U.S. Army's Ready and Resilient Initiative Evaluation Process Guide

U.S. Army’s Ready and Resilient

Initiative Evaluation Process Guide

DEVELOPING AND EXPANDING INITIATIVES

Approved for public release, distribution unlimited. TA-445-1218

Table of Contents

PART I: INITIATIVE EVALUATION PROCESS IEP: AN INTRODUCTION ..............................................5

PART II: IEP GUIDE: AN OVERVIEW ................................................................................7

WHAT IS THE IEP GUIDE? .................................................................................................... 8

WHO SHOULD USE THE IEP GUIDE? ......................................................................................... 8

WHY SHOULD YOU USE THE IEP GUIDE? .................................................................................... 8

DEVELOPING AND DOCUMENTING YOUR INITIATIVE .......................................................................8

What are the IEP Fundamentals? ................................................................................................. 10

What are the IEP Components? ................................................................................................... 10

What is the Initiative Abstract? .................................................................................................... 12

Using the Initiative Abstract to Lead You Through the Guide ...................................................................... 12

Other Tools to Help You Throughout the Guide ................................................................................... 16

PART III: BEFORE YOU BEGIN: INITIATIVE DEVELOPMENT FUNDAMENTALS ...................................... 17

BRAINSTORMING: DEFINING THE IDEA .....................................................................................18

INTELLIGENCE GATHERING: REVIEWING THE LITERATURE ..................................................................20

NEEDS ASSESSMENT: UNDERSTANDING YOUR TARGET AUDIENCE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

PART IV: STEPBYSTEP INSTRUCTIONS TO DEVELOP AND DOCUMENT YOUR INITIATIVE ......................... 33

SECTION 1. IDENTIFY THE PROBLEM: CURRENT STATE AND DESIRED END STATE ...........................................34

Component 1: Problem Statement ................................................................................................ 34

SECTION 2. FRAME THE PROBLEM: SUMMARY OF FACTS BEARING ON THE PROBLEM .....................................36

Component 2: Factors Contributing to the Problem (Determinants) .............................................................. 36

Component 3: Root Causes ....................................................................................................... 40

SECTION 3. FRAME THE OPERATIONAL ENVIRONMENT ....................................................................46

Component 4: Environmental Scan ............................................................................................... 46

SECTION 4. DEVELOP OPERATIONAL APPROACH ..........................................................................52

Component 5: Courses of Action, Selection Criteria, and Selection ................................................................ 52

Component 6a: Goals and SMART Objectives ..................................................................................... 57

Component 6b: Logic Model ...................................................................................................... 62

SECTION 5. DEVELOP YOUR PLANS ........................................................................................67

Component 7a: Resources ........................................................................................................ 67

Component 7b: Implementation Plan ............................................................................................ 69

Component 7c: Monitoring and Evaluation Plan ................................................................................. 73

SECTION 6. DOCUMENT RESULTS ..........................................................................................79

Component 8: Summary of Implementation ..................................................................................... 79

Component 9: Summary of Results ............................................................................................... 84

Component 10: Communication Plan ............................................................................................ 88

PART V: PULLING IT ALL TOGETHER: COMPLETED INITIATIVE EXAMPLE .......................................... 95

PART VI: INITIATIVE LIFE CYCLE DESCRIPTION AND CONSIDERATIONS ..........................................118

APPENDIX A: IEP SUBMISSION PROCESS AND INSTRUCTIONS ................................................. 120

IEP SUBMISSION PROCESS DIAGRAM .....................................................................................123

SUBMISSION AT THE INSTALLATION/LOCAL LEVEL ........................................................................124

SUBMISSION AT THE ACOM/ASCC/DRU (COMMAND) LEVEL ..............................................................126

SUBMISSION AND REVIEW AT THE HQDA (ARMY) LEVEL FOR CONSIDERATION AS AN ARMY-WIDE INITIATIVE ............128

APPENDIX B: CONTRIBUTORS AND ACKNOWLEDGMENTS ..................................................... 137

GLOSSARY ....................................................................................................139

Initiative Evaluation Process Guide

Developing and Expanding Initiatives

PAR T I

Initiative Evaluation

Process (IEP): An Introduction

The Army’s vision is to defend the United States during times

of war and peace. Soldiers put their lives on the line each day

protecting the U.S. by promoting peace and security across the

globe. To accomplish this vision, Soldiers and their Families

must stay healthy and resilient in the face of uncertainty and

stressful environments. Unfortunately, numerous threats to

health and readiness exist within our force including tobacco

use, behavioral health concerns, injuries, and obesity. Several

programs, policies, and initiatives exist at all levels of influence

within the Army (i.e., unit, installation, Army Command (ACOM),

and Army-wide) to try to combat these problems. While some

initiatives have been effective, unfortunately Soldiers, DA

Civilians, and Families may feel that some of the Army’s

programs, policies, and initiatives are either ineffective or

are unable to provide the data and information necessary to

demonstrate the favorability of their impact.

Many people across the Army are responsible for the mission

to improve the health, readiness, or resilience of the Force in

some way. The problems that we are tasked to address are

often complex. Therefore, the process of identifying the factors

affecting a problem and its root causes, developing and select

ing a solution, and adequately evaluating and documenting

outcomes can be a challenge. As a result, many Army initiatives

are not data driven or evidence-based; and they are unable

to demonstrate outcome effectiveness and impact on their

target population(s). The Initiative Evaluation Process (IEP)

aims to help you, the initiative developer, and your leadership

as decision makers, to complete the necessary planning and

evaluation activities and avoid common pitfalls as you work

through the process.

This process can assist you whether you—

• Have identified a problem but don’t know exactly how to

solve it.

• Have a potentially brilliant and innovative solution to address

one of our emergent health or readiness threats and want to

present this solution to leadership so it can be resourced and

implemented.

• Have developed a program, policy, or initiative that has

worked within your initial target audience and think it might

be worthwhile to expand to larger audiences.

• Have an innovative idea to improve an existing Portfolio pro

gram, without creating a new initiative.

In each of these situations, and others, the IEP will assist you

and your leadership in the important mission of keeping our

Soldiers and their Families strong and resilient by ensuring

the health or readiness initiative you develop is set up to be

effective and of high quality. In summary, the IEP will help you

positively influence the health and readiness of the Total Force.

What is the IEP?

The IEP is an initiative planning, evaluation, and review process

to assist with developing and expanding initiatives that are

effective in improving the health of the Total Army Family.

How does the IEP support the development

and expansion of eective initiatives?

The IEP ensures you transparently document your work so

others can learn from it. In addition, decision makers can make

knowledgeable decisions for your initiative to either imple

ment, provide resources, or replicate it Army-wide. The IEP

combines the identified best practices from the fields of busi

ness, public health, strategic planning, and prevention science

to help new and existing initiatives.

How does the IEP connect to the Command-

er’s Ready and Resilient Council(s)?

The Commander’s Ready and Resilient Council (CR2C), formerly

known as Community Health Promotion Councils (CHPCs),

ensure strategic integration of the public health process

at the tactical and operational level. Chaired by the Senior

Commander, the CR2C includes the Garrison Commander,

Hospital Commander, Brigade Commanders, other Tenant

Unit Commanders, and appropriate subject matter experts

(SMEs) from across the installation. The CR2C process

integrates garrison, medical, and mission efforts in support

of the synchronization of personal readiness and resilience.

A dedicated staff officer/CR2C Facilitator (a.k.a., Community

Ready and Resilient Integrator (CR2I)) facilitates the council.

The councils are in place at nearly every Army installation

worldwide and at each ACOM and Army Service Component

Command (ASCC). The CR2Cs meet at least quarterly and,

sometimes, more frequently.

The CR2Cs do the following tasks:

• Identify goals and objectives to meet requirements

established by Army Health Promotion (AR 600-63), HQDA

OPERATION ORDER - ENDURING PERSONAL READINESS AND

RESILIENCE, DTG: 010421Z Dec 16, and the HPRR Campaign

Plan (Red and Gold Book), and develop an implementation

plan for approval by the Senior Commander.

• Comprehensively and regularly assess and analyze

information to ensure enhanced visibility of personal

readiness.

• Provide feedback on policy implementation issues, current

trends at the installation level, and recommendations for

adjustments to priorities and resourcing.

• Serve as forums to present best practices to be shared across

the community and the Total Army based on effective and

targeted actions.

Your IEP initiative may relate to one or more of the CR2C or

CR2C Working Groups’ implementation plans’ objectives.

Having your IEP initiative tied to your CR2C or a CR2C Working

Group may better ensure its success, sustainability, and/or

regular monitoring and evaluation. Several things you will read

about in this IEP Guide that may connect to the CR2C include,

but are not limited to:

• The installation’s Community Strengths and Themes

Assessment (CSTA).

• Tracking of CR2C and CR2C Working Group initiatives through

the CR2C Impact Tracker.

• Installation Community Resource Guides (CRG).

• For more information about your installation or organization’s

CR2C, contact your CR2C Facilitator/CR2I.

PART II

IEP Guide: An Overview

WHAT IS THE IEP GUIDE? ........................................................................................................... 8

WHO SHOULD USE THE IEP GUIDE? ................................................................................................ 8

WHY SHOULD YOU USE THE IEP GUIDE? ........................................................................................... 8

DEVELOPING AND DOCUMENTING YOUR INITIATIVE ............................................................................... 8

What are the IEP Fundamentals? .......................................................................................................10

What are the IEP Components? ........................................................................................................10

What is the Initiative Abstract? ..........................................................................................................12

Using the Initiative Abstract to lead you through the guide .............................................................................12

Other Tools to help you throughout the guide ..........................................................................................15

What is the IEP Guide?

This how-to guide is an Army-developed tool to help initiative

champions execute the necessary steps to—

1. Develop and implement initiatives that have increased

likelihood of success, which is described in detail in Part

III and Part IV.

2. Revise and/or expand implemented initiatives, which is

described in detail in Part VI.

3. Promote an effective initiative for Army-wide

implementation, which is described in detail in Appendix

A. The IEP Submission Process and Instructions describes

how an initiative owner/proponent submits his/her

initiative for consideration for Army-wide implementation.

You can use the IEP-Initiative Submission to understand

how and where to submit your initiative as well as what

happens to your submitted initiative summary. IEP-

Initiative Submission is important because it lays the

foundation for what happens if you decide to submit your

initiative for consideration for Army-wide implementation.

4. Document your work so decision makers can make

evidence-informed decisions or so others can learn

from what you have done.

Who should use the IEP Guide?

The IEP guide is available to anyone who is interested

in developing, implementing, or expanding an initiative

designed to improve the health, readiness, or resilience of an

Army population or sub-population. This could include:

• CR2C Work Groups targeting behavioral health (e.g.,

increases in drug use rates, unhealthy drinking habits,

etc.) or other Ready and Resilient (R2) problems on their

installations.

• Managers of programs like Army Substance Abuse Program

(ASAP), Sexual Harassment/Assault Response and Prevention

(SHARP), or Suicide Prevention Program (SPP) who are

looking to improve the effectiveness of existing activities by

revising program components.

• Any leader trying to address a health or readiness threat

within his or her command, whether that is at the unit, Army

command, or enterprise level.

Your commander or leadership chain will make the

determination as to whether they require you to use this

guide. Even if your leadership does not require you to use

the IEP Guide, it can help initiative champions produce

evidence-based initiatives. If you plan to submit your initiative

for consideration of being implemented across the Army,

Headquarters, Department of Army (HQDA) requires that you

use the IEP Guide.

Why should you use the IEP Guide?

Do you have a great idea to improve the lives of your commu-

nity? Have you identified a problem and see an area where

the Army can improve? This guide provides you with read

er-friendly instructions on how to document the need in your

community, identify and prioritize potential solutions, create

an evidence-informed initiative, implement and improve that

initiative, and potentially promote your initiative for implemen

tation expansion.

Developing and Documenting Your Initiative

This guide will help you plan, execute, and assess the effec-

tiveness of an initiative and document what you have done

along the way. Part III will walk you through three fundamental

elements when developing an initiative: Brainstorming, Intel

ligence Gathering, and Needs Assessment. Before you begin

developing ANY initiative, it is critical that you understand and

use these fundamentals as they will be used throughout Part IV.

Part IV provides you with step-by-step instructions on how to

develop and document your initiative. This process contains

10 critical components, which are presented in the figure on

Page 9, summarized on pages 10-12, and described within the

Initiative Abstract on page 13. Many components are informed

by the fundamentals in Part III. Part IV of the guide covers each

component in numbered sections to walk you through the

initiative planning steps by giving instructions on how to —

• Use the best possible information and evidence to design

your initiative so it is set up for success from the very

beginning.

• Build evaluation into the planning process so you can

document and share your successes and lessons learned.

• Communicate the foundational elements of your initiative

so decision makers can decide to implement, resource, or

potentially expand or replicate your initiative in the future.

You can complete the various components within the guide

with new or existing initiatives. The foundation of this guide

is a framework based on program design and implementa

tion science. Within this framework, the IEP Guide contains

components that mirror Army Design Methodology. As such,

people familiar with Army Design Methodology or principles

of program development, or both, will find similarities be

tween what they already know and the components within

the guide.

Within this guide, Part III presents a brief description of each

fundamental and Part IV presents each component.

INTELLIGENCE

GATHERING

NEEDS

ASSESSMENT

HEALTHIER FORCE

BETTER INITIATIVES

Problem Statement

IDENTIFY THE PROBLEM:

CURRENT STATE AND

DESIRED END STATE

FRAME THE

OPERATIONAL ENVIRONMENT

FRAME THE PROBLEM:

SUMMARY OF FACTS BEARING

ON THE THE PROBLEM

DEVELOP OPERATIONAL

APPROACH

DEVELOP PLAN

DOCUMENT RESULTS

Factors Contributing

To The Problem

(Determinants)

Root Causes

Environmental Scan

Course Of Action,

Selection Criteria,

and Selection

Goal/Smart Objectives

Logic Model

Monitoring &

Evaluation Plan

Resources

Implementation Plan

Communication Plan

Summary of

Implementation

Summary of Results

What are the IEP Components?

1. Problem Statement

The first step to develop a successful initiative is to define the problem. Then, you should determine whom the prob

lem affects and predict the long-term implications if the problem remains unresolved. You can achieve these tasks

with a very clear and concise problem statement. The IEP Guide can help you create and/or refine your problem

statement.

2. Factors Contributing to the Problem: Determinants

After you create and/or refine your problem statement, you will want to identify the factors that contribute to

the problem (i.e., the determinants of the problem). These determinants may include behavioral factors (e.g.,

inadequate sleep, tobacco use), environmental factors (e.g., lack of access to healthy foods, exposure to harmful

chemicals), and social conditions (e.g., unit operating tempo, marital status) that contribute to the problem. Un

derstanding the determinants will help ensure you know what is influencing the problem so that you can address

the problem correctly. The IEP Guide provides the tools, instructions, and resources you may need to identify the

determinants of the problem that your initiative addresses.

3. Root Causes

In addition to identifying the determinants of your problem, you will need to complete another step to clearly

understand the source of the problem. You will have to identify the root causes of the problems’ determinants.

These root causes include knowledge, attitudes, social support, unit and family norms, and access to healthy

options. These root causes are often the immediate targets of your initiative and are ideally the things you can

change. Once your initiative focuses on the root causes of the problem, you will position your initiative to reach the

short- and intermediate-term outcomes that will help you reach your long-term goal of resolving the problem. The

IEP Guide provides instructions for the process you may use to identify the root causes of your problem.

What are the IEP Fundamentals?

Brainstorming

A good idea often starts with a simple thought, but that

thought needs to be cultivated, nurtured, and developed to ful

ly define the idea. Brainstorming is the process you go through

to begin moving the idea from a simple thought to a well-

planned and developed initiative. The IEP Guide shows what

questions you need to answer to facilitate the brainstorming

process and put your initiative idea on the path to success.

Intelligence Gathering

Intelligence gathering (a.k.a., a literature review) is a tool

that will help you to obtain information to gain situational

awareness about what is going on in your community or

previous accomplishment to try to address similar problems.

You could use the intelligence gathered in this step to inform

your thoughts about your problem and what factors and

root causes impact the problem. Your intelligence gathering

may also yield information that will help you to decide which

activities you will want to implement to produce the results (or

changes in behavior) that you would like to see in the people

using your initiative. Thus, you use your intelligence gathering

efforts as a tool to develop your logic model. Using intelli

gence gathering as a planning tool tells you what other have

done, why it did or did not work, and what the ultimate out

come was. Intelligence gathering can be valuable throughout

the entire planning, evaluation, and communication process

for your initiative; the IEP Guide provides you with details of

how to use intelligence gathering in each section.

Needs Assessment

A needs assessment is a systematic way to understand the

reason your problem exists and possible solutions. A needs

assessment gathers information in a variety of ways that will

help you answer the “What” and “Why” of your problem. This

tool is an additional source that can help you identify the

contributing factors and root causes to help you define and

frame your problem. A needs assessment can help you better

understand what resources are available and lacking when you

are conducting your environmental scan, creating your initia

tive budget and developing your logic model. A needs assess-

ment also helps you define what may be most important to

members of your target audience to ensure what you develop

or implement is relevant to them. The needs assessment will

be an important and useful tool throughout the planning and

execution of your initiative. Using a needs assessment as a

planning tool tells you what resources you have to help you

implement your initiative and what challenges and barriers

your initiative may face.

4. Environmental Scan

A well-planned initiative takes into account the existing resources and current contextual factors that will help or

hinder your success in the environment where you execute your initiative. An environmental scan helps you get the

“lay of the land” to identify the resources and challenges of your environment; the IEP Guide provides you with steps

and tools to complete an environmental scan.

5. Courses of Action (COA) and Selection

Initiatives that aim to solve a problem without considering alternative courses of action will not achieve maximum

success. When planning your initiative, you must methodically consider and evaluate other courses of action and

demonstrate why selecting your initiative is the best possible choice to reach your desired end state (i.e., your goals

and outcomes). The IEP Guide provides criteria to use when assessing your courses of action so you select an initia

tive that considers cost, acceptability, suitability, distinguishability, feasibility, and impact.

6a. Goals and SMART Objectives

The long-term goal of your initiative is to solve the problem you identified in your environment or affecting the

people you’re trying to help. The objectives are the intermediate steps you need to achieve to reach your long-term

goal. It is important that your objectives are Specific, Measurable, Achievable, Realistic/Relevant, and Time-bound

(SMART). You will be better poised to reach your long-term goal(s) when your objectives are built upon the SMART

framework. The IEP Guide demonstrates how to write goals and SMART objectives that will better position your

initiative for success.

6b. Logic Model

A logic model will be essential to visualize how your initiative should work. The determinants and root causes of

your problem, as well as your goals and SMART objectives, should inform the development of your logic model to

highlight the links between what you plan to do and what you expect to happen, based on what you do. The IEP

Guide shows you how to use these components to plan your initiative for success and document the connections

between the following:

• Inputs such as money, personnel, or supplies (what you invest).

• Activities such as training staff and providing educational workshops (what you do).

• Outputs or Measures of Performance (MOPs) such as workshop attendance records and assessments of the

workshops (what you produce).

• Outcomes or Measures of Effectiveness (MOEs) such as changes in knowledge (short-term), behaviors (interme

diate), and overall health, readiness, and resilience outcomes (long-term) you expect as a result of your initiative

(what you achieve).

7a. Resources

Resources are necessary to execute an initiative, whether large or small; and trying to determine what resources

are needed can be a daunting task. Completing a well-planned logic model will help you determine the financial,

personnel, and other resources that you need for your initiative. The IEP Guide shows you how your logic model

helps to identify your needed resources as well as steps to take to ensure your resources list is complete.

7b. Implementation Plan

All well-planned initiatives need a detailed implementation or initiative execution plan. By completing all the

components previously described, you have positioned yourself to develop this plan efficiently. Specifically, the

implementation plan outlines who will do what, when, and at what frequency—it is the road map describing “what

right looks like” for implementing your initiative.

7c. Monitoring and Evaluation Plan

A well-planned initiative is prepared to assess for effectiveness through monitoring and evaluation activities. Your

monitoring and evaluation data collection plan is an extension of your logic model and implementation plan; you

should prepare a monitoring and evaluation data collection plan before you implement your initiative. The IEP

Guide shows you how to capitalize on the work you completed when planning your initiative and preparing for

implementation to produce a high quality monitoring and evaluation data collection plan.

8. Summary of Implementation

Most of us can attest that things do not always go perfectly according to plan—and this will likely be the case with

your initiative. Once you have implemented your initiative, you will need to describe the reality of how you execut

ed it versus what you planned. The description of implementation provides the details of how your initiative was

put into action. The IEP Guide will help ensure you include all the essential elements of what happened to execute

your initiative.

9. Summary of Results

After you execute your initiative using your implementation plan, you will describe what actually occurred and what

you learned. The description of data collection and results provides that summary. The IEP Guide can continue to

contribute to the success of your initiative by demonstrating how to document the methods and results from your

monitoring and evaluation efforts.

10. Communication Plan

The documentation of your results and lessons learned are only valuable if you create a communication plan to

disseminate this information to your stakeholders and leadership. Your communication plan should identify your

audience, describe the information that will be shared, explain the reason for disseminating results and lessons

learned, describe the format in which the information will be communicated, and summarize your timeline. Appro

priate planning for the dissemination of your results and lessons learned ensures that you get the right information

to the right people at the right time.

What is the Initiative Abstract?

The Initiative Abstract provides a 1-2 page summary of your

initiative. The Abstract consists of 10 boxes that cover each

component. By answering the list of questions within the

boxes related to each of the components, you provide an

overview of the necessary information to communicate about

your initiative and its potential for evidence of success. A com

pleted Abstract provides a quick synopsis that you can present

to others to summarize the main details for your initiative.

Using the Initiative Abstract to Lead You

Through the Guide

The Initiative Abstract helps you see where you are in the

process of developing and documenting your initiative. You

will notice that each box within the Abstract contains num

bered components and icons for the components. If you click

on the boxes within the PDF of this document, you will be

taken to each of the respective sections in Part IV that gives

you instructions on how to complete the component.

At the end of the IEP, you will have a well-developed, high quality, evidence-informed initiative that has the best possible

chance of producing the results you are expecting to see in your environment. Completing the components of the IEP

helps you to achieve your desired end state because you dedicated time to thoroughly plan for your initiative’s imple

mentation and evaluation.

8. Summary of Implementation

(Implement Countermeasures)

• What activities did you

implement as part of your initiative?

• Who implemented your initiative?

• When, where, how, and at what

frequency were your initiative’s activities

implemented?

• How many people participated in or were

affected by your initiative?

• What process evaluation data

were collected to assess quality of

implementation and whether things went

as intended? What did those data show?

9. Summary of Results

(Monitor Process and Confirm Results)

• What outcome evaluation data were

collected to determine if the target

objectives were achieved?

• To what extent were the target objectives

achieved? What changes, if any, were

observed?

• To what extent was your initiative

successful or unsuccessful in achieving

your desired end state?

