and 2 shall take effect on

the 15th day of October following the ratifica-

tion of this article.

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Section 6

This article shall be inoperative unless it

shall have been ratified as an amendment to the

Constitution by the legislatures of three-

fourths of the several States within seven years

from the date of its submission.

Note: Article I, section 4, of the Constitution

was modified by section 2of this amendment. In

addition, a portion of the 12th amendment was

superseded by section 3.

AMENDMENT XXI

Passed by Congress February 20,1933. Ratified

December 5,1933.

Section 1

The eighteenth article of amendment to the

Constitution of the United States is hereby re-

pealed.

Section 2

The transportation or importation into any

State, Territory, or Possession of the United

States for delivery or use therein of intoxicating

liquors, in violation of the laws thereof, is

hereby prohibited.

Section 3

This article shall be inoperative unless it

shall have been ratified as an amendment to the

Constitution by conventions in the several

States, as provided in the Constitution, within

seven years from the date of the submission

hereof to the States by the Congress.

AMENDMENT XXII

Passed by Congress March 21, 1947. Ratified

February 27, 1951.

Section 1

No person shall be elected to the office of

the President more than twice, and no person

who has held the office of President, or acted as

President, for more than two years of a term to

which some other person was elected President

shall be elected to the office of President more

than once. But this Article shall not apply to

any person holding the office of President when

this Article was proposed by Congress, and

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Appendix F

shall not prevent any person who may be hold-

ing the office of President, or acting as Presi-

dent, during the term within which this Article

becomes operative from holding the office of

President or acting as President during the re-

mainder of such term.

Section 2

This article shall be inoperative unless it

shall have been ratified as an amendment to the

Constitution by the legislatures of three-

fourths of the several States within seven years

from the date of its submission to the States by

the Congress.

AMENDMENT XXIII

Passed by Congress June 16, 1960. Ratified

March 29,1961.

Section 1

The District constituting the seat of Gov-

ernment of the United States shall appoint in

such manner as Congress may direct:

A number of electors of President and Vice

President equal to the whole number of Sena-

tors and Representatives in Congress to which

the District would be entitled if it were a State,

but in no event more than the least populous

State; they shall be in addition to those ap-

pointed by the States, but they shall be consid-

ered, for the purposes of the election of

President and Vice President, to be electors ap-

pointed by a State; and they shall meet in the

District and perform such duties as provided by

the twelfth article of amendment.

Section 2

The Congress shall have power to

enforce this article by appropriate legislation.

AMENDMENT XXIV

Passed by Congress August 27, 1962. Ratified

January 23, 1964.

Section 1

The right of citizens of the United

States to vote in any primary or other election

for President or Vice President, for electors for

President or Vice President, or for Senator or

Representative in Congress, shall not be denied

F-14

or abridged by the United States or any State by

reason of failure to pay poll tax or other tax.

Section 2

The Congress shall have power to enforce

this article by appropriate legislation.

AMENDMENT XXV

Passed by Congress July 6, 1965. Ratified

February 10,1967.

Section 1

In case of the removal of the President from

office or of his death or resignation, the Vice

President shall become President.

Section 2

Whenever there is a vacancy in the office of

the Vice President, the President shall nomi-

nate a Vice President who shall take office upon

confirmation by a majority vote of both Houses

of Congress.

Section 3

Whenever the President transmits to the

President pro tempore of the Senate and the

Speaker of the House of Representatives his

written declaration that he is unable to dis-

charge the powers and duties of his office, and

until he transmits to them a written declara-

tion to the contrary, such powers and duties

shall be discharged by the Vice President as

Acting President.

Section 4

Whenever the Vice President and a major-

ity of either the principal officers of the execu-

tive departments or of such other body as

Congress may by law provide, transmit to the

President pro tempore of the Senate and the

Speaker of the House of Representatives their

written declaration that the President is unable

to discharge the powers and duties of his office,

the Vice President shall immediately assume

the powers and duties of the office as Acting

President.

Thereafter, when the President

transmits to the President pro tempore of the

Senate and the Speaker of the House of Repre-

sentatives his written declaration that no in-

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The Constitution of the United States

ability exists, he shall resume the powers and

duties of his office unless the Vice President

and a majority of either the principal officers of

the executive department or of such other body

as Congress may by law provide, transmit

within four days to the President pro tempore

of the Senate and the Speaker of the House of

Representatives their written declaration that

the President is unable to discharge the powers

and duties of his office. Thereupon Congress

shall decide the issue, assembling within forty-

eight hours for that purpose if not in session. If

the Congress, within twenty-one days after re-

ceipt of the latter written declaration, or, if

Congress is not in session, within twenty-one

days after Congress is required to assemble, de-

termines by two-thirds vote of both Houses that

the President is unable to discharge the powers

and duties of his office, the Vice President shall

continue to discharge the same as Acting Presi-

dent; otherwise, the President shall resume the

powers and duties of his office.

Note: Article II, section 1, of the Constitution

was affected by the 25th amendment.

AMENDMENT XXVI

Passed by Congress March 23, 1971. Ratified

July 1, 1971.

Section 1

The right of citizens of the United States,

who are eighteen years of age or older, to vote

shall not be denied or abridged by the United

States or by any State on account of age.

Section 2

The Congress shall have power to enforce

this article by appropriate legislation.

Note: Amendment 14, section 2, of the

Constitution was modified by section 1of the

26th amendment.

AMENDMENT XXVII

Originally proposed Sept. 25, 1789. Ratified

May 7, 1992.

No law, varying the compensation for the

services of the Senators and Representatives,

shall take effect, until an election of represent a-

tives shall have intervened.

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