10. Communication Plan

(Standardize and Share)

• What were your lessons learned

as a result of implementing your initiative

that are worth sharing with others?

• What revisions, improvements, and/or

future developments should be made to

your initiative?

• What is your recommendation regarding

whether or not your initiative should

continue being implemented?

• What is the recommendation for whether

or not your initiative should be replicated

or expanded?

• What is the rationale and supporting

evidence for the recommendation

of whether your initiative should be

continued, replicated, or expanded?

• With whom do you plan to communicate

about your initiative and your

recommendations?

IEP Abstract

1. Problem Statement

(Clarify the Problem)

• What is the current state?

• What is the desired end state?

• What evidence/data supports that a gap

exists between the current state and

desired end state?

• What population does the problem affect?

• What will happen if the problem continues?

2. Factors Contributing to the Problem

(Determinants)

• What behavioral, environmental, and

social factors are contributing to the

problem within the target population

you’ve identified?

• What evidence supports the identified

behavioral, environmental, and social

factors as contributing to the problem?

3. Root Causes

(Determine Root Cause)

• What are the root causes (speciﬁc

opportunities for change) of the behavioral,

environmental, and social factors identiﬁed

that contribute to the problem?

• What evidence supports the identified

root causes of the behavioral,

environmental, and social factors that

contribute to the problem?

4. Environmental Scan

(Determine the Current State

and Potential Partners)

• What resources and partners currently

exist in your community or environment

that are addressing this problem, its

determinants, or its root causes?

• What will help address the root causes and

factors that contribute to the problem?

• What strengths (within your community)

and opportunities (outside your community),

exist that will support your initiative?

• What weaknesses (within your

community) and threats (outside your

community) exist that will prevent your

initiative from being successful?

5. Courses of Action

(Develop Countermeasures)

• What course of action have you identified

to impact the root causes and achieve the

desired end state? (your initiative)

• How did you prioritize and select your

initiative over other possible courses of

action?

• What evidence/data supports your

initiative as the best solution to reach the

desired end state?

6. Goals and SMART Objectives

(Set Improvement Target)

• What are your identified goals

(your desired end state) and objectives

related to expected changes in the root

causes and factors contributing to the

problem (short-and mid-term targets)?

• What change(s) will occur, by how much,

and by when?

• How will you measure the change(s)?

7. Implementation, Monitoring,

and Evaluation Plan

(Plan Countermeasures)

• What is the logic and evidence behind

your expected linkages between activities,

outputs, and anticipated outcomes?

• Who will implement your initiative?

• What resources are available and needed

to implement your initiative?

• When, where, how, and at what

frequency will your initiative’s activities be

implemented (i.e., what does “right” look

like for your initiative?)

• How many people are expected to

participate in or be reached by your

initiative?

• What monitoring data will be collected to

let others know what has happened?

• What process evaluation data will

be collected to assess quality of

implementation and whether things have

gone as intended?

• What outcome evaluation data will be

collected to substantiate outcomes and

assess effectiveness?

Identify the Problem

Develop Operational Approach

Frame the Problem

Develop Plan

Document Results

Frame the Operational Environment

Fundamentals

Click each icon to

navigate IEP Guide

Process (Operational Approach) Outcomes (Desired State)

Inputs/

Resources

Activities

Outputs

(MOPs)

Short-term

Outcomes

(MOEs)

Intermediate

Outcomes

(MOEs)

Long-term

Outcomes

(MOEs)

What resources

are available

and needed to

complete the

initiative?

What does the

initiative staff need

to do to bring

about the desired

end state or effect?

What evidence

(e.g., measures of

performance) do

you have that the

activities occurred?

What changes

in learning,

knowledge, and

attitudes (e.g.,

measures of

effectiveness)

need to happen

for the changes in

behavior to occur?

What changes

in behaviors and

practices (e.g.,

measures of

effectiveness) need

to happen for the

intended changes

to occur?

What is the desired

end state that your

initiative wants to

make?

Assumptions and External Factors

What assumptions do you make about your program?

What things might affect your program?

Logic Model

Logic models can provided useful information about your initiative. See page 62 for additional information.

Why Should You Complete the Activities In Parts III and IV?

As you complete the activities within within Parts III and IV,

the guide helps you create an initiative summary that puts

everything in one place for you! You can use your initiative

summary for a variety of purposes including:

1. To clearly inform your leadership, community, or unit

about your initiative and the reasons behind your initia

tive and its activities.

2. To enhance continuity of your initiative should you have a

permanent change of station or change responsibilities.

3. To enable you or someone in your leadership chain to

submit your initiative for consideration for Army-wide

expansion via the SHARP Ready and Resilient Directorate’s

IEP Initiative Submission process.

This guide assists you in summarizing your initiative in two

ways: a 1-2 page abstract and a more detailed narrative initi

ative summary. You can use either or both to communicate

with your leadership depending on their preferences.

How Do You Complete Parts III and IV of the Guide?

You complete Parts III and IV by completing the component

tasks and documenting your work. This guide helps you com

plete each of the components by providing:

1. Instructions on how to complete each component,

2. Tools you can use to collect information needed for each

component, and

3. Examples of completed components.

Are Parts III and IV of the Guide for New or Existing Initia-

tives?

Parts III and IV of the guide are for new and existing initiatives.

New initiatives (initiatives that you have not implemented)

can complete all the components except the Description of

Initiative Implementation and Results and Communication Plan.

Existing initiatives (initiatives that you have implemented)

should complete all the components.

Why Complete Parts III and IV for an Existing Initiative?

You should complete the IEP components to—

• Find areas of improvement for your initiative.

• Provide support that you have created an evidence-based

initiative.

• Document the success of your initiative.

What If I Need Help to Complete One or More of the Com

ponents Listed In This Guide?

Designated representatives at each level are available to help

you complete the components listed in this Guide. Contact

the SHARP Ready and Resilient Directorate (SR2) via email to

identify your representative:

usarmy.pentagon.hqda-dcs-[email protected]

Other Tools to Help You Throughout the Guide

In the section below, you will find detailed descriptions of the elements presented throughout the guide and why they are

important. These descriptions explain how to complete each IEP fundamental in Part III and IEP component in Part IV which

facilitate use of the guide.

Introduction

The IEP “Introduction” is important because it lays the foundation for planning your initiative using the IEP com

ponents outlined in this guide. Use the “Introduction” to familiarize yourself with areas that may be new to you or

refresh your knowledge.

Connections

The “Connections” show the links between the outlined IEP components. Use the “Connections” element to help

ensure that the pieces of your initiative fit together. The “Connections” provide you with insight to strengthen the

linkages between the different components of your IEP submission.

Approach

The “Approach” describes how you can use the needs assessment and the intelligence gathering in different ways

to complete the IEP components. Use the “Approach” to gather information from the most relevant resources for

each component. The “Approach” guides you in the direction of where to begin so that you can create a well-

planned initiative.

How To Do

The “How To Do” describes the steps you can take to complete each IEP component. Use the “How To Do” to guide

you through the process of developing each of the essential components. The “How To Do” serves as your naviga

tion system for each of the components.

Got Questions

The “Got Questions” provides websites or documents that you can use to find additional information on how to

complete a specific component. Access these documents and websites through the provided hyperlinks. The

“Got Questions” resources can provide in-depth answers to questions you may have regarding how to complete a

specific component.

Let Us Help

The “Let Us Help” provides additional data sources collected by others that may support the purpose of your initia

tive and help you complete a component. Access these data sources through the provided hyperlinks. The “Let Us

Help” assists to overcome the major challenge of finding credible data sources to help create evidence-informed

initiatives.

Example

The “Example” provides you with an example of each component for a fictitious initiative at a fictitious installation.

It is an illustration of what the complete component may look like. Use the “Example” as a blueprint of what to

include in a final summary of the component for your initiative. The “Example” clarifies what your summary for

each section needs to include and how a submission should be organized and written.

Summary Template

The “Summary Template” helps you to create a summary of the information that you found for a component. The

written “Summary Template” for a component helps to communicate what you are doing and why you are doing it

for your community, leadership, and unit. Additionally, if your leadership chain would like to submit your initiative

for consideration for Army-wide implementation for expansion, your summaries could provide the necessary

documentation for the SHARP Ready and Resilient Directorate (SR2) IEP Initiative Submission.

PART III

Before You Begin: Initiative

Development Fundamentals

BRAINSTORMING: DEFINING YOUR IDEA ..........................................................................................18

INTELLIGENCE GATHERING: REVIEWING THE LITERATURE .........................................................................20

NEEDS ASSESSMENT: UNDERSTANDING YOUR TARGET AUDIENCE ................................................................26

Every good solution starts out as an idea. Ideas are thoughts

or suggestions to a possible (COA) that you can take. Our

ideas can provide unique solutions to problems or could be

an improvement over the way the Army currently does things.

This section of the IEP requires you to write down your idea on

how to make things better—how to improve readiness and

resilience—for a problem existing at your installation or within

your population of interest (i.e., target population). Successful

communication of your idea to others can help answer the

following questions:

Prerequisite Questions Example Answers

1. What is your idea?

The Army Wellness Center will help Soldiers in the 123rd

Stryker Brigade (BDE) lose weight and prevent injuries when

physically training.

2. What problem does your idea address?

Too many 123rd Stryker BDE Soldiers are obese and too many

injure themselves during physical training.

3. If implemented, whom will your idea help? Soldiers in 123rd Stryker BDE.

4. If implemented, what impact do you think your idea will

have on the affected group?

Soldiers in 123rd Stryker BDE will lose weight and have fewer

injuries from physical training.

5. How will your idea be implemented?

The Army Wellness Center will have classes to help Soldiers

learn new ways to work on losing weight and preventing

injuries.

6. Why do you think your idea is important enough for

execution on your installation?

Our BDE’s readiness would improve for war, which would be a

success for our BDE, our Division, and the Army.

7. Why do you think your idea is important enough for

execution across the entire Army?

This could help other Soldiers in our brigade and at other

posts, if it works and the Command approves.

Brainstorming: Dening the Idea

Back to

IEP Abstract

Brainstorming Questions Template

Answer the questions below to define your idea.

Questions Response

1. What is your idea?

2. What problem does your idea address?

3. If implemented, whom will your idea help?

4. If implemented, what impact do you think your idea will

have on the affected group?

5. How will your idea be implemented?

6. Why do you think your idea is important enough for

execution on your installation

7. Why do you think your idea is important enough for

execution across the entire Army?

Dening the Idea

The last step of Defining the Idea is to summarize your idea for others.

EXAMPLE: SUMMARY OF DEFINING THE IDEA

Ft. Fleetwood’s Defining the Idea

The Army Wellness Center at Ft. Fleetwood could help Soldiers in 123rd Stryker BDE lose weight and prevent injuries when training physically. As

the 123rd Stryker BDE Commander, my Sergeant Major and I have noticed that many of our Soldiers are overweight, injured, and we have seen a

higher percentage failing their Army Physical Fitness Test (APFT) over the last few years and they could benefit from this initiative. Because of the

weight gain and injuries, they cannot pass their Physical Training (PT) test. If more Soldiers in the BDE pass their PT test, they would be fully fit to

fight. Our BDE’s readiness would improve for war, which would be a success for our Division and the Army.

Your Summary

Intelligence gathering allows you to summarize published

evidence (e.g. scientific articles, military documents, policy)

that assist you throughout the entire process of developing

an initiative. Intelligence gathering is similar to a fact-finding

mission; the goal is to collect and share information relevant

to the current situation. Intelligence gathering can help you

identify why a problem exists in your environment, and what

COAs others have used to address a similar problem. This

intelligence can guide you in selecting (COAs) for addressing

the problem in your environment, and deciding how you

should implement your initiative to achieve the desired out

comes. Intelligence gathering should inform the theoretical

foundation for your initiative, and the metrics you will use to

measure your initiative’s impact and success. This section

provides information to help you develop an intelligence

gathering.

What is a theoretical foundation?

A theoretical foundation provides the support and rationale

for your initiative. Intelligence gathering establishes a theoret

ical foundation by helping you understand the issues you are

trying to address in your problem statement, the purpose for

your initiative, and the reason you believe your initiative will

be successful.

The theoretical foundation serves as a roadmap for how your

initiative should work. It helps determine which activities you

can implement to address the root causes of your problem,

and what changes to expect in your environment if your

initiative successfully addresses the problem.

Your theoretical foundation addresses how to affect the

determinants and root causes of your problem, which

are the variables your initiative aims to impact in the

intermediate outcomes found in your logic model.

READ THE LITERATURE With your problem statement in mind,

read intelligence on topics related to your problem or issue.

RECOGNIZE CONCEPTS As you read the intelligence, you

will recognize concepts that directly link the causes of the

problem. These concepts are part of one or more theories of

change that specify how to influence change in populations

that share the same or similar problems identified in your

problem statement.

IDENTIFY THEORIES Use the information found in your intel

ligence gathering to help you develop a definition for each

concept and identify the theories that may best support your

initiative.

For example, the concept of motivation (i.e., for eating

healthy/exercising) is a determinant of injury and obesity

prevention in Soldiers. Several theories of change address the

concept using motivation to affect behavior change.

Intelligence Gathering: Reviewing the Literature

CONNECTIONS

Why is intelligence gathering important?

1. Intelligence gathering informs what others believe are the determi-

nants and root causes of the problem that your initiative aims to

address.

2. Intelligence gathering helps you identify the strengths, weakness-

es, opportunities, and threats in your environment.

3. Intelligence gathering helps you determine whether an approach

to addressing a problem has worked before and with whom or

what setting it did or did not work.

4. Intelligence gathering uses the findings from previous studies to

explain why your initiative is necessary and can help you devel-

op realistic goals for your initiative.

5. Intelligence gathering shows the relationship between your

initiative’s activities and the desired end state.

6. Intelligence gathering establishes reasonable expectations for

success and informs the type of data you can collect to measure

your initiative’s success.

Back to

IEP Abstract

How do you conduct intelligence gathering?

1. SEARCH THE INTERNET

Access intelligence resources (e.g., Google Scholar, Defense Technical Information Center, Substance Use

and Mental Health Services Administration, National Registry of Evidence-Based Programs and Practices)

2. TALK TO A LIBRARIAN

If you cannot find any information on your topic, talk to your installation’s librarian or go online to the Army

Libraries Community page for help.

3. READ YOUR FINDINGS

Include intelligence that identifies the problem in your environment, provides justification for your initia

tive, and supports the relationship between your initiative’s activities and the desired end state.

Conduct Intelligence Gathering

After reading the findings from your intelligence gathering,

synthesize and summarize the intelligence from research

articles, evaluation studies, or systematic reviews. The identi

fied research and evaluation articles must meet the following

criteria:

• Full-text articles are preferred, but reports that describe

how authors collected and analyzed the data may also be

included.

• Dated within the last 10 years.

• Provide evidence to suggest why the problem exists in your

environment.

• Provide evidence to inform realistic goals and expectations

for your initiative.

• Provide evidence for metrics and data collection methods to

evaluate your initiative’s success.

• Provide evidence to support the relationship between your

initiative’s activities and the desired end state.

• Provide evidence that alternative approaches will not be

successful.

Answer the questions in the table below for each article to

complete your review of the intelligence you gathered. Two

article examples are provided in the table.

Questions Example 1 Example 2

1. What is the reference (citation) for

the article/study?

(Author(s) Last Name, Author(s) First

Initial. (Publication Year). Article

Title. Journal/Book Title, Volume

Number (Issue Number), Page

Numbers.

Harman, E., Gutenkunst, D., Frykman, P.,

Nindl, B., Alemany, J., Mello, R., & Sharp.

M. (2008). Effects of two different eight-

week training programs on military

physical performance. Journal of Strength

and Conditioning Research, 22(2), 524-534.

Knapik, J, Rieger, W., Palkoska, F. Camp,

S., & Darakjy, S. (2009). United States

Army Physical Readiness Training:

Rationale and Evaluation of the Physical

Training Doctrine. Journal of Strength

and Conditioning Research, 23(4), 1353-

1362.

2. What is the purpose of the article/

study?

To examine the effects of a weight-based

training program for short-term military

training.

To review the rationale and evaluations

of Physical Readiness Training (PRT),

a U.S. Army physical training program

implemented to improve Soldier

readiness.

3. How did the authors collect the

information for the study?

Experimental comparison between a

weight-based training program and the

Army’s Standardized Physical Training

program.

Review and summarize three field

evaluations that compared PRT to

traditional Army physical training,

and one laboratory investigation that

compared PRT to an aerobic and weight

training program.

4. Who participated in the study? Civilian males between the ages of 18

and 35 years.

The groups of people exposed to each

intervention in the evaluations and the

laboratory investigation varied amongst

different groups from the Army.

5. What outcomes were measured? A series of military relevant tests were com

pleted including a timed obstacle course

with ﬁghting load, varied distance running

timed with varied load, and simulated ca

sualty rescue with ﬁghting load. Additional

tests included the Army Physical Fitness Test,

oxygen uptake, and physical training.

Many outcomes were measured includ

ing physical training, fitness improve-

ment, and injury risk.

6. What were the findings or main

conclusions?

The findings did not support practical

differences between the weight-based

training program and the Army’s Stan

dardized Physical Training program. The

results provided evidence to support the

implementation of the Army’s Standard

ized Physical Training Program.

The findings supported use of PRT in

the Army. Soldiers participating in PRT

had lower injury rates and equal or

higher fitness improvements than those

using traditional Army physical training

programs.

7. How does this article support

your initiative?

The article supports the importance

of Army physical training programs to

strengthen Soldier resiliency and pre

paredness for the battlefield.

The article supports the importance of

physical training programs to reduce

injury risks in the Army.

Intelligence Gathering Template

Answer the questions below to summarize your intelligence gathering.

Questions Source 1 Source 2 Source 3 Source 4

1. What is the reference for the

article/study?

Author(s) Last Name, Author(s) First

Initial. (Publication Year). Article

Title. Journal/Book Title, Volume

Number (Issue Number), Page

Numbers.

2. What is the purpose of the article/

study?

3. How did the authors collect the

information for the study?

4. Who participated in the study?

5. What outcomes were measured?

6. What were the findings or main

conclusions?

7. How does this article support your

initiative?

GOT QUESTIONS?

Where can I find additional information on how to gather intelligence?

Additional resources are available at:

North Carolina A & T State University F.D. Bluford Library

http://libguides.library.ncat.edu/literaturereview

This website explains what intelligence gathering (i.e., literature review) is, its purpose or importance, how to conduct your intelligence

gathering, and how to organize information found through your intelligence gathering in a way that makes the most sense for your initiative.

The Writing Center at the University of Wisconsin-Madison

https://writing.wisc.edu/Handbook/ReviewofLiterature.html

This website teaches you how to write up the information gained during your intelligence gathering (i.e., review of the literature).

Where can I find additional information on Theories of Change?

Additional information on Theories of Change is available at:

The Annie E. Casey Foundation

http://www.aecf.org/resources/theory-of-change/

This manual defines TOC and shows community/initiative advocates how to create their own TOC by showing the relationships between

outcomes, assumptions, strategies, and results.

Where can I find examples of best practices of evidenced-based programs, policies, and initiatives?

Additional information on best practices is at:

U.S. Army Public Health Center (APHC)

https://phc.amedd.army.mil/topics/healthsurv/phape/Pages/The-role-of-Program-Evaluation-in-Evidence-Based-Public-Health.aspx

This website explains the role of program evaluation in public health, describes what is an evidenced-based public health program or initia-

tive, and provides resources to help you identify evidence-based programs, policies, and initiatives.

LET US HELP

Needs some help in finding useful data? Here are some data sources that may help you:

Penn State Clearinghouse for Military and Family Readiness

https://militaryfamilies.psu.edu/

The Clearinghouse for Military and Family Readiness is an applied research center designed to help military communities identify, implement,

evaluate, and improve programs to strengthen military Service members and Families. The Clearinghouse has reviewed available evidence for

more than 1,000 community-based and school-based programs and has rated them as ineﬀective, unclear, promising, or evidence-based. These

include programs speciﬁcally implemented within the military as well as non-military programs that could be implemented in a military setting.

Cochrane Library of Systematic Reviews

http://www.cochrane.org/

The Cochrane Library provides summaries of evidence-based research to guide the development of your initiative.

Agency for Healthcare Review and Quality

https://www.ahrq.gov/

Go to this site to find evidence-based tools and resources including examples of how to write sections of evidence-based reports such as a

description of implementation plan.

National Guideline Clearinghouse

http://www.guideline.gov/

This site provides an accessible mechanism for obtaining objective, detailed information on clinical practice guidelines and quality measures.

Centers for Disease Control and Prevention (CDC)

http://www.cdc.gov/

The CDC website provides data, resources, tools, and disseminated effective evidence-based interventions for a wide range of public health

issues.

American Public Health Association (APHA)

https://apha.org/

The APHA is the professional association for public health researchers and practitioners and provides information on a wide-range of public

health and health related issues.

National Association for City and County Health Officials (NACCHO)

http://www.naccho.org/

NACCHO serves 3,000 local health departments and is the leader in providing cutting-edge, skills-building, professional resources and pro-

grams, seeking health equity, and supporting effective local health practice and systems.

Defense Technical Information Center (DTIC)

https://dtic.mil/

DTIC is the repository for research and engineering information for the United States Department of Defense.

Center for Army Lessons Learned

https://usacac.army.mil/organizations/mccoe/call

The Center for Army Lessons Learned is the Army’s daily focal point for adaptive learning based on lessons and best practices from the Total

Force. The Center also provides timely and relevant knowledge to the warfighter and our unified action partners utilizing integrated systems

and interactive technology to simplify winning in a complex world.

The U.S. Army Public Health Center Public Health Assessment Division

https://phc.amedd.army.mil/organization/hpw/Pages/PublicHealthAssessment.aspx

The Public Health Assessment Division within APHC offers program evaluation services to support the optimal functioning, effectiveness,

impact, and relevance of the Army Public Health Enterprise. The website includes information on evaluation, assessment tools, and links to

program evaluation resources.

Intelligence Gathering

The last step to your intelligence gathering is to put your summary in a narrative form.

NOTE: Intelligence gathering explains how the information provided in the table supports the implementation of your initiative.

The intelligence gathering should be one or two pages. The intelligence gathering must include a reference list.

EXAMPLE: INTELLIGENCE GATHERING

Ft. Fleetwood Intelligence Gathering

Physical fitness can be described as a general state of well-being, as well as the ability to perform certain aspects of sports and occupations (Wil-

liams, Foster, Sharp, & Thomson, 2009). In the Army, physical fitness is associated with Soldier resiliency (i.e., to adjust to adversity) and Soldier

readiness (i.e., to be prepared for any assigned mission). A review of training programs in the military suggested that increased injury rates and

obesity in the Army negatively affect Soldiers’ physical fitness and overall resiliency and readiness (Cooper & Johnson, 2016). Thus, published

intelligence supports the implementation of a health promotion program focused on enhancing the physical fitness and resiliency of the 123rd

Stryker BDE at Ft. Fleetwood.

According to Roberts, Lewis, and Clark (2015) male-dominated workforce environments, like the Army, have a higher risk for injury. These envi-

ronments have been shown to be associated with a greater willingness of men to engage in risk-taking behaviors (Miller, 2008). Injury preven-

tion in the Army is especially important because Soldiers work in high-risk, competitive jobs with an increased likelihood of injury (Davis, 2017).

Furthermore, the lack of adherence to physical training protocols increases the likelihood of Soldier injury. A study conducted by Williams et

al. (2009) indicated that people who do not know how to engage properly in physical fitness activities, relative to people who do know how to

exercise properly, are more likely to injure themselves. This finding supports the need to provide a tailored health promotion program to 123rd

Stryker BDE Soldiers to support injury prevention efforts.

The intelligence identifies several factors that contribute to obesity. For example, Smith (2013) suggests an association between poor eating

habits and obesity. This research indicates that males are less likely than females to consume fresh fruit and vegetables, and more likely than

females to drink soda (Smith, 2013). Collectively, this intelligence is applicable to the Army, where Soldiers may not have direct access to health-

ier food options. Additional research by Jones and Stevens (2010) further suggests that prescribed medications may cause greater weight gain,

decrease energy levels, or diminish motivation to exercise. These factors may also be evident within the Army. The health promotion program

for the 123rd Stryker BDE Soldiers may provide the necessary tools to reduce obesity rates at Ft. Fleetwood.

Evaluations and research that investigated the association between physical fitness, injury risk, and obesity supports the importance of physical

training in the Army. A systematic review by Cooper and Johnson (2016) showed how targeted education initiatives were associated with

lower injury rates and healthier eating habits rather than general informational materials. Currently, there are no promising practices to reduce

work-related physical injury or obesity for military populations in the Clearinghouse for Military Family Readiness. However, programs such as

the LE

AN Program demonstrate that behavioral modification is the strongest predictor of lasting change.

Collectively, these studies support the implementation of a new health promotion program that focuses on enhancing the physical fitness and

resilience of the 123rd Stryker BDE. Physical fitness and training is important for the Army. The benefits associated with physical training (e.g.,

reduced injury risk) would be extraordinarily valuable for 123rd Stryker BDE Soldiers and their Families.

Reference List*

Cooper, N., & Johnson, P. (2016). Systematic review of training programs on military physical performance. Journal of Strength and

Conditioning Research, 25(4), 750-761.

Davis, R. (2017). Factors contributing to higher injury rates for U.S. Army Soldiers. Military Medicine, 62(2), 52-60.

Jones, M. I., & Stevens, J. (2010). Association between prescribed medications and weight gain. American Journal of Epidemiology,

175(5), 1010-1015.

Miller, A. (2008). Systematic review of gender differences in risk-taking. Psychological Review, 11(5), 835-850.

Roberts, L., Lewis, B. A., & Clark, S. (2015). Work environments and new technology foster increases in competition among men.

Occupational and Environmental Medicine, 75(3), 76-85.

Smith, A. (2013). A comparative analysis of obesity and nutrition between males and females. Obesity, 23(1), 275-281.

Williams, T., Foster, L. M., Sharp, K., & Thomson, A. (2009). Risk factors for heightened injury during exercise. Medicine and Science in

Sports and Exercise, 35(9), 1215-1222.

*Note: The reference list is comprised of fictitious citations. The journal names are real, but the referenced authors and article titles were developed only for this example.

A needs assessment is a way to determine the gaps between

the current and desired end state for a specific group. More

over, data collected in your needs assessment can serve as

baseline data for your initiative. It provides information about

how to solve the problem. Additionally, this information helps

with the initiative’s design and implementation. The needs

assessment will help identify what the needs, resources, and

barriers are for your community/installation, which can help

you identify the determinants and root causes of the problem.

This section describes how to complete a needs assessment for

your initiative.

Needs Assessments as Baseline Data

You can use your needs assessment to collect baseline data.

Baseline data describes the conditions that exist in your com

munity before you implement any intervention or initiative.

After you implement your initiative, you can collect data on

the same indicators again using the same data collection tools.

Then, you compare those results to your baseline data to deter

mine if there is any change in your community after you im-

plement your initiative. Baseline data provides your initial data

point for comparison, which is a key component that helps you

determine if your initiative worked.

How can you use baseline data?

You can use baseline data to confirm the existence (and possi

bly the severity) of the problem identified in your community.

Key stakeholders and your leadership can use the baseline

data’s documentation of the problem to justify their support of

your initiative.

You can also use baseline data to help develop realistic goals

and SMART objectives for your logic model. Baseline data

will provide the initial numbers or values for your indicators

that you plan to assess for change after implementing your

initiative. You can use these numbers and information gained

during intelligence gathering to figure out what would be ap

propriate, realistic, and achievable objectives for your initiative.

Lastly, you can use your baseline data to help determine if your

initiative met its short-, intermediate-, and long-term goals. In

other words, by comparing data collected after implementing

your initiative to your baseline data, you can determine if there

are any changes associated with the execution of your initiative.

Thus, you can determine the effectiveness of your initiative.

When should you collect baseline data?

You should collect baseline data before implementing your ini

tiative. Baseline data is valuable because it describes the condi-

tions that existed in your community before you implemented

your initiative. You can collect baseline data as part of your

needs assessment, even if the initiative is already underway.

What type of data can serve as baseline data?

Any data that is relevant to the problem identified in your com

munity can serve as baseline data. As you continue to frame

the problem that you intend to address, you might identify

potential indicators on which you would like to collect baseline

data as you establish the determinants and root causes of your

problem. For example, as part of an initiative that focuses on

preventing injury when exercising, you may want to collect

data on how many times per week the target group exercises.

Additionally, your intelligence gathering (e.g., review of the

literature) might identify other indicators to use as baseline data

points based upon what others have already done.

Where can you get baseline data?

You can collect baseline data as part of your needs assessment.

Ensure that you follow the Army’s human protection protocols if

you collect your own original data. The Army has speciﬁc rules in

place to safeguard the rights of the people from whom you would

be collecting your data. If you would like to learn more about

human protections procedures, please see the Monitoring and

Evaluation Data Collection section.

Needs Assessment: Understanding your Target Audience

CONNECTIONS

Why is a needs assessment important?

A needs assessment is similar to a reconnaissance mission. The purpose

is to gain information about the mission’s environment. A needs assess-

ment is important to understand the problem that you are trying

to solve. Specically, it can help you understand why the problem

exists (i.e., the factors contributing to the problem and the root causes

of those factors). A needs assessment can help determine community

priorities and resources required to reach the desired end state, which

is extremely helpful as you consider courses of action. A needs assess-

ment also helps identify barriers to achieving the desired end state.

To ensure that you understand current conditions affecting the

environment and barriers to achieving the desired end state, your

needs assessment should be no more than 3 years old.

Back to

IEP Abstract

How do I prepare to complete a needs assessment?

1. BRAINSTORM

Brainstorm with a team about the reasons that the problem exists for your population.

2. IDENTIFY EVIDENCE

Determine how you could provide evidence (e.g., Indicators, Metrics, or Measures) showing the problem exists

for your population.

3. LOCATE SOURCES OF EVIDENCE

These can be needs assessments conducted by others (such as the Health of the Force Report) that will work for

your initiative.

4. TARGET KEY FACTORS

Collect new data or compile existing data to determine the current state of the problem.

Use the data to identify the most important factors/areas to address for your initiative.

The table below highlights the benefits of a needs assessment.

For a new initiative For an ongoing initiative

A needs assessment—

• Identifies gaps in resources.

• Gathers data to show what issues need the most attention.

• Provides baseline data for evaluation.

A needs assessment—

• Determines if the initiative meets the identified need.

• Substantiates the need for the initiative by identifying gaps

in resources.

• Reinforces that identified problems or issues are those that

need the most attention.

• Provides baseline data for evaluation.

For a new initiative:

Data sources for a new initiative may include the following:

Established Data Sources New Data Sources*

You or your team may use data collected from—

• Local surveys.

• Department of the Army studies.

• Department of Defense studies.

• Health of the Force Reports.

• Literature on similar populations.

You or your team may collect new data through—

• Surveys.

• Interviews.

• Focus groups.

*Interviews and focus groups are especially important to understand the issue from the perspective of the group of people experiencing it.

If someone has already conducted a needs assessment for

your initiative, you may consider entering previous needs

assessment findings into the table as described below.

For an ongoing initiative:

1. If a needs assessment was completed, enter previous

needs assessment findings into the chart.

2. If a needs assessment was not completed, complete the

steps for a new initiative as outlined above.

The table on Page 31 is a template to organize information

collected during a needs assessment. Follow the directions

below to fill out this table.

Column 1: Enter your identified problem.

Column 2: Enter which group of people that you think this

problem affects.

Column 3: Enter what indicator you can use to measure what is

causing/affecting the problem.

Column 4: Enter the information that you collected (your ﬁndings).

Column 5: Enter the data source used to obtain that information.

Identified

Problem or Need

INPUT from Prob

lem Statement

Among what

population (or

group)

INPUT from Prob

lem Statement

Indicators/

Measures/

Metrics

Findings Data Source(s) **IEP Component this

information informs

Obesity

123rd Stryker

BDE soldiers at Ft.

Fleetwood.

Diet:

Fresh Fruit

Fresh

Vegetables

Water Intake

123rd Stryker BDE

Soldier

Attitude and Knowl

edge about Nutrition

47% of 123rd Stryker BDE Soldiers did not

eat the recommended amount of fruit.*

33% of 123rd Stryker BDE Soldiers did not

eat recommended amount of vegetables.*

33% of 123rd Stryker BDE Soldiers did

not drink daily-recommended amount of

water.*

37% of 123rd Stryker BDE Soldiers reported

not knowing where to get additional infor

mation about healthy food options.

85% of 123rd Stryker BDE Soldiers wished

for additional nutrition education that

would support “strength training and/or

weight loss.”

The Global Assessment Tool

(GAT 2.0)

Unit nutrition survey

Factors contributing to the

problem (behavioral

determinants)

Root causes

Root causes and potential

COA development

Physical Fitness:

Pushup Standards

Sit-up Standards

2 Mile Run Standards

7% of 123rd Stryker BDE Soldiers did not

meet Physical Fitness Standards; this has

been increasing over the past 3 years.

APFT Scores Factors contributing to the

problem

Height and Weight

Measure

9% of 123rd Stryker BDE Soldiers did not

pass height and weight requirement; The

percentage of those who did not meet

requirements also has been increasing over

the past 3 years.

Electronic Medical Health

Records

Factors contributing to the

problem

Injury 123rd Stryker

BDE soldiers at Ft.

Fleetwood.

PT Satisfaction:

123rd Stryker BDE

Soldier

Attitude and Knowl-

edge about PT

75% of 123rd Stryker BDE Soldiers were

dissatisfied with the physical fitness

program.

30% reported not following injury preven-

tion protocol during physical training.

40% of 123rd Stryker BDE Soldiers lacked

motivation.

65% of 123rd Stryker BDE Soldiers report-

ed inadequate knowledge about injury

prevention.

123rd Stryker BDE Satisfac-

tion Survey

Root causes

Injuries:

Re/Current Injuries 25% of males and 19% of females reported

experiencing an injury in the past 12

months. This percentage has slowly been

increasing in the past 4 years.

APHC Injury Prevention

Division

Root causes

NOTES:

*United States Department of Agriculture (USDA) Recommended Daily Intake.

** You are not required to show the connection between data gathered in your needs assessments and evaluation elements in other IEP components. This is an example to facilitate your understanding.

Needs Assessment Template

List the items that fit into the columns below to write a needs assessment.

Identified Problem

or Need

INPUT from Problem

Statement

Among what

population

INPUT from Problem

Statement

Indicators/

Measures/

Metrics

Findings Data Source(s)

GOT QUESTIONS?

Where can I find additional information on how to complete a needs assessment?

University of Kansas (KU) Community Tool Box Conducting Needs Assessment Surveys

https://ctb.ku.edu/en/table-of-contents/assessment/assessing-community-needs-and-resources/conducting-needs-assessment-surveys/

main

National Association of County and City Health Officials (NACCHO)

https://www.naccho.org/programs/public-health-infrastructure/performance-improvement/community-health-assessment/mapp

Needs Assessment

The last step of a needs assessment is to summarize your data

for others.

NOTE: You can provide this summary in either table form, or if

easier, written in narrative (paragraph) form. Examples of each

are below to demonstrate how to organize your information.

Remember to provide data when it is available and to state

how recent the data were collected.

LET US HELP

Need some help with finding useful data for your needs assess-

ment? Here are some data sources that may help:

Assessing the Needs of Soldiers and Their Families at the Garrison

Level

https://www.rand.org/pubs/research_reports/RR2148.html

The original study described a broad landscape of needs such as

quality of life support services provided to help military Families cope

with a variety of challenges. Also, in this report, new analysis of survey

data explore differences at the garrison level and include additional

focus group data.

Community Strengths and Themes Assessments

http://archived.naccho.org/topics/infrastructure/mapp/framework/

phase3ctsa.cfm

This website provides an overview of the four Mobilizing for Action

through Planning and Partnership (MAPP) processes. Dropdown boxes

provide you with survey templates, detailed instructions, feedback

forms, and even PowerPoint presentation templates on community

building.

EXAMPLE: NEEDS ASSESSMENT SUMMARY

Ft. Fleetwood Needs Assessment Summary

Injury and increasing rates of obesity are problems found among 123rd

Stryker BDE Soldiers. Four areas that contribute to these problems are

diet, physical fitness, PT satisfaction, and injury. Comparing the U.S.

Department of Agriculture (USDA) recommended daily intake to the data

collected in the last 30 days from the Global Assessment Tool (GAT 2.0),

resulted in the following for the 123rd Stryker BDE Soldiers:

• 47% did not eat the recommended amount of fruit;

• 33% did not eat the recommended amount of vegetables; and

• 33% did not drink the daily recommended amounts of water.

According to unit nutrition surveys collected within the last year, 37% of

123rd Stryker BDE Soldiers reported not knowing where to get additional

information about healthy food options and 85% of the Soldiers wished

for additional nutrition education that would support “strength training

and/or weight loss.” A review of APFT scores and electronic medical

health records (i.e., Armed Forces Health Longitudinal Technology

Applications (AHLTA)) from 2018 shows 7% of 123rd Stryker BDE Soldiers

did not meet physical fitness standards and 9% did not pass weight

requirements; therefore, a steady increase in percentage of not meeting

these standards has been seen since 2015. Results of the 123rd Stryker

BDE satisfaction survey show that:

• 75% of 123rd Stryker BDE Soldiers were dissatisfied with the physical

fitness program;

• 30% reported non-adherence to injury prevention protocol during

physical training;

• 40% lacked motivation to do physical training;

• and 65% reported inadequate knowledge about injury prevention.

In 2018, information from APHC Injury Prevention Division shows that

25% of 123rd Stryker BDE male Soldiers and 19% of female Soldiers

reported being injured. These findings show that several factors likely

affected the rates of injury and obesity experienced by 123rd Stryker BDE

Soldiers at Ft. Fleetwood. These Soldiers need an initiative that address-

es nutrition, physical fitness, injury prevention tactics, and motivation to

exercise.

Your Summary

PART IV

Step-by-Step Instructions to Develop

and Document Your Initiative

SECTION 1. IDENTIFY THE PROBLEM: CURRENT STATE AND DESIRED END STATE ................................................. 34

Component 1: Problem Statement .....................................................................................................34

SECTION 2. FRAME THE PROBLEM: SUMMARY OF FACTS BEARING ON THE PROBLEM ........................................... 36

Component 2: Factors Contributing to the Problem (Determinants) ...................................................................36

Component 3: Root Causes ............................................................................................................40

SECTION 3. FRAME THE OPERATIONAL ENVIRONMENT .......................................................................... 46

Component 4: Environmental Scan .................................................................................................... 46

SECTION 4. DEVELOP OPERATIONAL APPROACH ................................................................................ 52

Component 5: Courses of Action, Selection Criteria, and Selection .....................................................................52

Component 6a: Goals and SMART Objectives .......................................................................................... 57

Component 6b: Logic Model ........................................................................................................... 62

SECTION 5. DEVELOP YOUR PLANS .............................................................................................. 67

Component 7a: Resources .............................................................................................................67

Component 7b: Implementation Plan .................................................................................................69

Component 7c: Monitoring and Evaluation Plan ......................................................................................73

SECTION 6. DOCUMENT RESULTS ................................................................................................ 79

Component 8: Summary of Implementation ..........................................................................................79

Component 9: Summary of Results ....................................................................................................83

Component 10: Communication Plan .................................................................................................87

The problem statement describes the problem you found in

your community. Your community can be your installation,

within your command or unit at the installation, at the Com

mand level (ACOM, ASCC, or Direct Reporting Unit, (DRU)),

or for the Army as a whole (Headquarters for the Department

of the Army, HQDA). The problem statement is similar to the

“problem frame” in Army Design Methodology (ADM). This

section provides information to help you develop a problem

statement.

Why is a problem statement important?

The problem statement answers the question, “Why does the

initiative you are submitting matter?” It includes a description

of both the current state and the desired end state. It also

identifies the group(s) affected by the problem you are trying

to address. Refer to your problem statement when you are

creating the other components.

How do you write a problem statement?

Use the questions in the table on the next page to develop

your problem statement.

Answer the Questions Below to Write a Problem Statement

Questions Example

1. What is the problem that your

initiative is trying to solve?

1. This initiative creates a Ready and Resilient program to address problems of injury

and overweight/obesity for the 123rd Stryker BDE at Ft. Fleetwood.

2. What is happening (current

state) with the group that your

initiative serves? Use statistics

when possible.

2. In 2017, 25% of male Soldiers and 19% of female Soldiers reported that they

had an injury; this has also been slowly increasing. In 2018, 9% of the 123rd Stryk-

er BDE Soldiers did not pass the height and weight requirements; this has slowly

been increasing over the last few years.

According to the 2016 Health of the Force report, the overall injury incidence

rate for Ft. Fleetwood is 1,514 (per 1,000) and the rate of obesity is 23.3%.

3. What should be happening

(desired state) with the group

that your initiative serves?

3. For our Brigade, past injury rates have been less than 20% for males and 16%

for females; maintaining this or a lower rate of reported injuries should be the

minimum. The average Army injury rate is 1,399 (per 1,000), and the average

Army rate of obesity is 17.3%.

4. What will happen if this problem

continues?

4. If this problem continues, the number of 123rd Stryker BDE Soldiers that the

Medical Evaluation Board determines Not Fit for Duty will increase. The inability to

get Soldiers back to full duty decreases the overall readiness of 123rd Stryker brigade

and may affect BDE and Division readiness (especially if other brigades have similar

problems).

Please note: Information about your identified problem may be available in the problem statement field of the CR2C Impact

Tracker. Your local CR2I will have access to the Impact Tracker and may be able to pull this information for you.

Component 1: Problem Statement

CONNECTIONS

Why is a list of resources important?

It costs to implement any initiative, whether it is the amount of time

spent doing an activity or the supplies needed to fill out a questionnaire.

These resources contribute to making your initiative run successfully.

Understanding the resources needed for your initiative is important for

two reasons: 1) it shows what is needed for the initiative to operate the

way as intended and 2) it helps to understand what may be needed if

the initiative is implemented on a wider scale.

Resources correspond to the “Inputs” section of your logic model. Look

at all the “Activities” you have listed in the Logic model. Make sure you

have the resources to do all the things necessary to make your initiative

a success. Revise your Logic Model “Inputs” if you find that you have

overlooked something.

SECTION 1. IDENTIFY THE PROBLEM: CURRENT STATE AND DESIRED

END STATE

Back to

IEP Abstract

Problem Statement Template

Questions Response

1. What is the problem that your initiative is trying to

solve?

2. What is happening (current state) with the group that

your initiative serves? Use statistics when possible.

3. What should be happening (desired state) with the

group that your initiative serves?

4. What will happen if this problem continues?

Please note: Information about your identified problem may be available in the problem statement field of the CR2C Impact

Tracker. Your local CR2I will have access to the Impact Tracker and may be able to pull this information for you.

Problem Statement

The last step to finish your problem statement component is to summarize your idea for others.

GOT QUESTIONS?

Where can I find additional information

on how to write problem statements?

An additional resource on problem

statements is available at:

CDC: Problem Descriptions

https://www.cdc.gov/healthcommunica-

tion/cdcynergy/ProblemDescription.html

This website provides help tips and

instructions on how to write a problem

statement.

EXAMPLE: PROBLEM STATEMENT

Ft. Fleetwood Problem Statement

This initiative creates a Ready and Resilient program to address problems of injury and obesity for

the 123rd Stryker BDE/1st Division at Ft. Fleetwood. In 2017, within the 123rd Stryker BDE, a quarter

of male Soldiers and almost one-fifth of female Solders reported being injured. Almost 10% of the

123rd Stryker BDE Soldiers did not pass the height and weight requirements; this has been slowly

increasing over the last 3 years. According to the 2016 Health of the Force report, the overall injury

incidence rate for Ft. Fleetwood is 1,514 (per 1,000), and the rate of obesity is 23.3%. The average

Army injury rate is 1,399 (per 1,000) and the average rate of obesity is 17.3%. If this problem contin-

ues at Ft. Fleetwood, and within the 123rd Stryker BDE, and perhaps for the brigade and Division as

a whole, the number of Soldiers determined Not Fit for Duty by the Medical Evaluation Board will

increase. The inability to get Soldiers back to the brigade decreases overall readiness of the brigade

and affects day-to-day mission and operations. Additionally, if an increasing percentage of 123rd

Stryker BDE Soldiers do not meet weight standards, readiness is further negatively affected. Not

meeting weight standards would prevent Soldiers from receiving medical clearance for deployment.

Your Summary

SECTION 2. FRAME THE PROBLEM: SUMMARY OF FACTS BEARING

ON THE PROBLEM

Component 2: Factors Contributing to the Problem (Determinants)

Once you have identified the problem or issue in your com-

munity, the next major step is to frame the problem. Problem

framing involves identifying and understanding those issues

that impede progress towards the desired end state—these

are excellent opportunities for intervention or change. When

planning your initiative, it is important to closely examine the

underlying tensions and the root causes of the problem. This

examination will enhance your efforts to effectively intervene

and solve the problem. This section details the components

and tools used to help frame the problem.

Once the problem is identified within your community, you

need to understand the factors that influence the problem.

Determinants are factors that influence the health problem

or issue within your community/installation. These deter-

minants fit into three categories: social, environmental, or

behavioral influences. For example, lack of exercise outside

of physical fitness training and poor eating habits may con-

tribute to (or are determinants of ) Soldiers’ obesity. These

examples are behavioral determinants of the problem. The

figure below provides some examples of behavioral, envi-

ronmental, and social determinants to give you an idea of

what could be included in each category.

CONNECTIONS

Why are factors contributing to the problem (determinants) important?

Understanding the determinants of the issue you described in the problem statement helps you decide how to address the problem and where

to focus your efforts to help solve the problem. The determinants relate to the intermediate outcomes and goals that you are able to affect

and change. Intermediate goals and outcomes may change in 2 or 3 years, if your initiative is successful. You should identify these intended

intermediate changes in the outcomes section of your logic model.

Example Social Determinants

of Problems

Example Environmental Determinants Example Behavioral Determinants

• Income disparities

• Educational disparities

• Racial/ethnic disparities

• Gender disparities

• Unit or family (group) norms and

influences

• Family status or structure (divorced,

widowed, single parent, etc.)

• Rank/status

• Lack of accessible care (hours, time,

location)

• Lack of healthy food options

• Lack of transportation

• Lack of a safe environment

• Lack of social network or social

support

• Poor air quality

• Exposure to toxic substances

• Tobacco use

• Sedentary behavior

• Poor nutrition

• Unsafe sexual behavior

• Drug or alcohol misuse or abuse

• Failure to wear seatbelts/helmets/

etc.

• Hand washing

• Medication adherence/compliance

• Cancer screening

This section provides information to help you develop a determinants analysis and summarize the determinants of your

problem.

Back to

IEP Abstract

How can you approach determinants analysis?

Intelligence Gathering

Reviewing intelligence is one way to complete

your determinants analysis. By reading articles on

your topics, you will learn what experts in the field think

are contributors or causes to the problem you are trying to

solve. When gathering intelligence for your determinants, you

should use key search terms related to your problem (e.g., for

an injury prevention initiative, these terms may be “environ

mental causes of injury” and “behavioral causes of workplace

injury or trauma”).

Needs Assessment

You may use your needs assessment to help identify

the determinants of your problem. By gathering data

on the members of your community and their needs, you can

uncover some of the broad underlying causes of the problem

you are trying to solve. For example, if you think that injury

is an issue in your community, you may look at existing

data to find the company or battalion that has the highest

incidence of unintentional injury (e.g., 123rd BDE). You may

also conduct a survey to collect new data about injury to ﬁnd

out what are the community members’ behaviors related to

injury (e.g., 30% of 123rd BDE Soldiers reported not following

injury prevention protocol).

GOT QUESTIONS?

Where can I find additional information on how to find determinants?

Additional resources on root causes are available at:

CDC: Social Determinants of Health (SODH)

https://www.cdc.gov/socialdeterminants/

CDC’s social determinants of health website provides resources for SDOH data, tools for action, programs, and policy. People in public health,

community organizations, and health care systems can assess SDOH to identify determinants improve community well-being.

RAND: Social Determinants

https://www.rand.org/topics/social-determinants-of-health.html

RAND research on the social determinants of health includes the effects of parks and green space on neighborhood physical activity and health

outcomes, “food deserts,” school meals, and more.

How do you identify the factors contributing to your problem (your determinants)?

1. BRAINSTORM

Think of the reasons your problem exists or factors that you think affect your problem.

2. CATEGORIZE

Place the responses into one of the following three categories:

1. Social.

2. Environment.

3. Individual characteristics and behaviors.

LET US HELP

Need some help with finding useful data on determinants that may affect your community? Here are some data sources that

may help you:

Armed Forces Health Surveillance Branch (AFHSB)

http://afhsc.mil/

AFHSB is the central epidemiologic resource for the U.S. Armed Forces. They conduct medical surveillance to protect those who serve our

nation in uniform and the allies who are critical to our national security interests. It provides relevant, timely, actionable, and comprehensive

health information to promote, maintain, and enhance the health of military and military-associated populations.

Survey of Health-Related Behaviors

https://www.health.mil/Military-Health-Topics/Access-Cost-Quality-and-Safety/Health-Care-Program-Evaluation/

Survey-of-Health-Related-Behaviors

This website provides information on a wide range of health behaviors in the military. The study assessed the prevalence of drug, alcohol, and

tobacco use, and assessed progress toward meeting Healthy People objectives.

Healthy People 2020: Social Determinants

https://www.healthypeople.gov/2020/topics-objectives/topic/social-determinants-of-health

The Social Determinants of Health topic area within Healthy People 2020 identifies ways to create social and physical environments that pro-

mote good health for all.

Below is an example of a Determinants Chart that includes factors identified through other components and tools of the IEP.

Label the connection between the determinant and other components to facilitate ease of reading and understanding.

Example

Social Environment Behaviors

Predominately Male Workforce (IG)

High risk job environment (IG)

Transportation Challenges (BS)

Limited Healthy Food Options (BS)

Soldiers’ do not follow injury preven-

tion protocol (NA)

Soldiers’ Poor Eating Habits (BS) (IG)

(NA)

Notes:

*IG= factor comes from Intelligence Gathering

*NA= factor comes from the Needs Assessment

*BS= factor comes from Brainstorming

Factors Contributing to the Problem: Determinants Template

List the items that fit into the columns below to write a Root Cause/Social Determinants Analysis.

Social Environment Behaviors

Notes:

*NA = factor comes from the Needs Assessment

*IG = factor comes from Intelligence Gathering

*BS = factor comes from Brainstorming

Determinants

The last step to creating the determinants of the problem is to write a short summary of your findings.

NOTE: Consider differences in population, environment, resources, etc, if you expand this initiative to another installation or

across another command.

Your Summary

EXAMPLE: DETERMINANTS SUMMARY

Ft. Fleetwood Determinants Summary

There are likely several underlying causes for the higher levels of injury and obesity at Ft. Fleetwood and what we are seeing within 123rd

Stryker BDE Soldiers. The 123rd Stryker BDE Commander instructed the BDE Behavioral Health Officer to conduct a determinants analysis that

was supported by the intelligence gathering and needs assessment on high injury rates and obesity rates.

There are two social determinants for injuries in the Army: male-dominated workforce and high-risk jobs. According to the intelligence,

male-dominated workforce environments, like the Army, usually have higher risk for injury (Roberts, Lewis, & Clark, 2015). The intelligence

further associated higher injury rates in the Army with Soldiers working in high-risk jobs (Davis, 2017).

There are two environmental determinants that community members brainstormed: transportation challenges and limited healthy food

options. Transportation challenges are the lack of transportation among Junior Enlisted Soldiers that limits their ability to reach healthier food

options since they are located further away from the installation (e.g., such as the local farmers market or full-service supermarket). Limited

healthy food options on or near the installation may cause Soldiers to choose to eat unhealthier food because of convenience and could

contribute to higher obesity rates.

There are two behavioral determinants: lack of adherence to injury prevention protocol and poor eating habits for injury and obesity rates at Ft.

Fleetwood. The needs assessment indicated that some Soldiers do not follow injury prevention protocol, which may contribute to the uninten-

tional injury rate. The second behavioral determinant identified in the needs assessment and brainstorming indicated that poor eating habits

might lead to higher obesity rates among Soldiers. This finding is further supported by intelligence that suggests an association between poor

eating habits and obesity (Smith, 2013).

If you understand all or most of the reasons a problem exists

in your community, then you are better able to create an

initiative that will effectively solve that problem. Problems

typically have many factors influencing them, but only some

are true root causes. For example, earlier we identified poor

eating habits as a determinant of Soldier obesity on your

installation; however, the root causes of poor eating habits

may be lack of knowledge of how to select healthy food, lack

of time to prepare healthy food, or no access to healthy food.

This information will help you identify specific opportunities

to make changes that are likely to have an influence on your

problem. This section will help you determine and write the

root cause analysis.

How can you approach root causes analysis?

Intelligence Gathering

One way to complete your root cause analysis is to

look at the intelligence. By reading articles on your

topics, you will learn what experts in the field believe are

contributors or causes to the problem you are trying to solve.

(e.g., if you were doing a search for root causes for an obesity

problem, you may use search terms such as “root causes of

obesity” or “obesity in the military/Army”). Additionally, review

articles and systematic reviews summarize most of the current

information about a particular subject. Include the words

“systematic review” or “review” to your key word search to find

these articles (e.g. “systematic review of obesity in military” or

“systematic review of injury in military”).

Needs Assessment

A needs assessment is a critical tool used to identify

and understand the root causes of problems within

your target audience because they help to uncover why prob

lems exist and what members of the target audience need. By

gathering data on the members of your community, you can

uncover some of the causes of the problem you are trying to

solve. For example, you may determine that lack of transporta

tion is a determinant, so you may create a survey to learn how

many people on the installation do not have cars. Alternatively,

you may request existing data from company-level command

ers about 4-day weekend car inspections to find out the per-

centage of Soldiers that have cars. Another source of existing

data that may help you understand the lack of transportation is

to map bus routes using online mapping tools (GPS). Then, you

can count the number of transfers and the time it would take

for a Soldier to go to local grocery stores, farmers markets, and

other healthy food options on and off the installation.

How do you determine the root causes of a problem?

1. GATHER

Bring a group of people affected by the prob

lem together and tell them you are trying to

understand the cause of the problem within

the community.

2. PRESENT

Start the session by giving the problem

statement to your audience. By presenting

the problem statement, you will orient your

participants to the problem that you are trying

to address with your initiative.

3. ASK

To get to the root cause (and the determi

nants), you will ask the participants to explain

the reasons they think the problem exists.

4. RECORD

Write each participant’s response.

Followup with the question “why” until you

think that you cannot further explain the

problem.

Component 3: Root Causes

CONNECTIONS

Why is identifying root causes of a problem important?

Root causes influence the problem and its determinants. Oftentimes,

root causes are the underlying cause of the problem and may be not

immediately visible. By creating an initiative that focuses on the superfi-

cial issue, instead of the underlying cause of the problem, you can waste

time, effort, and resources. Understanding the root causes will help you

set-up some of the short-term outcomes (i.e., things that you wish to see

change as a direct result of your initiative), that will help you reach your

desired end state. You should identify these intended short-term chang-

es in the outcomes section of your logic model.

Back to

IEP Abstract

PARTICIPANT: I think Soldiers in the 123rd injure themselves

more because they don’t follow injury protocol.

PARTICIPANT: I think Soldiers in the 123rd injure themselves

more because they don’t follow injury protocol.

Because when I’ve seen them exercise, they aren't using the

correct form.

Because when I’ve seen them exercise, they aren't using the

correct form.

Really, I think that it stems from them not knowing it. I don't

think they know the proper protocol.

Really, I think that it stems from them not knowing it. I don't

think they know the proper protocol.

Because they said the training was boring. Because they said the training was boring.

OK! Why do you believe that?

Hmmm. Why don't they use proper exercise form?Hmmm. Why don't they use proper exercise form?

Why didn't they learn the proper injury prevention protocol?Why didn't they learn the proper injury prevention protocol?

FACILITATOR: Today we are going to discuss unintentional

injuries among Soldiers. In 2016, 123rd BDE had the highest

annual unintentional injury rate on the installation. Accord-

ing to the 2016 Health of the Force report, the overall injury

rate for Ft. Fleetwood is 1,514 (per 1,000) compared to the

average Army injury rate which is 1,399 (per 1,000). Why do

you think Soldiers are experiencing higher rates of injury in

the 123rd BDE?

Example of Root Causes Write-up

Note: For the benefit of space, we only provide a brief example here. In completing your root cause write-up, you will want to

provide a more extensive list.

Determinant: Do not follow injury prevention protocol

Root Cause

Lack of knowledge of injury prevention protocol

Root Causes Write-up Template

Determinant:

Root Cause

Determinant:

Root Cause

Determinant:

Root Cause

Determinant:

Root Cause

Determinant:

Root Cause

You can use a fishbone diagram as a tool to help you organize

the potential root causes recorded in your root cause analysis

session.

When creating a fishbone diagram it will be easier to “work

backwards” as demonstrated in the instructions below.

1. To start creating your fishbone diagram, write the identi

fied problem (i.e., your problem statement) at the “mouth”

of the fishbone diagram located on the right of the page

in our example..

2. Next, identify key determinants of the problem specified

above as branches coming from the “body” of your “fish”

in the fishbone diagram. Remember that these can be

social, environmental, or behavioral.

3. Now, explore the root causes of these contributing factors.

As you brainstorm what is ultimately leading to the social,

environmental, and behavioral determinants of your prob

lem, you may find the following frameworks to be helpful:

a. DOTmLPF-P (i.e., Doctrine, Organization, Training,

materiel, Leadership, Personnel, Facilities, and Policy).

A root cause can fall into one or more of these cate

gories. For example, Soldiers may not have access to

the Dining Facilities Administration Center (DFAC) after

2000 hours; therefore, they may choose to eat un

healthier foods from the vending machines. The lack

of access to healthier foods after DFAC closing hours

may be a facility issue (lack of places to buy healthier

foods) and a policy issue (policy that sets the DFAC

hours of operation).

b. PMESII (i.e., political, military, economic, social,

infrastructure, and information). For example, lack

of access to public transportation might be an

infrastructure-related root cause of transportation

challenges.

4. As you ask why the problem exists, write each potential

root cause as a causal factor branching from the appropri

ate category in the fishbone diagram. You do not have to

write out the complete reason. A simple phrase will suffice

because this is a tool to help you categorize reasons. If the

cause applies to more than one category, you can write it

in multiple places on the fishbone diagram.

5. As you continue to ask why the problem and its determi

nants occur, you may identify potential sub-causes. Write

these sub-causes on the fishbone diagram as branches of

the larger cause to which they are related.

PLEASE NOTE: You will likely be unable to address every

identified root cause of your problem and its determinants;

but, this is an important exercise to help identify potential

courses of action to solve the problem. See the example of

a fishbone diagram provided.

Social

Environment

Injury and

Obesity of Soldiers

in 123rd BDE

Recruitment Gender Roles

Lack of Access to

Public Transportation

Lack of Access to

Privately Owned Vehicle

Gender Roles

Healthy Food Costs DFAC Hours

Lack of Knowledge

Behavioral

Predominately-Male Workforce

High-Risk Job Environment

Transportation Challenges

Limited Healthy Food Options

Do not follow injury prevention protocol

Poor Eating Habits

GOT QUESTIONS?

Where can I find additional information on how to find root causes?

Additional resources on root causes are available at:

Washington State Department Root Cause Analysis

https://des.wa.gov/services/risk-management/about-risk-management/enterprise-risk-management/root-cause-analysis

Provides in-depth coverage of how to conduct root causes analyses as well as additional resources on the topic.

KU Community Tool Box Analyzing Root Causes of Problems

https://ctb.ku.edu/en/table-of-contents/analyze/analyze-community-problems-and-solutions/root-causes/main

This website provides instructions on how to conduct a root cause analysis as well as the uses of them.

Minnesota Department of Health Fishbone Diagram

http://www.health.state.mn.us/divs/opi/qi/toolbox/fishbone.html

This website provides additional information on how to conduct a fishbone analysis, including a step-by-step

diagram of the process and links to examples of fishbone diagrams.

LET US HELP

Do you need help finding useful data or information on root causes of problems and their determinants?

Here is a data source that may help you:

Assessing the Needs of Soldiers and Their Families at Garrison Level

https://www.rand.org/content/dam/rand/pubs/research_reports/RR2100/RR2148/RAND_RR2148.pdf

This report provides information on the results of a garrison-level analysis of survey data from the RAND Arroyo Center’s 2014 formal needs

assessment survey of active component Soldiers and an exploration of help-seeking via focus groups.

Root Causes

The last step to creating a root cause analysis is to write a short summary of your findings.

EXAMPLE: ROOT CAUSES SUMMARY

Ft. Fleetwood Root Causes Summary

The initiative cadre (i.e., 123rd Stryker BDE Commander, BDE Sergeant Major, 1st Division Commander, Brigade Surgeon, Executive Officer, BDE

Chaplain, BDE Behavioral Health Officer, BDE S-3, and BDE S-1) conducted a root cause analysis by brainstorming with five key community

members. These members include two Soldiers from 123rd Stryker BDE, the Fort Fleetwood CR2I, a dietitian, and a physical therapist from the

Military Treatment Facility (MTF). In addition to brainstorming, the initiative team used the needs assessment and intelligence gathering as

their approach tools for the root cause analysis. The determinant analysis uncovered two social, two environmental, and two behavioral causes

of injury and obesity among Soldiers in 123rd Stryker BDE at Ft. Fleetwood.

The social determinants were a predominately-male workforce and high-risk job environment. During the root cause analysis, community

members stated that recruitment strategies were a contributing factor for the unequal sex ratio in the Army. Additionally, community members

stated that traditional gender roles encourage more males to join the Army than females. The members also stated that “Big Army” had been

attempting to affect these two factors, and changes were happening slowly. The second determinant was a high-risk job environment. During

the root cause analysis, community members stated that traditional gender roles, which reward males for taking risk, are a root cause for the

high-risk job environment.

“I think that a part of being a Soldier is being placed in a male-dominated environment. And male-dominated groups reward you for bravery. So many

Soldiers will be more likely to take risk. It’s not cool to ride with a bicycle helmet; I mean it is required though.”

Therefore, an environment with more males may be conducive to promote and reward risk-taking, which increases injury occurrence. The

intelligence further suggests that men are more likely than women to engage in high-risk behaviors and men are willing to take larger risks

when engaging in risk-taking behaviors (Miller, 2008).

The environmental determinants were lack of transportation and limited healthy food options. The initiative team conducted a root cause

analysis using the “5 whys” to ask community members why these environmental determinants may be contributors to higher injury and

obesity rates. The community members stated that reasons for problems with transportation were due to the lack of public transportation on

the installation taking Soldiers to off-installation restaurants having healthier food options. Some Soldiers (particularly Junior Enlisted) did not

own cars that they could use to drive off base to restaurants and grocery stores selling healthier food options. Soldiers from 123rd Stryker BDE

pointed out that, even though there is a commissary on the installation, its hours of operation did not fit their schedule. Due to the location of

the Junior Enlisted housing, they also stated that it is too far to walk to the commissary and carry groceries back.

“They say you can walk to the commissary, but there aren’t any sidewalks, so are we supposed to walk in the street? It’s a 45 minute walk from my place to the

commissary, would you want to carry groceries 45 minutes just to eat, would you eat eggs, milk, or chicken that you carried in 80-90 degree weather for 45 minutes?”

“I could call for an Uber or a Lyft to get to the commissary but that’s just another expense which leads to less money for food. People feel good when they buy

a Winter Fest ticket for us, but nobody is trying or willing to create a carpool for young Soldiers without cars.”

In addition, community members stated, during the root cause analysis, that potential causes of limited food options include: dining facility

policies that limit eating hours and limited disposable income available to buy healthier foods off the installation. Moreover, Junior Enlisted

Your Summary

Soldiers felt that others who referred them to the commissary, the Dining Facilities Administration Center (DFAC), or told them “to hitch a ride

with someone” often dismissed their concerns about transportation and food options.

“Man, when we get done with training and everything else, policy is that we can’t wear PT gear in the DFAC, so we have to go back, shower, and change

clothes. By the time we get done, the DFAC is closed. Sometimes it’s just easier to get something out of the vending machine.”

Because of their low salaries, Junior Enlisted Soldiers were overrepresented in this category. All community members agreed that Junior Enlist-

ed Soldiers are often younger and from lower income backgrounds than other Soldiers.

“I don’t know why people think it is so easy to buy a new car; they keep saying we have all this money. I send half of my check home to help my mother

and younger brother. I think that people just don’t understand or want to hear about the issues of Junior Enlisted.”

“The closest car dealership is on the Commander’s Blacklist. So it would be a drive to even get to another car dealership. Plus, I am only 20, my friends

told me how dealerships like to take advantage of younger Soldiers because of credit scores and shorter credit history.”

The two behavioral determinants were lack of adherence to injury prevention protocol and poor eating habits. During the brainstorming activity, the

team identiﬁed the Soldiers’ lack of knowledge of injury prevention while exercising as the root cause of them not following injury prevention protocol.

“Is there a protocol? All I know is that I need to get 75 sit-ups done in a minute to beat [name withheld]. [LAUGHTER]”

“What is meant by a proper sit-up? Drill Sarge just told me to do as many as I can.”

The intelligence indicated that people who do not know how to properly engage in physical fitness activities, relative to people who do know

how to properly exercise (e.g., good running form, good weight lifting form, and proper stretching techniques), are more likely to injure them-

selves (Williams, Foster, Sharp, & Thomson, 2009).

The second behavioral determinant was poor eating habits. Community members stated during the brainstorming analysis that gender may

be a root cause to poor eating habits. The intelligence suggests that males consume fewer fresh fruit and vegetables and more sodas, than

females (Smith, 2013). The combination of the ratio of male to female Soldiers in the Army and male-eating patterns may be reasons why we

observe higher obesity rates in 123rd Stryker BDE Soldiers. In addition, community members stated during the root cause analysis that 123rd

Stryker BDE Soldiers with poor eating habits may have less knowledge of healthy eating habits and are unaware of healthier food options.

“We go to the DFAC and they have labeled things, but I don’t get why some things are green and some things are red. Why is the Cajun rice [labeled] ‘red’

but the Chinese fried rice [labeled] ‘yellow’? Aren’t they both fried rice? Wouldn’t the Chinese fried rice be worse, I mean it says ‘fried’ in the label and I

know that fried foods are worse for you. I don’t get the labels so I don’t follow them. I just eat what I know is healthier.”

Lastly, community members stated that many Soldiers might purchase and consume caloric dense foods (e.g., candy, potato chips, and sodas)

because they are easier to access and cost less money than healthier food options.

“There are healthy options on the installation, but they cost more money than the unhealthy one. A raw sweet potato is a dollar, an extra-large fry [sic] is a

dollar. If I was a Soldier and I had the choice, I would buy the French fries too. They are cooked already, ready to eat, and cost the same amount of money.”

Once you have successfully framed the problem or issue

in your community, the next major step is to frame the

operational environment. When planning your initiative

it is important to understand the history, culture, current

state, and relationships of relevant actors and resources in

the environment where your initiative will occur. Framing

the operational environment involves defining, analyzing,

and synthesizing the characteristics of the environment

where your initiative will occur. This section details the

components and tools used to help frame the operational

environment.

An environmental scan collects information on community

resources and challenges to help determine COAs that the

community may take to solve a problem they are experienc

ing. An environmental scan is similar to initial intelligence

preparation on the battlefield. The goal is to understand the

operational environment. This section describes how to

complete an environmental scan for your initiative.

How do you approach Environmental Scans?

Intelligence Gathering

By gathering intelligence, you may learn about

strengths, weaknesses, opportunities, and threats

(SWOT) that experts in the field have identified about your

population; this may help you create a better initiative. Key

words that you may use in your intelligence gathering include

SWOT Analysis, strategic management, and environmental

scan.

Needs Assessment

The data gathered in needs assessments can provide

a strong background of the resources and challenges

that are internal or external to your community, based on the

perspective of members in your population. During the needs

assessments you may ask, “What resources are available?”,

“What resources do you need?”, “What barriers exist on the in

stallation?”, and “What barriers exist outside of the installation?”

How do you collect information for an environmental

scan?

You can collect information for an environmental scan in

many ways, such as reviewing scientific articles, holding focus

groups with community leaders, and reviewing survey data

for your community through the Community Strengths and

Themes Assessment (CSTA) that is conducted every 2 years by

the CR2I or CR2C. If you are a member of the installation, you

can contact your CR2I to coordinate the results.

Other examples of information sources include:

• Installation Safety Manager.

• Commands.

• CR2C.

• Installation Community Resource Guides (you can use

these for a comprehensive list of existing programs and

services by subject and category for each installation).

Please remember, factors outside of the Army may affect your

initiative when collecting information for the environmental

scan. For example, if your initiative aims to affect physical train

ing among Active Duty Soldiers, your environmental scan may

include information about off-post gyms and parks that Sol

diers may use. Environmental scans also let you know which

programs, initiatives, or events already exist to address the

problem within your population. This will allow you to reduce

redundancy and inefficiency and identify potential partners.

SWOT Analysis

One common type of environmental scan is SWOT Analysis.

What is a SWOT analysis?

A SWOT analysis is an activity that examines the resources

and risks that are inside and outside of your community or

organization (e.g., your unit). These resources and risks affect

the way you implement and the possible outcomes of your

initiative. The four parts of a SWOT analysis are:

Component 4: Environmental Scan

CONNECTIONS

Why is an environmental scan important?

Environmental scans are important because changes in and around your

community can affect your initiative and the problem your initiative

is trying to solve. This review is similar to reframing the operational

environment or running estimates in the ADM. Environmental scans can

identify—

• Resources that exist in the community that could affect the problem.

• Unmet needs or resource gaps that contribute to the problem.

The resources identified in the environmental scan may serve as Inputs

in your logic model. Conduct an environmental scan at least once every

3 years.

SECTION 3. FRAME THE OPERATIONAL ENVIRONMENT

Back to

IEP Abstract

Strengths. Strengths are resources within your

community that can help you reach the desired end

state. This step is similar to “reviewing available

assets” in the Military Decisionmaking Process

(MDMP). Use the strengths you find to increase the

success of your initiative.

Weaknesses. Weaknesses are risks within your

community that limit your ability to reach the desired

end state. You must address the weaknesses found to

increase the success of your initiative. This step is

similar to “identifying resource shortfalls” in the MDMP.

Opportunities. Opportunities are resources outside

of your community that can help you reach the

desired end state. Take advantage of opportunities

as they become available.

Threats. Threats are risks outside of your communi-

ty that could hinder your initiative’s success. Try to

address or be aware of threats when possible. This is

similar to “determining constraints” in the MDMP.

How do you complete an SWOT analysis?

A person can complete an SWOT analysis on their own, but it

is better to do an SWOT analysis with a group. Similar to the

ADM, the group should include people who have knowledge

about the—

• Problem you are trying to solve,

• People that the problem affects, and

• Environment that affects the problem.

The SWOT analysis can occur in one or multiple sessions. The

SWOT Analysis Activity Guide below provides the steps re

quired to complete the analysis using a group process. When

conducting your SWOT analysis, it can be helpful to consider

how the domains of DOTmLPF-P can influence your initiative.

The following are examples to consider:

• What installation-level, Command-level, or Army-level doc

trine may be a strength, weakness, opportunity, or threat as

it relates to the success of your initiative?

• Are there any facility resources on the installation that can

support your initiative?

• Are there any facility issues on the installation that may

serve as a barrier to your initiative?

• Are there any facility resources and barriers oﬀ the installation?

Using these DOTmLPF-P domains can be useful in understand

ing your initiative’s operational environment.

GOT QUESTIONS?

Where can I find additional information on how to do a SWOT

analysis?

CDC Public Health Professional Gateway: Do a SWOT Analysis

https://www.cdc.gov/phcommunities/resourcekit/evaluate/

swot_analysis.html

This page describes the application of a SWOT Analysis for evaluating

the environment in which a Community of Practice (CoP) functions, as

well as resources and needs, that add to the picture creating the goals

that members of the CoP would like to achieve.

LET US HELP

Needs some help in finding useful data? Here are some data sources that may help you:

Community Resource Guides

https://crg.amedd.army.mil/Pages/default.aspx

These Community Resource Guides list programs and services available to members of U.S. military commu-

nities including military Service members, their Families, DOD Civilian personnel, and retirees.

Community Strengths and Themes Assessment (CSTA)

http://archived.naccho.org/topics/infrastructure/mapp/framework/phase3ctsa.cfm

This page provides information about and resources for the third phases of Mobilizing for Action through

Planning and Partnerships (MAPP) to include: The Four MAPP Assessments and the issues they address, with

general resources for data collection and analysis.

Choose a leader

Someone who has good

listening skills and who can

keep discussions moving and

on track by promoting

collaboration and dialogue.

Brainstorm

Give the groups 20-30

minutes to brainstorm and ll

out their own SWOT Chart

about your initiative.

Encourage them to include all

ideas at this stage. Remind

the breakout groups that in

the beginning, it is good to

have lots of ideas.

Once each person has a list of

ideas for each part of the

SWOT analysis, select the best

ideas from the group. It is

okay to combine ideas.

Gather

Bring everyone together into

the larger group.

Use a ip chart or a large white

board to record the ideas

brought up during the larger

group discussion.

Present/Discuss

Have each breakout group

present their ideas for the

SWOT analysis in the S-W-O-T

order, presenting strengths

rst, weaknesses second, etc.

Discuss the results.

Relate the analysis to your

vision, mission, and goals.

Translate the analysis to action

plans and strategies.

Write a narrative summary of

your SWOT analysis to use in

planning and implementation.

Make Introductions

Introduce the SWOT method

and its purpose. Let members

of your group introduce

themselves.

Break into groups

Some people may not

participate in larger groups.

So, if you have a large group,

divide into smaller breakout

groups that range from 3 to 10

people.

Each group chooses someone

to record the discussion.

Provide each person with an

SWOT Chart, paper, and pens

or markers.

Environmental Scan: SWOT Analysis Activity Guide

The table below provides example questions, data sources, and responses to an SWOT analysis. You can complete this table on

your own or using the group process described in the SWOT Analysis Activity Guide. You should answer the questions below to

complete your SWOT analysis. You may need to ask additional questions in each section to fit your initiative.

Questions Example Data Sources Example Responses

1. What resources do you have in your

community to support your initiative?

• Working groups with co-workers

• CR2C

• Strong installation support for injury

prevention

• Holland MTF at Ft. Fleetwood

• On-post fitness centers/AWC

• 123rd Stryker BDE Staff and

Leadership

• Strength and Conditioning trainers

2. What is happening in your

community that may prevent your

initiative from being successful?

• Working groups with co-workers

• Medical record reviews

• Installation Strategic Plan

• PM Department Budget Review

• Division Commander’s Campaign

Plan

• Focus groups with Soldiers

• DFAC hours

• Medication

• Fast food restaurants on installation

• No budget for initiative

• Personnel shortage

• Junior Soldiers (E-4 and below) have

transportation challenges

3. What resources are outside of your

community that could support your

initiative?

• Memorandum of Agreement (MOA)

• Memorandum of Understanding

(MOU)

• Local health coalition

• Newspapers and magazines

• Television

• Social media apps

• New technology (fitness trackers and

nutrition apps)

• More partnerships such as military

discounts with gyms and meal prepa

ration services

• Increased popularity and availability

of Invictus Games, Tough Mudder, and

Spartan Games locally

4. What is happening outside your

community that will prevent your

initiative from being successful?

• Focus groups with 123rd Stryker

BDE Soldiers

• DOD Policy Review

• Review of Fleetwood County Cham

ber of Commerce meeting notes

• Policies reduce 123rd Stryker BDE

Soldiers motivation to participate in PT

once they receive their Veterans Affairs

ratings

• More fast food choices surrounding

installation

• Food deserts, more corner stores than

grocery stores

Please Note: Sources of information used to complete the environmental scan may vary for your installation and/or initiative.

EXAMPLE: SWOT Analysis Questions, Data Sources, and Reponses

Environmental Scan: SWOT Analysis Template

You can complete this table on your own or use the group process described in the SWOT Analysis Activity Guide. You should

answer the questions below to complete your SWOT Analysis. You may need to ask additional questions in each section to fit

your initiative.

Questions Data Sources Responses

1. What resources do you have in your

community to support your initiative?

2. What is happening in your

community that may prevent your

initiative from being successful?

3. What resources are outside of your

community that could support your

initiative?

4. What is happening outside your

community that will prevent your

initiative from being successful?

Please Note: Sources of information used to complete the environmental scan may vary for your initiative.

Internal Characteristics External Elements

Strengths Weaknesses Opportunities Threats

Strong Installation support

(L)

Holland MTF at Ft.

Fleetwood (F)

Post fitness centers

Army Wellness Center(F)

123rd Stryker BDE and 1st

Division Medical staff and

Leadership

DFAC Hours (Po)

No budget

Personnel shortage (P)

Junior Soldiers (E-4 and

below) have transportation

challenges

Medications

New technology (fitness

trackers and nutrition apps)

(m)

Increase partnerships

Increased popularity and

availability of Invictus

Games, Tough Mudder, and

Spartan Games

Policies reduce 123rd Stryker

BDE Soldiers motivation to

report injury (Po)

Lack of healthy food choices

on and off installation outside

of DFAC hours

Food deserts, more corner

stores than grocery stores (F)

Please note: Not all factors will fall into DOTmLPF-P. However, it can be a useful tool to help you understand the resources

and barriers in your environment. You are not required to categorize your factors into DOTmLPF-P. This is just an example to

help you understand the link in the process.

Environmental Scan: SWOT Chart Template

Strengths Weaknesses Opportunities Threats

Environmental Scan: SWOT Analysis Chart

The last step is to complete a SWOT Analysis Chart.

NOTE: You can provide this summary in either table form, or if easier, written in

narrative (paragraph) form. Examples of each are provided to demonstrate how to

organize your information. Remember to provide data, when it is available, and to

state how recent the data were collected. Also, consider differences in population,

environment, resources, etc., if you expand this initiative to another installation or

across another command.

Your Summary

EXAMPLE: ENVIRONMENTAL

SCAN SUMMARY

Ft. Fleetwood Environmental Scan

The initiative team conducted an analysis to

identify the initiative’s strengths, weakness,

opportunities, and threats (SWOT). Strengths

that will help this initiative are strong installation

support, the Holland MTF at Ft. Fleetwood, the

on-post fitness centers and Army Wellness Center,

and 123rd Stryker BDE and 1st Division Medical

Staff and Leadership. Weaknesses that may hinder

the success of this initiative are DFAC hours, lack

of budget, and personnel shortage. Additionally,

Soldiers may be taking medications that cause

weight gain, decrease their energy level, or dimin-

ish their motivation to exercise (Jones & Stevens,

2010). Opportunities outside the organization

that may positively support the initiative include

new technology (e.g., fitness trackers and nutri-

tion apps), increased partnerships, and increased

popularity and availability of Invictus Games,

Tough Mudder, and Spartan Games that foster

fitness competition (Roberts, Lewis, & Clark, 2015).

Lastly, threats outside the community that may

negatively affect the initiative include policies that

reduce Soldiers’ motivation to report injury, lack

of healthy food choices on and off the installation,

food deserts (having more corner stores than

grocery stores in the community surrounding

the installation), and Junior Enlisted Soldiers with

transportation challenges that prevent them from

accessing healthier food options.

Component 5: Courses of Action, Selection Criteria, and Selection

SECTION 4. DEVELOP OPERATIONAL APPROACH

A COA is a broad potential solution to the problem you are

trying to solve. Courses of action describe the options you

have considered to solve your initiative’s focus problem(s).

Document the alternative COAs and your recommended COA

(or your initiative) as you develop your operational approach.

Additionally, you must provide the rationale for not selecting

the alternative COAs as solutions to your identified problem.

This section describes how to brainstorm different COAs and

how to prioritize them based on specific criteria. Additionally,

this section helps you determine how to select a potential

initiative from your list of prioritized COAs.

How do you approach Courses of Action?

Intelligence Gathering

By reading the intelligence, you will find out what

has been successful and failed in similar situations.

Knowing this information will help you develop and

choose the best course of action. Intelligence gathering will

be particularly important as you consider courses of action

and could give you some ideas you have not thought of

before. You are rarely the first person to try to solving a par

ticular problem and you can learn a lot from what others have

done. Sources of evidence-based strategies, such as CDC and

RAND, can help uncover what works and what does not work.

Use search terms such as “evidence-based interventions” and

“evidence-based programs” while intelligence gathering for

courses of action.

Needs Assessment

Needs assessments help you learn about a commu

nity’s resources as well as the target population’s

needs. Certain COAs may have more potential for

success because of resource availability. Conversely, certain

COAs will have more barriers because of the lack of resources.

Understanding your needs assessment helps you decide the

best COA. A needs assessment might help you identify your

target population’s preferences, which will help you develop a

course of action that meets their needs. For example, a needs

assessment could show that the preferences of your target

population are to participate in trainings for no more than 1

hour at a time and in the morning; as you think about reason

able and feasible courses of action, this information may help

you develop an initiative that is set up for success.

How do you develop Courses of Action?

1. BRAINSTORM

Prioritize the root causes you have identified

based on the changeability and impact. Brain

storm with others in your community to help

you develop or identify COAs.

2. IDENTIFY POTENTIAL COAs

Use information from sources such as the

needs assessment, intelligence gathering, and

environmental scan to help you develop COAs.

These sources will ensure that your COAs are

evidence-informed.

CONNECTIONS

Why are courses of action important?

By identifying and systematically comparing several COAs to solve

the problem, you increase the chances that your initiative is the best

possible COA to solve the problem. Each COA should connect to the

root causes and determinants of the problem that you have found

and should be informed by your environmental scan. You will develop

many different ideas during your determinant and root cause analysis;

however, some factors are unchangeable. You need to prioritize the

determinants or root causes that are changeable and that refers to so-

cial, environmental, and behavioral factors thhat impact the problem.

Have an open mind when you evaluate your COAs. The best COA may

not be the initiative you started with when you identified the issue in

your problem statement.

An operational approach is a broad general solution to address the identified problem. Think through which activities may result

in the desired end state. Consider what you learned through the process of framing the operational environment, such as key

aspects and constraints, when brainstorming potential activities. In the end, your operational approach must include clearly

described potential actions (courses of action). Each course of action describes the links between tasks, objectives, conditions,

and the desired end state. This section details the components and tools used to help develop the operational approach.

Back to

IEP Abstract

3. ANSWER THE QUESTIONS

What have other people done that did/did not

work? What is available/lacking in your commu

nity that can help/hinder solving the problem?

4. PRIORITIZE YOUR COAs

(See below for help on COA prioritization.)

Select the COAs with high level of impact and

high level of feasibility to lead to short-term

quick wins. Multiple short-term wins will lead

to achievement of long-term outcomes.

Note: These steps are still beneficial even if you have an initia

tive that’s underway, as they will help to ensure your initiative

has taken the best course of action.

How do you select which root causes or determinants you

will address?

To identify which determinants and root causes you wish to

address with your initiative, you need to prioritize which fac

tors are changeable and which factors have the most impact.

You can determine the impact of each factor by examining the

frequency that it appears in your fishbone diagram. Items that

appear more often in your fishbone diagram may potentially

have a greater impact on the problem.

Additionally, you will want to choose root causes and determi

nants that you can change to improve your ability to address

the identified problem. Below you will find a table that helps

you think through and document the level of changeability

and impact of your determinants and root causes.

Prioritization

Changeable: Can you affect the identified determinants

or root causes with the available resources?

High: You can change the determinant or root cause with

relative ease.

E.g., You can change the knowledge level of injury through

an education initiative.

Low: You cannot change the determinant or root cause

with relative ease.

E.g., Individuals in male-dominated fields are more likely

to experience injury; however, it will be relatively difficult

to change the overall gender ratio of the Army in a short

amount of time.

Impact (Frequency): How often does a factor show up

as a root cause or determinant affecting your problem?

High: You observe the underlining cause of a determinant

or root cause in multiple places.

E.g., Lack of knowledge of nutrition affects people’s eating

habits, which leads to obesity. In addition, people’s lack of

knowledge of injury prevention protocol during exercise

affects people’s exercise habits, which leads to injury.

Low: You observe the underlining cause of a determinant

or root cause in only one place.

E.g., Transportation appears to affect issues of obesity, such

as access to gyms, parks, and grocery stores, but transpor

tation does not affect injury.

When considered together, changeability and impact inform

your prioritization of the determinants and root causes you

pick to solve the problem in your community. The chart

below helps you to visualize the intersection of changeability

and impact for your root causes and determinants.

HC/LI HC/HI

Low High

LC/LI LC/HI

Impact

Changeable

Low High

LC = Low Changeability

HC = High Changeability

LI = Low Impact

HI = High Impact

It is best to pick determinants or root causes that have high

changeability and high impact to achieve your quick wins.

However, you may have COAs prioritized as low changeability/

high impact because the change may take time to achieve.

These COAs will be considered your long-term goals and

should be included in your final initiative.

How do you select your COA, after you prioritize the

factors that your initiative will address?

After you have identified determinants and root causes that

meet changeability and impact prioritization, you need to cre

ate COAs that pass the selection criteria. Once you have devel-

oped or identified possible COAs, you must evaluate and select

the best possible COA, which will eventually be your initiative.

Factors that can affect the selection of your COA include, but

are not limited to the time required, the resources required, the

number of people who may benefit, and the likelihood of the

COA to favorably affect the problem you are trying to address.

When evaluating and prioritizing your COAs, you must describe

how your initiative would influence the DOTmLPF-P domains.

At least one of the DOTmLPF-P domains will be the direct tar

get of your initiative, while the other domains will have indirect

impacts. Below is a list of six selection criteria (C1-C6) adapted

from MDMP for you to use when evaluating the COAs:

C1-Cost-What resources are required to reach the desired end

state? How much does it cost to implement the COA versus

an alternative COA? Sometimes the COA will cost too much to

implement.

C2-Acceptability-How does the COA balance cost and risk with

the advantage gained? Does the cost associated with the COA

outweigh the benefits associated with the COA? Sometimes

you have the money and other resources to implement a COA,

but it does not make sense to throw a million-dollar solution at

a ten-dollar problem.

C3-Suitable-Can the COA accomplish the desired end state?

Can the COA cause the desired change? Sometimes people are

so excited about implementing a COA, they never check if that

initiative will full.y address the problem. Though a shovel works

well in the garden, you cannot use it to fix the kitchen sink.

C4-Distinguishable-How do the COAs substantially differ

from each other? Is this COA different from the other COAs?

“Building a wooden bridge” is not an alternative COA to “con

structing a lumber overpass.”

C5-Feasibility-Can the COA be accomplished within the

established time, space, and resource limitations? Can you

implement the COA? Even if you have the money and the

water, you cannot build a 5-acre pond on 2 acres of land.

C6-Impact-What level of impact does the COA have on the

desired end state? Will the COA cause the magnitude of

change that you desire to see? A cup of water will put out a

candle fire, but it will not put out a forest fire.

Quick wins

Major

projects,

longer

timeline

Smaller

projects,

weigh the

value

Challenging to

implement,

little gain

Feasibility

Impact

Prioritize according to level of evidence identified for your

COA, feasibility, and resources. See the example in the dia

gram on the next page.

Note: For the benefit of space, we only provide a brief example here. In your IEP Documentation and Summary, you will want to provide a more extensive list. For each

COA, different aspects of the potential initiative may have pros and cons for a specific criterion. For example, certain aspects for COA 1 maybe a pro for Criterion 5, but

other aspects of COA 1 may be a con for Criterion 5 as well.

Determinant Root Cause COA Pros Cons

Lack of adherence

to injury prevention

protocol

Lack of knowledge

of injury prevention

protocol

Education initiative/

health promotion

training

C1- An educational initiative is not costly to

implement in comparison to the other COAs.

C2-Although some money is required to

complete an educational initiative, the risk for

adverse events is minimal.

C3-Intelligence gathering supports

implementation of the educational initiative

to reduce injury among Soldiers and will

address injury and obesity.

C4-An educational initiative is diﬀerent from

other COAs.

C5-Some resources are available to conduct

the initiative. The initiative will use spaces

that exist on the installation that are not in

current use and will not require additional

staﬀ hires.

C6-The initiative can aﬀect several

Soldiers. Intelligence Gathering shows that

educational initiatives can have an eﬀect

on injury prevention and obesity when

implemented eﬀectively.

C5-One-time purchase of equipment (high

dollar amount).

C6-An educational initiative can be an

effective population intervention, but

observed effects are often small; and it takes

time to observe long-term behavior impacts.

Educational initiative must focus on skill

building, in addition to knowledge attainment,

to successfully change behavior; It must also

be interactive.

Transportation

Problems

Junior enlisted

members without cars.

Lack of public

transportation on the

installation

Implement a

new busing and

transportation program

C4-Transportation initiatives are

distinguishable from educational initiatives

C6-High impact. Transportation will increase

access to healthier foods. Intelligence

gathered shows that at a population level,

every 1% increase in public transit use is

associated with 0.2% decrease in obesity

rates. Public transportation may aﬀect other

issues on the installation. People who are not

injured or obese will beneﬁt having additional

transportation options available on base.

C1-Creating a transportation initiative would

be costly, even if the costs are shared with

local government.

C2-The cost of a transportation initiative

exceeds the cost of the educational initiative

and only address the issue of obesity and not

injury.

C3-A transportation initiative addresses the

issues of obesity but not injury.

C5-Feasibility is low because of costs and the

amount of time it would take to implement.

COA Selection Criteria Example

COA Selection Criteria Template

Determinant Root Cause COA Pros Cons

Courses of Action

The final step of the process is to write a narrative summary of the courses of action that you reviewed.

NOTE: Consider differences in population, environment, resources etc., if you were to expand this initiative to another installa

tion or across another command.

Your Summary

EXAMPLE: COURSES OF ACTION AND SELECTION

DESCRIPTION

Ft. Fleetwood Courses of Action and Selection Description

The initiative team reviewed three possible courses of action (COAs): maintain

the status quo, implement a new busing and transportation program, and

implement a behavioral-based education initiative.

The first COA was to maintain the status quo and do nothing. This is not a

feasible option because Ft. Fleetwood has higher than Army average obesity

and injury rates; 123rd Stryker BDE Soldiers’ reported injuries, and APFT failure

rates were slowly increasing. Moreover, based on the needs assessment, 123rd

Stryker BDE was identified as having the highest rate of injury on the installation.

Maintaining the status quo would affect the Brigade’s and Division’s readiness.

The second COA was to implement a new busing and transportation program

that would address the issues of limited food options surrounding the installa-

tion and lack of transportation among Junior Enlisted Soldiers. This COA would

directly target the policy component of DOTmLPF-P. We found that this policy

change is cost prohibitive, as it would require the installation to buy additional

buses and hire drivers. Additionally, we explored increasing transportation by

communicating with neighboring local governments and found that making

this change would not be possible during the current fiscal year. Moreover,

these transportation options would address the root causes for the issue of

obesity on the installation, but not the issue of preventable injuries (Davis,

2017).

Based on the review of these options, the third, recommended COA is a be-

havioral-based education initiative that has high feasibility and potential for

high impact on injury and obesity. This COA would directly target the training

component of DOTmLPF-P. Although this COA has cons, such as the one-time

cost of equipment and the time it takes to achieve long-term effects, it is the

overall better choice; it meets all other criteria, such as being cost effective when

compared to other COAs and is supported by the intelligence to effectively

reduce injury and obesity (Davis, 2017; Smith, 2013). Therefore, we recommend

the creation of the Reducing Injury and Obesity Together (RIOT) Initiative to

address the problem of higher rates of injury and obesity at Ft. Fleetwood.

Component 6a: Goals and SMART Objectives

Goals describe the focus and the desired long-term effects

of the initiative. Goals are similar to the Commander’s intent.

Objectives outline what must be accomplished in order to

achieve your goals. Objectives are similar to the broad con

cept in the MDMP.

This section describes how to write goals and SMART objec

tives for your initiative.

How do I approach SMART GOALS?

Intelligence Gathering

Reading the results from others will help you set

realistic goals for your initiative that meet the SMART

criteria. The results of your intelligence will show you what has

worked in the past and what may work with your community.

How did previous researchers measure change within partic

ipants (MEASURABLE)? How much change (ACHIEVEABLE)?

How much time did it take for the change to occur (TIME-

BOUND)? This level of change is the “effect size.” When you

read intelligence on your topic, look for the reported “effect

size” or “impact.” If you have multiple articles, you can better

predict the range of change that may occur and set realistic

goals for your initiative.

Needs Assessment

You may use your needs assessment to help identify

the determinants of your problem. By gathering data

on the members of your community and their needs, you can

uncover some of the broad underlying causes of the problem

you are trying to solve. For example, if you think that injury is

an issue in your community, you may look at existing data to

find the company, battalion, or brigade that has the highest

incidence of unintentional injury (e.g., 123rd BDE). You may also

conduct a survey to collect new data about injury to find out

what are the community members’ behaviors are around injury

(e.g., 30% of 123rd BDE Soldiers report not following injury

prevention protocol).

How do you write goals and objectives?

Your goals are the desired end state of your initiative. The

objectives are how you plan to achieve your goals. Using the

SMART criteria is a common way to determine if your goals

and objectives are achievable. The SMART criteria checks if

your objectives are Specific, Measurable, Achievable, Realistic/

relevant, and Time-bound/timely. An explanation of each

component of SMART is below:

Specific:

Does your objective define what activities will be

completed and who will complete them?

Measurable:

Is your objective measurable to have proof that you

have met the objective? Does the objective say

how much change is expected?

CONNECTIONS

Why are goals and objectives important?

Goals and objectives describe the direction you expect your initiative to

go and how you intend to get it there. Goals and objectives are impor-

tant to planning, executing, and evaluating an initiative. Your long-term

goals should address the desired end state that you identify in your

problem statement; your intermediate goals should address issues that

you identified in your determinants; and short-term goals should address

issues identified in your root causes. All of your goals and objectives

should meet the SMART criteria.

How do goals and objectives relate to your initiative logic model?

Some people find it easier to lay out the goals and objectives of what

they are trying to achieve prior to developing a logic model. Others find

it easier to visualize their initiative using a logic model, then develop and

refine their goals and objectives. Either approach is acceptable, as long

as they connect. You may find it helpful to read this section and the log-

ic models section to decide which approach you would prefer. Note that

objectives related to the short-, intermediate-, and long-term outcomes

listed in your logic model are outcome objectives. Objectives related to

the activities and outputs of your initiative are process objectives.

Why are goals and objectives important to evaluation and

considered a key evaluation component?

If you do not know where you are going, you will never know if you

got there. It is critical that any initiative should communicate what it

is trying to achieve, so that all parties have a shared understanding of

what success looks like. In many cases, initiative planners do not specify

their objectives; therefore, when data are collected, no one can agree

on whether results are positive or negative. By setting SMART goals and

objectives, and using data collected through evaluation (described later

in this guide) to see if those goals and objectives are achieved, everyone

can use the same benchmarks and criteria to determine if an initiative

was successful.

Back to

IEP Abstract

Achievable:

Is your objective achievable within a certain time

with the resources that are available?

Realistic/relevant:

Will your objective lead to the desired end state of

the initiative? Does your objective have steps that

can measure outcomes, not just activities?

Time-bound:

Does your objective have a set deadline or comple

tion date?

GOT QUESTIONS?

Where can I find additional information on how to complete

SMART objectives?

CDC Develop SMART objectives

https://www.cdc.gov/phcommunities/resourcekit/evaluate/smart_

objectives.html

This page introduces SMART (Specific, Measurable, Achievable, Real-

istic, Time-Bound) criteria for thinking about activities and objectives

needed to accomplish the established goals of a Community of

Practice (CoP).

Healthy People Target Setting Methods

https://www.healthypeople.gov/sites/default/files/TargetSettingRe-

port-8-6-18%20FINAL.pdf

The Secretary’s Advisory Committee on National Health Promotion

and Disease Prevention Objectives for 2030 is a report that describes

steps to set targets.

NOTE: For the benefit of space, we only provide a brief example here on obesity and not injury. In your IEP Summary, you will want to provide a more extensive list.

Objective Specific Measureable Achievable Realistic Time bound Revision

Ex. Long-Term Outcome

Increase % of 123rd Stryker

BDE Soldiers who have

met desired Army body fat

composition by 50% over

baseline within 2 years after

starting the program.

Yes, objective

identifies 123rd

Stryker BDE Soldiers

as responsible for

meeting body fat

goals.

Yes, you can see

changes in the

number of 123rd

Stryker BDE Soldiers

who meet the

goal by looking at

medical records.

Yes, the resources

needed to teach

classes and follow-up

with 123rd Stryker

BDE Soldiers are

available.

No, the increase in

number of Soldiers

who meet the

body fat goal is an

unrealistic goal in

this short amount of

time.*

Yes, the objective

says that we should

see changes within

2 years after starting

the program.

Final objective:

Increase % of 123rd

Stryker BDE Soldiers

who have met

desired Army body fat

composition by 20%

within 2 years after

starting the program*

BASED ON ISSUES IDENTIFIED IN PROBLEM STATEMENT: SOLDIER OBESITY RATES

*The 50% increase in 123rd Stryker BDE Soldiers who have met desired Army body fat composition was not realistic given the timeline for follow-up. After a discussion between primary care physicians and initiative leaders, we

changed the objective to a 20% change. This level of change is more realistic as it allows Soldiers to transition from Obese to Overweight to Normal Weight at a healthy weight-loss rate.

Ex. Intermediate Outcome

Increase by 15% over baseline

the number of fruit and

vegetables that 123rd Stryker

BDE Soldiers consume in a

2-week period after 1 year

of starting the program, as

measured by the Soldier’s self-

reported eating habits.

Yes, objective

identifies that 123rd

Stryker BDE Soldiers

as responsible for

increase in health

behaviors.

Yes, you can find out

if changes happened

by reviewing self-

reported dietary

records in the GAT

2.0.

Yes, the resources

needed to complete

dietary records are

available for 123rd

Stryker BDE Soldiers.

Yes, a 15% increase in

consumption of fruit

and vegetables is

achievable by 123rd

Stryker BDE Soldiers.

Increase in vegetable

consumption will

lead to the desired

end state..

Yes, the objective

says that we should

see changes in 1

year.

Not necessary.

BASED ON FACTORS CONTRIBUTING TO THE PROBLEM: DETERMINANTS: POOR EATING HABITS

Ex. Short-Term Outcome

Increase dietary and wellness

knowledge by 25% over

baseline for 123rd Stryker BDE

Soldiers in a 10-week program

using the Unit Nutrition

Survey.

Yes, the objective

identifies 123rd

Stryker BDE Soldiers

as responsible for

completing a 10-

week initiative.

Yes, you ﬁnd out

change by comparing

the knowledge of

health and wellness

of 123rd Stryker BDE

Soldiers before and

after the initiative.

Yes, the resources

needed to complete

the initiative are

available.

Yes, 123rd Stryker

BDE Soldiers will be

able to complete the

initiative. Increase in

dietary and wellness

knowledge will lead

to the desired end

state.

Yes, the objective

says that we should

see changes in 10

weeks.

Not necessary.

BASED ON ROOT CAUSES: LACK OF KNOWLEDGE

Ex. Output (Process Objective)

Conduct 123rd Stryker BDE

staff training with at least 10

staff members (80%) by week 4

of the initiative.

Yes, the objective

identifies staff

members as the

intended population.

Yes, you can create

an attendance sheet

to determine how

many staff members

have completed the

training.

Yes, we have

the resources to

complete the

training.

Yes, the objective

allows for staff

members who may

be sick or have

planned leave.

Yes, the staff should

complete initiative

training by week 4 of

the initiative.

Not necessary.

BASED ON SELECTED COA TO ADDRESS ROOT CAUSES.

SMART Criteria Template

Objective Specific Measureable Achievable Realistic Time bound Revision

GOALS AND SMART OBJECTIVES

Ft. Fleetwood Goals and SMART Objectives

NOTE: For the benefit of space, we only provide a brief example here on injury and not obesity.

You will want to provide and explain all of your initiative goals and objectives.

One goal of this initiative is to increase the overall health and fitness of Soldiers in 123rd Stryker

BDE and make sure they are ready and resilient by decreasing the BDE’s increasing injury rates.

Currently, 123rd Stryker BDE’s injury rates are higher than other brigades’ and the Army’s average.

The initiative plans to meet the goal of reducing injury rates by teaching Soldiers injury preven-

tion techniques.

Intelligence Gathering has shown that education initiatives are effective in increasing injury

prevention knowledge by 35% to 80% within 6 months (Williams et al., 2009). Therefore, we esti-

mate that our education initiative will change injury prevention knowledge by 50% based upon

the additional components that we are including in the training (Cooper & Johnson, 2016). As

a result, we believe that an increase in 123rd Stryker BDE Soldiers’ injury prevention knowledge

should be a short-term outcome of this initiative.

Soldiers should be able to use the injury prevention methods they learned in the initiative to

avoid injuring themselves during physical training. Information gained during Intelligence

Gathering shows that, over 12 months, about 15%-35% of the people who were taught injury

prevention protocols actually used the techniques they learned to not injure themselves while

exercising (Cooper & Johnson, 2016). We estimate that 25% of 123rd Stryker BDE Soldiers will

use their newly acquired injury prevention skills. Thus, increasing the percent of 123rd Stryker

BDE Soldiers who follow their injury prevention protocols by 25% is one of our intermediate

objectives.

Soldiers will be able to use the knowledge and skills gained through this initiative to change

their behavior. Intelligence Gathering indicates that, after 2 years, at least half of the participants

still used the injury prevention protocols they learned through the injury prevention education.

Because of continued use of injury prevention techniques, unintentional injuries decreased

between 7%-15% in this group (Cooper & Johnson, 2016). We anticipate that 123rd Stryker BDE

Soldiers will experience at least a 10% decrease in injury rates from physical training, if they

continue to use the injury prevention techniques taught by this education initiative.

SMART Objectives

The last step is to write out your goals and SMART objectives in narrative form.

NOTE: Consider differences in population, environment, resources etc., if you were to expand this initiative to another installa-

tion or across another command.

Component 6b: Logic Model

A logic model is a visual picture of the logical links between

the elements of your initiative and the sequence that follows

“if” (this occurs) “then” (this can occur). A logic model shows

how an initiative should work to reach your desired end state

by demonstrating the relationships between intended activ

ities and anticipated outputs and outcomes. This is similar

to “visual modeling” in ADM. Now that you know how to

develop goals and SMART objectives, you are ready to create

your logic model. As mentioned in the previous section, some

people find it easier to develop their goals and objectives first

and then their logic model. Others find it easier to develop

their logic model and then their goals and objectives. Either

way is acceptable, as long as they connect. While it is best to

create your logic model before you start your initiative, you

can create a logic model for an existing initiative. This section

provides information to help you develop a logic model.

How do you approach Logic Models?

Needs Assessment

Reviewing the data gathered in your needs assess

ment will help you determine the baseline of the

changes you wish to make with your initiative. Understanding

the status of your community will help you determine how

much change you want to achieve and where you expect to

be successful. This information will influence the content of

your short-, intermediate, and long-term objectives listed in

your logic model. Measurements used in the needs assess

ments may serve as measures of performance or effectiveness

depicted in your logic model. For example, in our needs

assessment we used the information found within the unit

nutrition survey to determine the intermediate outcomes and

measure change expected through our initiative. Then, we

entered that information into our logic model.

What is a common type of logic model?

A common type of logic model is an outcomes-based logic

model. The outcomes-based logic model has seven parts.

Similar to the Belt method in MDMP, each part of the logic

model directly leads to the next. All outcomes (i.e., outcome

objectives) in the logic model must meet the SMART criteria.

The following elements in an outcomes-based logic model

are:

Inputs are the resources needed to perform the activities.

These resources would include materials, personnel, and

facilities.

Activities are the processes that the staff will do for the

initiative. These processes would include the organiza

tion, training, leadership, and education of personnel.

Outputs are direct products that come from the activities.

These products are similar to MOPs. They are tangible

products that serve as evidence of an activity.

Short-term Outcomes are desired effects that happen

within a few weeks of completing the initiative. These

effects are similar to short-term MOEs. Your short-term

outcomes connect to the factors identified in your root

cause analysis.

Intermediate Outcomes are desired effects that happen

over months to years. These effects are similar to inter

mediate MOEs. Your intermediate outcomes connect to

the factors identified in the broad buckets of your deter

minants.

CONNECTIONS

Why is a logic model important?

Logic models help you visualize and think through the connections

between your initiative’s inputs, activities, outputs, and outcomes. They

help you to determine if the activities you are doing will help you to

achieve your desired end state (i.e., outcomes).

Additionally, every initiative requires resources; however, these are

limited and are in high demand. A logic model helps you show why you

need certain resources. Each part of a logic model answers an important

question about the “logic” of the initiative. We identify the steps in the

logic model to explain the “why” of each.

Why do we need these Resources?

To achieve these Activities

Why do we need to do these Activities?

To achieve these Outputs (i.e., MOPs)

Why do we need to achieve these Outputs?

To achieve these Outcomes (i.e., MOEs)

Why do we need to address these Outcomes?

To achieve these Goals

Back to

IEP Abstract

6. Long-term Outcomes are desired effects that happen

over years to decades. These effects are similar to long-

term MOEs. Your long-term outcomes connect directly

to the issues you proposed to address in the problem

statement.

Assumptions and External Factors are things that you

assume will happen and that can affect the initiative.

How are logic models different from theories of change?

Logic models are often confused with theory of change. Logic

models describe the ideas and actions that happen at the

program level, while the theory of change describes the ideas

that happen at the Army level.

How do you complete a logic model?

Answer the questions in the table below to complete your

logic model.

Questions

Inputs

1. What resources are available and needed to complete the initiative? This information is likely to come from intelligence gather-

ing, your environmental scan, and planning. Examples of inputs include labor, supplies, equipment, facilities, transportation, etc.

Activities

2. What does the initiative staff/initiative executors need to do to reach the desired end state or effect? This information

helps to describe succinctly what your initiative does. Examples of activities include holding workshops or meeting with key

stakeholders.

Outputs

3. What evidence (e.g., measures of performance) do you have that the activities occurred? Outputs tie directly to process

objectives. Example outputs include number/% of Soldiers trained, % of Soldiers satisfied with training, % of DFACs with

modified hours, etc.

Short-term Outcomes

4. What changes in learning, knowledge, and attitudes (e.g., measures of effectiveness) need to happen for the changes in

behavior to occur? This information relates to your root causes. Examples of short-term outcomes include changes in knowl

edge, skills, attitudes, behaviors, or beliefs.

Intermediate Outcomes

5. What changes in behaviors and practices (e.g., measures of effectiveness) need to happen for the intended changes to oc-

cur? This information relates to the work you did in understanding the factors contributing to the problem (or determinants).

Examples of intermediate outcomes include more consistent changes in beliefs, attitudes, skills, abilities, and behaviors. They

can also include factors such as personnel, facilities, technology, subject matter expertise, partners, etc.

Long-term Outcomes

6. What is the desired end state that your initiative wants to make? This information relates to your problem statement (or

determinants). Examples of long-term outcomes include sustained changes in beliefs, attitudes, skills, abilities, and behaviors.

Assumptions

7. What assumptions (or opinions considered to be true that are not supported by evidence) do you make about your pro-

gram? You may have identified assumptions about your initiative when you brainstormed to define the problem, identified

determinants and root causes, and conducted your SWOT analysis. Examples of assumptions could include items such as

barriers to and factors supporting implementation, people’s motivation to participate in your initiative, and their use of the

initiative.

External Factors

8. What things might affect your program? This information relates to the opportunities and threats of the SWOT you may

have conducted as part of your environmental scan. Examples of external factors include social, legal, economical, and

technological changes as well as the political and economic environment.

Logic Model

The last step is to complete the Logic Model. Use the answers provided in the table on the previous page to fill out your Logic

Model.

NOTE: Consider differences in population, environment, resources etc., if you were to expand this initiative to another installa

tion or across another command.

GOT QUESTIONS?

Where can I find additional information on how to complete a logic model?

Additional resources on logic models are available at:

CDC Logic Models

https://www.cdc.gov/eval/tools/logicmodels/index.html

This page provides logic model resources by different divisions of the CDC, including sample logic models, overviews, guides for developing

and using logic models, and additional resources.

University of Wisconsin-Extension: Program Development and Evaluation Logic Models

https://fyi.uwex.edu/programdevelopment/logic-models/

This website provides templates to help create logic models, published resources about logic models, and training materials to understand

how to use and apply logic models.

Office of Justice Programs: Center for Research Partnerships and Program Evaluation Logic Models

https://www.bja.gov/programs/crppe/logic-models.html

This website explains the purpose for a logic model, defines the different sections within a logic model, and provides resources and examples

to develop logic models.

Process (Operational Approach) Outcomes (Desired State)

Inputs/

Resources

Activities

Outputs

(MOPs)

Short-term Outcomes

(MOEs)

Intermediate Outcomes

(MOEs)

Long-term Outcomes

(MOEs)

Labor

Time

Army Dietician

123rd Stryker BDE Staff

123rd Stryker BDE Soldiers

Public Affairs Officer

Initiative Cadre including

the Initiative Coordinator

Contract

Two Behavioral Health Staff

Two Strength and

Conditioning Trainers

Two Dieticians

Supplies

Educational Materials

Assessment Materials

Food for demonstrations

Equipment

Computers

Injury Prevention Equipment

Portable Cooking Units

Facilities

Army Wellness Center

Morale, Welfare, and

Recreation

Commissary

Fitness Center

Printing

Completion Certificates

Create partnerships with

Army Wellness Center

(AWC), Morale, Welfare,

and Recreation (MWR), &

Dieticians

Train 123rd Stryker BDE staff

Recruit Participants

Conduct Initial and Final

Assessments

Conduct Mind/Body/

Nutrition Class

Celebrate Completion

of Mind/Body/Nutrition

Classes

Meeting Minutes/Notes

Memoranda of Agreement

Completed Soldier Dietary

Records/Diary

Completed Medical Records

Attendance at Mind/Body/

Nutrition Class and Survey

Obesity

Increase awareness of

dietary and wellness

requirements by 25%

Increase in physical fitness

awareness for 123rd Stryker

BDE Soldiers by 25%

Increase motivation of

Soldiers to attend physical

fitness training by 25%

Increase 123rd Stryker BDE

Soldiers, satisfaction with

physical training by 25%

Injury

Increase knowledge of

injury prevention methods

by 50%

Obesity

Increase daily water intake

of 123rd Stryker BDE

Soldiers by 15%

Increase daily fruit intake of

123rd Stryker BDE Soldiers

by 15%

Increase daily fresh

vegetable intake of 123rd

Stryker BDE Soldiers by 15%

Increase 123rd Stryker BDE

Soldiers’ participation in

physical fitness by 15%

Injury

Increase the percent of

123rd Stryker BDE Soldiers

who adhere to injury

prevention protocol by 25%

Obesity

Increase 123rd Stryker BDE

Soldiers who have met

desired Army body fat

composition by 20%

Increase the percent of

123rd Stryker BDE Soldiers

who met APFT fitness

standards by 12%

Decrease chronic conditions

related to obesity of 123rd

Stryker BDE Soldiers by 15%

Injury

Decrease unintentional

injury of 123rd Stryker BDE

Soldiers by 10%

Decrease chronic conditions

related to lack of fitness of

123rd Stryker BDE Soldiers

by 10%

Increase 123rd Stryker BDE

Soldiers’ satisfaction with

physical fitness program

by 10% (due to injury

reduction)

Assumptions and External Factors

Soldiers will want to participate in the initiative. Space will be available for PT and not be scheduled/booked by someone else. Senior Commanders will support and approve the

project. The initiative will be able to secure funding and needed resources for initiative. 123rd Stryker BDE will not be deployed or go on field training exercise during this period. The

AWC will be staffed and operational and have capacity to support this initiative.

Process (Operational Approach) Outcomes (Desired State)

Inputs/

Resources

Activities

Outputs

(MOPs)

Short-term Outcomes

(MOEs)

Intermediate Outcomes

(MOEs)

Long-term Outcomes

(MOEs)

Assumptions and External Factors

Component 7a: Resources

SECTION 5. DEVELOP YOUR PLANS

CONNECTIONS

Why is a list of resources important?

It costs to implement any initiative, whether it is the amount of time

spent doing an activity or the supplies needed to fill out a ques-

tionnaire. These resources contribute to making your initiative run

successfully. Understanding the resources needed for your initiative is

important for two reasons: 1) it shows what is needed for the initiative

to operate as intended and 2) it helps to understand what may be

needed if the initiative is implemented on a wider scale.

Resources correspond to the “Inputs” section of your logic model.

Look at all the “Activities” you have listed in the logic model. Make

sure you have the resources to do all the things necessary to make

your initiative a success. Revise your logic model “Inputs” if you find

that you have overlooked something.

An operational approach is a broad, general solution to addressing the identified problem. Think through which activities may

result in the desired end state. Consider what you learned through the process of framing the operational environment, such as

key aspects and constraints, when brainstorming potential activities. At the end, your operational approach must include clearly

described potential actions (courses of action). Each course of action describes the links between tasks, objectives, conditions,

and the desired end state. This section details the components and tools used to help develop the operational approach.

Once you have developed an operational approach for your

initiative, the next major step you will complete is developing

your initiative plan. Your plan will describe what resources you

need and how you intend to execute, monitor, and evaluate

your initiative. This section details the components and tools

used to help develop your initiative plan.

Resources describe the sources of supplies and support

needed to ensure the success of an initiative. People often

think of resources in terms of money and people; however,

resources include so much more. In addition to money and

people, resources can include space, equipment, materials,

supplies, as well as a host of other things needed to make

your initiative function as intended. This section describes

how to prepare a list of resources needed for your

initiative.

How do you develop a list of resources?

1. MAKE A LIST

List the most obvious things you need to

make your initiative work. You can brain-

storm with others to ensure you capture

all the resources.

2. THINK BROADLY

Include things such as people who deliver

the initiative, the place your initiative

happens, what supplies are needed, what

equipment is used, and anything else that

is used in your initiative.

3. DECIDE

Some things will have a one-time cost,

while others may have an ongoing or

recurring cost. It is important to identify

both one-time and recurring costs in your

resource requirements and budget.

Back to

IEP Abstract

EXAMPLE: BUDGET

Ft. Fleetwood Budget

Resource Requirements

Year 1 Year 2+

Labor including Civilian and Military $75,000 $75,750

Workload (is this something new/what is the time or frequency needed) $0 $0

Travel: (People) Operational, training $0 $0

Contracts: Operational, training (Contract costs or number) $372,000 $375,000

Supplies: One-time, recurring $15,000 $15,000

Equipment: One-time, recurring, maintenance $12,376 $0

Transportation: (Things) Shipping $0 $0

Facility used $0 $0

Printing $1500 $1500

Other?

$0 $0

Total

$475,876 $467,970

Resource Requirements Year 1 Year 2+

Labor including Civilian and Military

Workload (Is this something new?/What is the time or frequency needed?)

Travel: (People) Operational, training

Contracts: Operational, training (Contract costs or number)

Supplies: One-time, recurring

Equipment: One-time, recurring, maintenance

Transportation: (Things) Shipping

Facility used

Printing

Other?

Total

Budget

The last step is to complete the budget. Use the table below to start to identify resources you may need in your budget.

You may identify additional needed resources.

NOTE: Consider differences in population, environment, resources, and so forth, if you were to expand this initiative to

another installation or across another Command.

A description of the Initiative Implementation Plan is a brief

summary of actions you intend to take to implement the ini

tiative. As you describe how you plan to execute the initiative,

you will incorporate information collected during other com

ponents in the IEP process. For instance, the initiative’s Imple-

mentation Plan must include the location of the initiative, who

is responsible, activities (as described in your logic model), the

population the initiative aims to serve (as identified in your

problem statement), and available resources (as identified in

your needs assessment and environmental scan).

You will be able to develop your initiative Implementation

Plan easily by using the information from the earlier compo

nents. The table below describes how various components

of the IEP help you to develop your initiative implementation

plan.

Component 7b: Implementation Plan

CONNECTIONS

Why is having a description of the implementation plan important?

The description of the implementation plan is a written summary that

helps others to understand how you intend to execute the initiative.

You can use it as a record of how you intended to execute the initiative

as compared to how you actually executed the initiative, which you will

document in the Summary of Initiative Implementation. The difference

could suggest areas for process improvement if you repeat the initiative.

You can update your initiative implementation plan with any proposed

improvements prior to executing the initiative again. At this stage, you

may consider contacting your CR2I to have your initiative entered

into the CR2C Impact Tracker. If you have completed all of the com-

ponents of the IEP Summary, you have collected the information

needed for the impact tracker.

IEP Components It helps you:

Problem Statement Focus on the issue that you are trying to address and the population that you intend to

serve

Social Determinants and Root

Causes

Understand what plausible changes can be made in the short and intermediate term

Needs Assessment and

Environmental Scan

Identify the resources for, potential barriers to, and factors that could support the

success of your initiative

Intelligence Gathering and

Theoretical Foundation

Understand what has been successfully done in the past that you may want to incor

porate into your initiative and what has not worked in the past that you want to avoid

Logic Model and Resources Plan what to do, who will do it, and what resources you need to accomplish your plan

This section provides information to help you describe

how you will implement your initiative.

How do you complete a description of the implementa

tion plan?

If you answer the questions on the right to describe the

implementation plan, you will complete your implementation

description.

1. When will you implement the initiative?

2. How will you implement the initiative?

3. What groups of people (i.e., population) will you target to

participate in the initiative?

4. Where will you implement the initiative?

5. Who will be responsible for implementing the initiative?

Back to

IEP Abstract

The table below is an example Description of an Implementation Plan. You should use the same table format to answer the questions on the previous page and outline the

details for your initiative implementation plan.

Projected

Start Date of

Initiative

Activities Populations Physical Location

Who Will Be Responsible

for Coordinating

19 July 2017 Create partnerships with AWC, MWR &

Dieticians

Train 123rd BDE staff

Recruit Participants

Conduct Initial and Final Assessments

Conduct Mind/Body/Nutrition Class

Celebrate Mind/Body/Nutrition Completion

2,000 123rd BDE Soldiers Ft. Fleetwood

AWC

Initiative Cadre

Projected

Start Date of

Initiative

Activities Populations Physical Location

Who Will Be Responsible

for Coordinating

Description of Implementation Plan

The last step of this section is to write the information that you have provided in the chart as a short written summary. An

example is below.

NOTE: Consider differences in population, environment, resources, and so forth, if you were to expand this initiative to another

installation or across another Command.

GOT QUESTIONS?

Where can I find additional information on how to

complete the Description of Implementation?

Description of Implementation Plan: Agency for Health-

care Resources and Quality

https://www.ahrq.gov/research/findings/final-reports/

ptflow/appendix-c.html

This appendix provides an example of an Implementa-

tion Plan, with specified sections, for a hospital planning

to improve patient flow and reduce emergency depart-

ment crowding.

University of North Carolina /North Carolina Institute

for Public Health/Community Health Assessment and

Improvement Toolkit

https://sph.unc.edu/nciph/cha-chip-toolkit/

This toolkit outlines the different phases for Community

Health Assessments (CHA), and provides the tools and

resources needed to complete a CHA and Community

Health Improvement Plan (CHIP) for improving the health

of local communities.

CDC Public Health Communities Resource Kit

https://www.cdc.gov/phcommunities/resourcekit/

This resource kit explains the CDC’s Communities of

Practice (CoPs) Program, and provides templates and

guides for all stages of CoP development, ranging from

planning to evaluation.

EXAMPLE: DESCRIPTION OF

IMPLEMENTATION PLAN

Ft. Fleetwood Description of Implementation Plan

From 19 June 2017 to 16 April 2018, the Initiative Cadre will complete six activities

with the 123rd Stryker BDE Soldiers (n=2,000, 100% Enlisted) at the Ft. Fleetwood

Army Wellness Center (AWC). These activities consist of recruiting participants; con-

ducting initial anthropometric, nutrition, and previous injury assessments of individu-

al Soldiers to serve as baseline data and confirm information of data collected in the

123rd BDE needs assessment; creating a partnership with AWC, MWR, & Dieticians;

training platoon leaders by AWC and Dieticians; conducting 10 Mind/Body/Nutrition

Classes; and celebrating initiative completion.

The aim is for 100% participation of 123rd Stryker BDE Junior Enlisted Soldiers; the

course serves as an intervention for Soldiers who are overweight/obese and/or

injured; it also serves as a preventive program to help Soldiers maintain a healthy

weight and prevent new injuries among 123rd Stryker BDE Soldiers who are currently

uninjured or recovering from injury.

Soldiers will be divided into four groups, with the groups having staggered start

dates for their initiative participation. Each group will consist of 20 teams. Each

team will be comprised of 25 Soldiers. Four teams will complete one session per

day. Each team will attend 10 interactive Mind/Body/Nutrition Classes, completing

one topic per week. The teams will rotate through the classes. As such, 500 Soldiers

will complete each topic each week. The total number of participants will be 2,000

Soldiers over 40 weeks. The topics of focus for each of the Mind/Body/Nutrition

Classes will include:

Mind (60 minutes each)

Conducted in the classroom by Initiative Cadre

Class 1: Motivation to Exercise and Eat Healthier

Class 2: Conquering Fear of Injury

Class 3: Help-Seeking Behaviors

Body (60 minutes each)

Conducted in the fitness center by Initiative Cadre

Class 4: Correct Form for Physical Activity

Class 5: Injury Prevention Techniques

Class 6: Adapting Exercises for Post-injury Workouts

Nutrition (60 minutes each)

Conducted in the DFAC kitchen by Initiative Cadre

Class 7: Balanced Nutrition

Class 8: Nutrition for Strength Training and Muscle Building

Class 9: Nutrition for Weight Loss

Class 10: Adjusting Nutrition to Account for Reduction of Physical Activity Due to Injury

Reducing Injury and Obesity Together (RIOT) Initiative 10-Week Group Schedule Cycle at Ft. Fleetwood

“Time to RIOT”

Monday Tuesday Wednesday Thursday Friday

Morning Sessions

Teams 1 & 2

Afternoon Sessions

Teams 3 & 4

Morning Sessions

Teams 5 & 6

Afternoon Sessions

Teams 7 & 8

Morning Sessions

Teams 9 & 10

Afternoon Sessions

Teams 11 & 12

Morning Sessions

Teams 13 & 14

Afternoon Sessions

Teams 15 & 16

Morning Sessions

Teams 17 & 18

Afternoon Sessions

Teams 19 & 20

Week 1: Orientation and Participant Data Collection Begins

Week 2 – 11: Group 1

Week 12 – 21: Group 2

Week 22 – 31: Group 3

Week 32 – 41: Group 4

Week 42: Participant Data Collection End

Week 43: Celebration

Note: The schedule showing all data collection points is located in a table in the Summary of Implementation Section.

Your Summary

Component 7c: Monitoring and Evaluation Plan

Your data collection plan describes how you plan to collect

information to monitor your initiative, assess whether or not

your initiative was implemented as intended (process evalua

tion), determine if your initiative works (outcome and impact

evaluation), and identify any improvements that can be made.

This description includes details about the initiative’s out

comes, indicators, data collection sources, and data collection

frequency. This section is similar to the Assessment Process of

MDMP. The Monitoring and Evaluation Data Collection plan

links to the Implementation Plan. Think of it as two sides of

the same coin. On one side, you describe what activities you

will implement, how you will implement them, and what their

intended outcomes are; on the other side you describe how

you will assess what you implemented, how you implemented

it, and if you achieved your intended outcomes. This section

provides information to help you develop a Monitoring and

Evaluation Data Collection Plan.

The Monitoring and Evaluation Data Collection Plan should

include descriptions for three types of systematic activities:

monitoring, process evaluation, and outcome evaluation.

Monitoring is a continuous activity conducted to ensure

compliance with initiative requirements, policies, and reg

ulations. It helps to answer questions like “did the activities

occur?” At minimum, initiative monitoring tracks the number

of implemented activities or tasks and the number of partic

ipants who attended. Generally, you maintain and track this

information in a spreadsheet or similar document.

Process evaluation looks more closely at execution than

monitoring to assess implementation quality and is it a pe-

riodic activity instead of a continuous activity. The intent is

to describe, assess, and document how well you implement

a program’s activities by determining how things are being

done and why they are being done that way. You use the col

lected information to determine the extent to which an initia-

tive is being implemented as intended. A process evaluation

should at minimum collect feedback from: 1) participants of

each initiative activity on the quality of and their satisfaction

with what they received and 2) those who implemented the

activities to gather information on whether the activities were

executed as intended and why this was possible or not. Pro

cess evaluation can help you identify which initiative changes

or improvements your initiative needs to meet the needs of

participants, be executed as planned, and achieve intended

outcomes. Excluding process evaluation from your plan can

limit or eliminate your understanding of how initiative imple

mentation affects outcomes.

Outcome Evaluation aims to determine and document if

initiatives are achieving their stated goals, objectives, and

outcomes. It also can help identify linkages between interven-

tion activities and measured effects. You conduct an outcome

evaluation after program implementation. If the information

that you collect indicates that part or all of your initiative is

not successful, it is helpful to look at the results of the process

evaluation to see whether the initiative was implemented as

intended. The initiative may not work because you did not

execute the initiative to standard. Conversely, you may have

executed the initiative to standard; however, the initiative was

not effective within your intended population.

Optional Evaluation for mature initiatives only

Impact evaluation can be conducted once the program

has moved from initial implementation to the maintenance

stage. This type of evaluation is a process for collecting

information to determine and document whether or not

an initiative is or continues to be effective in achieving its

ultimate goal(s).

Back to

IEP Abstract

CONNECTIONS

Why is the data collection plan important?

Similar to the implementation plan, the data collection plan is also a

written summary. It helps you and others understand the monitoring

and evaluation activities you intend to implement. This summary can

also be useful to future evaluators to determine the thoroughness

of the data collection and what data to collect for comparison if the

initiative is replicated in other settings (e.g., other installations).

Baseline data collection is a critical element of data collection.

Many initiatives move out before collecting any sort of information on

the current state of the things they are trying to change, which makes it

very difficult to see if any changes occur. Before you start implement-

ing your initiative, be sure to collect the data needed to show that a

change occurred because of your initiative.

You might find that someone already identified and collected baseline

data on the problem you identified in your community. The CR2Cs

collect data on community conditions and strengths (e.g., the Commu-

nity Strengths and Themes Assessment) every 2 years. You can contact

your local CR2I to find out if data collected in any of these community

assessments would be helpful sources of baseline data for you.

You can also use studies that already have been done on your population

for your particular problem as sources of baseline data. For instance, your

intelligence gathering may reveal that large organizations, such as the

RAND Corporation and the Penn State Clearinghouse, already conducted

a needs assessment on a military population documenting the same

problem that is affecting your community. If the data are broadly appli-

cable to a military population (e.g., historic data on rates of sexual assault,

etc.), it might be appropriate for you to use it as a secondary source of

baseline data.

How do you write a data collection plan/ monitoring and

evaluation plan?

The following evaluation development and implementation

steps are adapted from the Centers for Disease Control and

Prevention Framework for Evaluation.

1. Engage Stakeholders— You should include partici-

pants and other individuals who will be affected by the

initiative. Their perspectives can be essential to the

brainstorming process. For instance, stakeholders could

provide you with useful information about existing data

sources or whom could collect the data.

2. Describe the initiative—You should use the information

that you have provided in your description of implemen

tation summary and logic model.

3. Determine the purpose and focus of your evaluation—

The amount of information that you could collect on your

initiative is endless. However, it is only reasonable to

collect information to answer a limited number of ques

tions. First, review each activity and its associated outputs

and outcomes in the initiative’s logic model to think

through what you would want to know. Then, determine

what information is most important to initiative staff and

stakeholders and will be most useful for making program

improvements and other decisions.

The purpose and focus of your evaluation should

be based upon priorities and feasibility. Consider how

much money, time, and effort can be expended on the

evaluation. Sometimes the highest-priority questions

cannot be addressed because they are not feasible due

to constraints within the operational environment such

as access to information or data or feasibility of collecting

data of interest.

4. Identify explicit evaluation questions that will help you

learn what you want to know about your initiative’s execu

tion and outcomes. The initiative’s logic model can assist

you during this step as well. As you review your initiative’s

activities, outputs, and outcomes, think through what

monitoring, process, and outcome evaluation questions you

want to answer that are aligned with the purpose and focus

of your evaluation. It is also important to consider which

development phase your initiative is in when developing

questions. Questions for an initiative that have never been

implemented would likely diﬀer from an initiative that has

been implemented for the past year or more.

5. Determine what information will be collected—In this

step, it is important to think through what type of data

will best help you answer the questions you have identi

fied. Quantitative data (data in the form of numbers) can

tell you what happened, while qualitative data (data in the

form of words) can help you understand why it happened.

It is also essential to consider if someone else is already

collecting relevant data. For example, if you are interested

in changes in unintentional injury incidence, this infor

mation is already collected and maintained through the

Defense Medical Surveillance System (DMSS).

6. Document monitoring/evaluation steps and activities

clearly and transparently to support stakeholder accep

tance. Additionally, documentation is essential for future

assessment of the monitoring/evaluation conducted and

replicability. You should provide a short summary of the

purpose of the evaluation, primary activities, and who will

do the work. The specific information can be outlined

in a data collection table or matrix. This should include

which type of activity (monitoring/evaluation type), the

corresponding monitoring/evaluation guiding question,

the indicator/metric being collected, the data collection

source(s), and collection frequency.

GOT QUESTIONS?

Where can I nd additional information on how to complete a Data Collection Plan?

University of North Carolina /North Carolina Institute for Public Health/Community

Health Assessment and Improvement Toolkit

https://sph.unc.edu/nciph/cha-chip-toolkit/

The Community Health Assessment and Improvement Toolkit provides basic tools and

resources for agencies completing Community Health Assessments (CHA) and Commu-

nity Health Improvement Plans (CHIP) for improving the health of local communities.

CDC: A Framework for Program Evaluation

https://www.cdc.gov/eval/framework/index.htm

This resource provides information on the CDC Framework for Program Evaluation in

Public Health including practical steps, standards, and strategies for program evaluation

development and implementation.

CDC Developing an Effective Evaluation Report

https://www.cdc.gov/eval/materials/developing-an-effective-evaluation-report_

tag508.pdf

This workbook further explains how to apply the CDC Framework for Program Evaluation

in Public Health.

NACCHO Community Health Assessment and Improvement Planning

https://www.naccho.org/programs/public-health-infrastructure/performance-im-

provement/community-health-assessment

This website provides a step-by-step guide on how to conduct a Health Assessment and

how to create an improvement plan.

Where can I find measures/tools to use in my data collection?

RAND: Surveys

https://www.rand.org/health/surveys_tools.html

This website contains survey tools that RAND Health Care has used or produced and that

are public documents that may be used by other organizations. The survey tools found

here cover a variety of health-related topics including, but not limited to, aging and

health; maternal, child, adolescent health; mental health; and military health.

ETS: Test Collection

http://www.ets.org/test_link/find_tests/

The Test Collection is a database of more than 25,000 tests and other measurement

devices for use by researchers, graduate students, and teachers. It is the largest compila-

tion of such materials in the world. This link allows you to search the database for a test

or measurement tool based on keyword, author, subject, and more.

University of Kansas Community Tool Box – CH 38 Some Methods for Evaluating

Comprehensive Community Initiatives

https://ctb.ku.edu/en/table-of-contents/evaluate/evaluate-community-initiatives

This site provides a broad range of information including guidance on monitoring, rating

participant satisfaction, surveys, interviews, and indicators.

University of Vermont Libraries: Research Guides

http://researchguides.uvm.edu/researchinstruments

This site provides an overview of and access to certain databases or indexes of research

instruments such as surveys, questionnaires, and other tests.

A Note about Human Protections

Prior to initiating any activity that involves

humans or their data (identified, coded,

unidentified), you must obtain a “legal

determination of the activity” (human

subject research or not) made by a Human

Protections Administrator or a Determina

tion Official. If you are not sure whom to

contact, the Army Human Research Pro

tections Office (AHRPO) can assist. AHRPO

Phone: 703-681-6565 / AHRPO Email:

usarmy.ncr.hqda-otsg.mbx.otsg-ahrpo@

mail.mil. Proposed information collections

from Army personnel, including surveys,

generally must meet three separate re

quirements: Army sponsorship, approval

or exemption from a licensing authority,

and approval or exemption from an Army

Institutional Review Board (IRB) or the

AHRPO.

To ensure the activity is committed to

protecting the rights and welfare of all

humans involved, refer to the ethical prin

ciples established by the Belmont Report

and all legal requirements established by

Title 32 Code of Federal Regulations (CFR)

Part 219.102, the Department of Defense

(DoD) Instruction 3216.02, Army Regula

tion (AR) 70-25, and other state and local

laws.

Additional references on information

collection within the DoD:

DoD Instruction 8910.01, Information

Collection and Reporting, May 2014.

DoD Instruction 1100.13, DoD Surveys,

January 2015.

DoD Manual 8910.01, Volume 1, DoD Infor

mation Collections Manual: Procedures for

DoD Internal Information Collections, June

2014, Incorporating Change 1, May 2016.

DoD Manual 8910.01, Volume 2, DoD Infor

mation Collections Manual: Procedures for

DoD Public Information Collections, June

2014, Incorporating Change 2, April 2017.

U.S. Army Research Institute for the Behav

ioral and Social Sciences: https://ari.altess.

army.mil/pdf/InstructionsforArmySurvey

ReviewandApprovalforWeb.pdf

The example description of data collection shown below explains what steps you plan to take to collect your data. You must include which of your initiative’s desired outcomes

the indicator will measure (rationale), how you plan to measure change (indicators), where you plan to find this evidence (data collection sources), and how often you plan to

collect this evidence (data collection frequency).

Monitoring/

Evaluation Type

Guiding Question Indicator/metric Data Collection Source(s) Data Collection Frequency

Monitoring

Are initiative activities being

implemented to standard?

Each of the 10 sessions are held

for each group

Implementation Tracker

(Completed by Initiative

Coordinator)

Ongoing, Documented after each scheduled

session date and reviewed after completion of

each group (set of 10 sessions)

Number of Soldiers

participating in each session

Implementation Tracker

(Completed by Initiative

Coordinator)

Ongoing, Documented after each scheduled

session date and reviewed after completion of

each subset of sessions (Mind, Body, Nutrition)

Process

Are the initiative activities

implemented as intended?

Length of each of the 10

sessions

Session Checklist

(completed by observer)

Each session

All sessions topics were

discussed

Session Checklist

(completed by observer)

Each session

Are there implementation

diﬀerences based upon who the

instructor is?

(1) Length of each of the 10

sessions; (2) All session topics

discussed during each session

Session Checklist

(completed by observer)

Each session

Outcomes

Do the nutrition training sessions

result in increased nutrition

knowledge among attendees?

Nutrition quiz scores from

before and after the initiative

Dietary and Physical Fitness

Awareness Survey (DPF)

Twice (pre- and post- educational program/

initial and ﬁnal assessments)

Do physical training sessions result

in improved ﬁtness test scores?

Physical ﬁtness test scores from

before and after the initiative

APFT scores from

123rd Stryker BDE

Twice (pre- and post- educational program/

initial and ﬁnal assessments)

Do the training sessions result in

increased motivation of Soldiers to

attend physical ﬁtness training?

Reported motivation of Soldiers

(1) 123rd Stryker BDE

Satisfaction Survey; (2) PT

Satisfaction focus groups

Twice (pre- and post- educational program/

initial and ﬁnal assessments)

Monitoring/

Evaluation Type

Guiding Question Indicator/metric Data Collection Source(s) Data Collection Frequency

Do the mind and body training

sessions result in increased physical

training satisfaction?

Satisfaction score on physical

training satisfaction survey

123rd Stryker BDE Satisfaction

Survey (satisfaction with PT

questions)

Before classes start (baseline) and then

quarterly

Do the body training sessions

result in increase of injury

prevention protocol?

Number of Soldiers reporting

adherence to injury prevention

protocol

(1) 123rd Stryker BDE

Satisfaction Survey (injury

prevention protocol

questions); (2) PT Satisfaction

focus groups

(1) Before classes start (baseline) and then

quarterly; (2) Twice (pre- and post- educational

program)

Are there outcome diﬀerences

based upon who the instructor is?

All outcomes metrics compared

across each of the groups

(1) 123rd Stryker BDE

Satisfaction Survey; (2) PT

Satisfaction focus groups

(1) Before classes start (baseline) and then

quarterly; (2) Twice (pre- and post- educational

program);

Impact (optional)

Do the training sessions lead to

improved readiness?

Body fat percentage

Medical Operational Data

System (MODS)

Three times (Pre- and post-educational

program, and one year follow-up)

Do the training session lead to

improved readiness?

Unintentional injury incidence

Defense Medical Surveillance

System (DMSS)

Twice (Pre-educational program and

one year follow-up)

Monitoring/ Evaluation Type Guiding Question Indicator/metric Data Collection Source(s) Data Collection Frequency

Monitoring

Process

Outcomes

Impact (Optional for mature

initiatives only)

Data Collection Plan

The last step of this section is to write the information that you have provided in the chart into a short written summary.

NOTE: Consider differences in population, environment, resources, and so forth. If you were to expand this initiative to another

installation or across another Command.

Your Summary

EXAMPLE: DATA COLLECTION PLAN

Ft. Fleetwood Data Collection Plan

This initiative has a three-prong approach to the monitoring and evaluation

plan.

First, as part of the monitoring plan, the initiative team plans to assess wheth-

er we implemented the initiative as planned. To ensure this, the initiative

team will examine attendance sheets for each class session, specifically

monitoring the date to ensure that the classes were conducted as scheduled.

The initiative team will also examine the attendance sheets to determine

whether Soldiers were present for the sessions.

Second, as part of the process evaluation plan, the initiative team will use a

session checklist to examine the length of each class session, adherence to

session topics, and differences between class time and topics covered by the

instructor. The initiative team will collect the data for the monitoring and the

process evaluation concurrently after each session.

Third, as part of the outcome evaluation plan, the initiative team will examine

six guiding questions:

1. Do the nutrition training sessions result in increased nutrition knowl-

edge among attendees?

2. Do physical training sessions result in improved fitness test scores?

3. Do the training sessions result in increased motivation of Soldiers to

attend physical fitness training?

4. Does the mind and body training sessions result in increased satisfaction

with the physical training program?

5. Do the body training sessions result in increased adherence to injury

prevention protocol?

6. Are there outcome differences based upon instructor?

From June 2017 to April 2018, the initiative team will collect the data for the

outcome evaluation from 123rd Stryker BDE using a pre-/post-test design.

Soldiers will complete a nutrition quiz created specifically for the initiative to

gauge Soldiers’ nutritional knowledge. Soldiers from 123rd Stryker BDE will

also participate in PT Satisfaction Focus Groups before and after the educa-

tion program. The initiative team will collect a Dietary and Physical Fitness

Awareness Survey and 123rd Stryker BDE Satisfaction Survey quarterly, in

order to obtain pre/post-test data for each group. Last, to gauge impact, the

initiative team will examine if the initiative leads to improved readiness by

assessing changes in body fat percentage and unintentional injury within

123rd Stryker BDE at the beginning of the program, at the conclusion of the

program, and finally, at a 5-year follow-up. Although an impact evaluation

will only occur if the initiative achieves short, intermediate, and long-term

outcomes, we will collect the baseline information now to ensure that we

have the necessary data to determine impact in the future.

Component 8: Summary of Implementation

SECTION 6. DOCUMENT RESULTS

CONNECTIONS

Why is having a summary of initiative implementation important?

The summary serves as a record of how you executed the initiative. You can compare your descrip-

tion of initiative Implementation Plan with your summary of initiative implementation to deter-

mine whether you implemented your initiative as intended and met delivery standards. Your

monitoring and process evaluation data will be extremely helpful here. This information can be

used later to guide program improvement and/or future implementation.

An operational approach is a broad general solution to addressing the identified problem. Think through which activities may

result in the desired end state. Consider what you learned through the process of framing the operational environment such as

key aspects and constraints when brainstorming potential activities. At the end, your operational approach must include clearly

described potential actions (courses of action). Each course of action describes the links between tasks, objectives, conditions,

and the desired end state. This section details the components and tools used to help develop the operational approach.

Once you have developed a plan for executing your initiative,

the final step is to write down what you did and what you

learned. This will help you determine if you executed the in

itiative as you intended and if you got the expected results.

Documenting your results provides a detailed description of

how you executed, monitored, and evaluated your initiative.

It also provides information related to your monitoring and

process evaluation data collection plan. You can use the infor

mation in your documented results to improve the execution

and effectiveness of your initiative based upon what worked

and what did not work. This section details the components

and tools used to help develop the documentation of the

initiative’s results.

A summary of initiative implementation summarizes the ac

tions taken to start and run the initiative and includes the im-

plementation’s successes and failures. This summary is similar

to a debrief on the status of Course of Actions in MDMP. You

may need to complete a summary of initiative implementation

only if you have already begun or fully completed initiative

implementation. This section provides information to help

you describe how you implemented your initiative.

How do you complete a summary of initiative

implementation?

Follow the steps listed below to describe the implementation.

1. Summarize how you implemented the initiative.

2. Describe what groups of people (e.g., population) you

included.

3. Explain where you have implemented the initiative.

4. List who was responsible for implementing the initiative.

Back to

IEP Abstract

EXAMPLE: Description of Implementation.

Date Initiative

Started

Activities

Completed

Who was Responsible for

Executing the Activity

Physical Location

Intended

Population

Date Initiative

Completed

19 June 2017

Created Partnership with

AWC, MWR, & Dieticians

Initiative Coordinator

Meeting at AWC

conference room

Health Promotion Trainers:

Strength and Training Coordinator

Dietician/Nutritionist

Behavior Health Specialist

14 January 2019

Recruited Participants

in 123rd Stryker BDE

Initiative Coordinator

Stryker Battalion Orderly

room

123rd Stryker BDE Soldiers (100%

Enlisted)

Conducted Initial

Assessments

Strength and Training Coordinator

Dietician/Nutritionist

Ft. Fleetwood

Army Wellness Center

Initiative Cadre

123rd Stryker BDE Soldiers (100%

Enlisted)

Conducted 10 Mind/

Body/Nutrition Classes

Health Promotion Trainers:

Behavior Health Specialist

Strength and Training Coordinator

Dietician/Nutritionist

Varies by class

Mind-Classroom

Body-Gym

Nutrition-DFAC Kitchen

123rd Stryker BDE Soldiers (100%

Enlisted)

Celebrated Mind/Body/

Nutrition Completion

Initiative Coordinator in con

junction with 123rd Stryker BDE

Command

Ft. Fleetwood Auditorium

123rd Stryker BDE Soldiers (100%

Enlisted)

Please note: You may find this information in the CR2C Impact Tracker in the Date Initiative Started, Description Of Initiative, Activities Completed, and Data Initiative Was

Completed Fields. Your CR2I will have access to the CR2C Impact Tracker and may be able to pull this information for you.

Description of Implementation Template

Date Initiative

Started

Activities Completed

Who was Responsible for

Executing the Activity

Physical Location

Intended

Population

Date Initiative

Completed

Please note: You may find this information in the CR2C Impact Tracker in the Date Initiative Started, Description Of Initiative, Activities Completed, and Data Initiative Was

Completed Fields. Your CR2I will have access to the CR2C Impact Tracker and may be able to pull this information for you.

Description of Initiative Implementation

The last step is to complete the Description of Initiative Implementation. Use the answers provided in the table on the previous

page to fill out your Description of Initiative Implementation.

NOTE: Consider differences in population, environment, resources, and so forth if you were to expand this initiative to another

installation or across another Command.

EXAMPLE: SUMMARY OF INITIATIVE

Ft. Fleetwood Summary of Initiative Implementation

The initiative cadre completed five activities to deliver the injury and obesity prevention initiative with 123rd Stryker BDE Soldiers at Ft. Fleet-

wood titled “Reducing Injury and Obesity Together (RIOT)”. These activities consisted of creating a partnership with AWC, MWR, & Installation

Dieticians; recruiting participants, conducting initial and final assessments; conducting 10 Mind/Body/Nutrition Classes; and providing a Mind,

Body, and Nutrition Completion Celebration.

The initiative coordinator met with the representatives of the AWC, the MWR, and the Installation’s Dietician on 19 June 2017. Originally, the initi-

ative coordinator planned to receive training from the AWC, MWR, and Installation Dietician and implement the Mind/Body/Nutrition Classes in a

“Train the Trainer” model using platoon leaders. However, representatives of the AWC and the Installation’s Dietician showed interest in teaching the

classes themselves to ensure that Soldiers received the correct information and ensure ﬁdelity to implementation. Therefore, in conjunction with the

approval of the department chiefs, a behavioral health educator, a strength and conditioning trainer, and a nutritionist agreed to teach the initiative’s

courses. Additionally, the initiative cadre decided to reduce the size of the groups from 25 to 10 members; a systematic review of the literature on

military physical performance education reports that groups of 10 or less are more eﬀective than larger groups (Cooper & Johnson, 2016). Therefore,

the initiative cadre hired an additional behavioral health educator, strength and conditioning trainer, and a nutritionist through contract positions,

to conduct initiative sessions to complete the initiative with 2,000 participants within 1 year. These implementation plan changes resulted in the

initiative cadre not completing the “train 123rd Stryker BDE staﬀ” activity as planned in the original logic model.

Then, the 123rd Stryker BDE Commander, with the support and advocacy of the CR2I, met with the installation Senior Commander to present

the RIOT initiative and request funding. The Senior Commander approved a Memorandum of Agreement (MOA) between the installation

command and the APHC AWC; this MOA detailed the role of the local Wellness Center in the initiative and a Military Interdepartmental Pur-

chase Request (MIPR) to release funds to the Wellness Center on 14 August 2017. The development of the MOA and MIPR delayed the planned

start date of the initiative. The MOA states that the Senior Commander would provide funds for the initiative for year 1, with a contingency of

continued funding only if the initiative reported positive results.

Next, the 123rd Stryker BDE Commander and Sergeant Major worked with platoon leaders to begin participant selection. From 2 October 2017

to 4 December 2017, 123rd Stryker BDE Soldiers completed Initial Assessments (e.g., nutrition quiz) to collect baseline data for information not

found in the needs assessment (e.g., Soldier’s nutritional knowledge from the Dietary and Physical Fitness Awareness Survey (DPF)). The initia-

tive consisted of four groups with 500 Soldiers. To account for the smaller teams, each staff member taught five classes per day instead of four

classes from the initial implementation plan (see table below). Soldiers were assigned randomly to teams within a given time block. The Mind,

Body, and Nutrition Courses began the week of 23 October 2017. The schedule was set to allow for breaks because of Federal holidays. Each

group attended 10 Mind/Body/Nutrition Classes: one class per week (85% completion of all 10 sessions, 90% completion of 8 or more sessions,

and 100% completion of 7 or more sessions) for 10 weeks. The topics for the Mind/Body/Nutrition Classes were the following:

Mind (60 minutes each)

Conducted in the classroom by behavioral

health educator

Week of Class 1: Motivation to Exercise and

Eat Healthier (average 60 minutes)

Week of Class 2: Conquering Fear of Injury

(average 45 minutes)

Week of Class 3: Help Seeking Behaviors

(average 50 minutes)

Body (60 minutes each)

Conducted in the gym by strength and

conditioning trainer

Week of Class 4: Correct Forms for Physical

Activity (average 60 minutes)

Week of Class 5: Injury Prevention Techniques

(average 60 minutes)

Week of Class 6: Adapting Exercises for

Post-injury Workouts (average 80 minutes)

Nutrition (60 minutes each)

Conducted in the DFAC kitchen by nutrition-

ist/dietician

Week of Class 7: Balance Nutrition (average

60 minutes)

Week of Class 8: Nutrition for Strength

Training and Muscle Building (average 60

minutes)

Week of Class 9: Nutrition for Weight Loss

(average 50 minutes)

Week of Class 10: Adjusting Nutrition to

Account for Reduction of Physical Activity

because of Injury (average 75 minutes)

The initiative cadre changed from a fixed-group class schedule to a rolling-group class schedule to account for the administrative delays and

the new staff hires (see table below). Soldiers from the 123rd Stryker BDE completed the Final Assessments from 5 February 2018 to 3 June

2018. Initiative cadre decided to have a Mind, Body, and Nutrition Completion Celebration for each group as they finished the initiative. The

123rd Stryker BDE Commander handed out completion certificates to the participants, and the 1st Division Commander spoke about the

importance of readiness and injury prevention.

Reducing Injury and Obesity Together (RIOT) Initiative 10-Week Group Schedule Cycle Example at Ft. Fleetwood

“Time to RIOT”

Time Monday Tuesday Wednesday Thursday Friday

0800-

0900

Team 1 (n=10) Team 11 (n=10) Team 21 (n=10) Team 31 (n=10) Team 41 (n=10)

Team 2 (n=10) Team 12 (n=10) Team 22 (n=10) Team 32 (n=10) Team 42 (n=10)

0930-

1030

Team 3 (n=10) Team 13 (n=10) Team 23 (n=10) Team 33 (n=10) Team 43 (n=10)

Team 4 (n=10) Team 14 (n=10) Team 24 (n=10) Team 34 (n=10) Team 44 (n=10)

1100-

1200

Team 5 (n=10) Team 15 (n=10) Team 25 (n=10) Team 35 (n=10) Team 45 (n=10)

Team 6 (n=10) Team 16 (n=10) Team 26 (n=10) Team 36 (n=10) Team 46 (n=10)

1300-

1400

Team 7 (n=10) Team 17 (n=10) Team 27 (n=10) Team 37 (n=10) Team 47 (n=10)

Team 8 (n=10) Team 18 (n=10) Team 28 (n=10) Team 38 (n=10) Team 48 (n=10)

1430-

1530

Team 9 (n=10) Team 19 (n=10) Team 29 (n=10) Team 39 (n=10) Team 49 (n=10)

Team 10 (n=10) Team 20 (n=10) Team 30 (n=10) Team 40 (n=10) Team 50 (n=10)

Ft. Fleetwood RIOT Initiative Timeline

Week Start Date Administrative Pre-Test Mind Body Nutrition Post-Test Celebration

1 19-Jun Meeting w/ AWC

9 14-Aug MIPR funds released

15 25-Sep Additional Staff Hired

16 2-Oct Initiative Starts G1

17 9-Oct

18 16-Oct

19 23-Oct G1

20 30-Oct G2 G1

21 6-Nov Holiday Break

22 13-Nov G1

23 20-Nov Holiday Break

24 27-Nov G3 G2 G1

25 4-Dec G2 G1

26 11-Dec G2 G1

27 18-Dec G3 G2 G1

28 25-Dec Holiday Break

29 1-Jan Holiday Break

30 8-Jan G4 G3 G2 G1

31 15-Jan G3 G2 G1

32 22-Jan Holiday Break

33 29-Jan G4 G3 G1

34 5-Feb G4 G3 G2 G1

35 12-Feb G4 G3 G2 G1

36 19-Feb Holiday Break

37 26-Feb G4 G2

Your Summary

38 4-Mar G4 G2

39 11-Mar G4 G3 G2

40 18-Mar G3 G2

41 25-Mar G3

42 1-Apr G3

43 8-Apr G4 G3

44 15-Apr G4 G3

45 22-Apr G4

46 29-Apr G4

47 6-May Initiative Ends G4

48 3-June G4

Component 9: Summary of Results

A description of data collection and results summarizes your

data collection findings and conclusions. A description of data

collection describes how you collected the evidence and the

description of results presenting that evidence. This descrip

tion includes details about the initiative’s outcomes, indicators,

data collection sources, and data collection frequency. This

description can be from an evaluation of the completed

initiative or preliminary findings from one of the initiative’s

activities. This section is similar to the Assessment Process

of MDMP. You need to complete a description of results only

if you have already started to see results from your initiative.

This section provides information to help you develop a

description of results.

A description of results or preliminary findings provides evi

dence of the following:

• Whether the initiative was implemented as planned,

• If the initiative was successful or made progress towards

achieving the desired end state,

• Whether the Army should consider the initiative for imple

mentation at other installations, and/or

• Recommend actions for initiative improvement.

An example of a data collection description explains the steps

you took to collect that data. It is similar to the methods

section of a paper. An example of a description of results

would be the bottom line up front (BLUF) statement or the

conclusion section of a research paper.

How do you write a description of data collection and

results?

The table on the next page is an example of how to summa

rize your data collection findings and conclusions. You should

use the same table format to answer the questions above and

outline the details for your data collection and results.

CONNECTIONS

Why is a description of data collection and results important?

A description of data collection and results is important because it

allows evaluators to review the thoroughness of the data collection. The

description of data collection also helps the Army repeat the data col-

lection process used in this initiative in other settings (e.g., installations).

The data you present here should reflect the short-, intermediate-, and/

or long-term goals stated in your logic model.

Back to

IEP Abstract

Desired Outcomes

Indicator(s)/

Metric(s)

Data Collection

Source(s)

Data Collection

Frequency

Description of Results/Preliminary

Findings

Results

Current as of

Increase awareness of

dietary and wellness

requirements by 25%

Nutrition quiz scores

from before and after

the initiative

Dietary and Physical Fitness

Awareness (DPF) Survey

Twice: pre- and post-

educational program

Nutritional test scores among 123rd Stryker

BDE Soldiers increased by an average of 12

points (out of 100) over baseline; changed

from an average of 68 to 80

5 June 2018

Increase awareness of

physical fitness by 25%

Physical fitness test

scores from before

and after the initiative

DPF Survey Twice: pre- and post-

educational program

Fitness test scores among 123rd Stryker BDE

Soldiers increased by 5 points (out of 300)

over baseline; changed from an average of

261 to 266

5 June 2018

Increase motivation of

Soldiers to attend physical

fitness training by 25%

Soldiers’ self-reported

motivation

(1) 123rd Stryker BDE

Satisfaction Survey (2) PT

Satisfaction Focus groups

Twice: pre- and post-

educational program

123rd Stryker BDE Soldiers reported a 25%

increase in motivation to attend physical

fitness training

5 June 2018

Increase 123rd Stryker BDE

Soldiers’ satisfaction with

physical training by 25%

Physical Training

Satisfaction Score

(1) 123rd Stryker BDE

Satisfaction Survey (2) PT

Satisfaction Focus groups

Twice: pre- and post-

educational program

123rd Stryker BDE Soldiers reported a

25% increase in satisfaction with physical

training

5 June 2018

Increase knowledge of

injury prevention methods

by 50%

Injury Prevention

Knowledge Score

(1) 123rd Stryker BDE

Satisfaction Survey (2) PT

Satisfaction Focus groups

Twice: pre- and post-

educational program

123rd Stryker BDE Soldiers’ knowledge of

injury prevention methods increased by 57%

5 June 2018

Please note: This information may be in the Desired Outcomes, Indicators/Metrics, Data Collection Sources, Data Collection Frequency, and Results/Preliminary Findings Fields in

the CR2C Impact Tracker. Your CR2I will have access to the CR2C Impact Tracker and may be able to pull this information for you.

Description of Data Collection Template

Desired Outcomes

Indicator(s)/

Metric(s)

Data Collection Source(s)

Data Collection

Frequency

Description of Results/Preliminary Findings

Results Current

as of

Description of Results

The last step is to complete the Description

of Results. Use the answers provided in the

table above to fill out your Description of

Results.

NOTE: Consider differences in population,

environment, resources, and so forth if you

were to expand this initiative to another

installation or across another Command.

GOT QUESTIONS?

Where do I go if I want to know more about writing description of results?

Additional information is available from the Centers for Disease Control and Prevention

Evaluation Reporting: A Guide to Ensure Use of Evaluation Findings

https://www.cdc.gov/dhdsp/docs/Evaluation_Reporting_Guide.pdf

This website provides detailed information on how to conduct an evaluation

EXAMPLE: SUMMARY OF DESCRIPTION OF DATA COLLECTION AND RESULTS

This initiative creates a physical fitness and resilience program to address problems of injury and obesity for the 123rd Stryker

BDE Soldiers at Ft. Fleetwood. Initiative implementers collected pre- and post-test data from 123rd Stryker BDE through PT Satisfaction

focus groups and 123rd Stryker BDE Dietary and Physical Fitness Awareness surveys. The initiative had high participation due to Com-

mand support; 2,000 Soldiers completed the assessments at the beginning and end of the initiative. However, because of course at-

tendance, only 1,700 surveys were included in the data analysis. A total of 32 Soldiers participated in the focus groups prior to initiative

implementation, and 28 participated at the end of the 10 sessions. Analysts checked transcripts to ensure that changes in major theme

were not due to absence of participants from pre- to post-initiative.

Monitoring Results

The monitoring data indicated that all planned initiative sessions were held. However, Federal holidays caused breaks in the class sched-

ule that were not originally included in the planning stage. The Initiative Coordinator decided that since many of the Soldiers would

take leave for the holidays, it was better to cancel the full week of classes instead of having teams within the same cohort on different

lessons within a given week.

“I think there was just the right amount of classes; I’m glad that they had the break from classes during the holidays because I know I wouldn’t be

able after Christmas and people would have been mad if they ordered us back to just take these classes.”

“I was glad to take the classes, they were fun. I was always hyped when it was ‘time to RIOT’. That Thanksgiving break was hard though. I mean

because [name removed] had just talked about nutrition for weight loss, so I was sitting at the dinner table remembering, ‘I can have all of my

favorites, I just have to have them in moderation’ since I am trying to cut weight. Yo, I was glad that [name removed] asked how we are sup-

posed to tell our families ‘no’, cause my abuela is always trying to fill my plate. I heard that we were supposed to start the classes earlier but in a

way I am happy that fell right before Thanksgiving.”

Process Evaluation Results

The process evaluation results indicated that classes/sessions on injury prevention were longer than classes on nutrition. However, there

was no difference in time or topic based on instructor.

“I think that we had more questions about injury than about food. My group was mainly female, and I was glad because we could get real

about some of the things that the guys don’t have to worry about. Like I’m heavy up top, so having a physical trainer that felt comfortable

talking about injury prevention for women was really good”

“I talked to some of the people in other groups and it seemed like we were all getting the same information. I didn’t notice that [name withheld]

group had more women, we only had a few women in my group, but they went over the same information. I noticed that the injury course took

longer. I think they should split the class up somehow.”

Preliminary Outcome Evaluation Results

The educational initiative has demonstrated several preliminary benefits for 123rd Stryker BDE. The post-initiative results indicated that

Your Summary

nutritional test scores among 123rd Stryker BDE Soldiers increased by 12 points, and physical fitness test scores increased by 5 points.

The 123rd Stryker BDE Soldiers reported a 25% increase in motivation to attend physical training and a 25% increase in satisfaction with

physical training.

“I don’t know if I would change anything. They did a really good job at talking about adjusting how much you eat and what you eat when you

get hurt. I remember how they showed that 12 oz. of grape juice has as much sugar as 12 oz. of soda. I thought that I was being healthy by

switching to 100% juice. Now I just try to drink more plain water. I’m glad that I learned how to read and understand nutrition labels.”

“I feel like a lot of people are now excited to put into practice what we learned. Also, it [the initiative] increased the feeling of teamwork. Like, I

didn’t know that [name withheld] had knee problems. But, he shared that during the class. So now, instead of thinking that he is being lazy, I

know that he is actually hustling and that make me want to cheer him on and I think that is motivating [him] to want to go out there and do

what he has to do.”

Additionally, 123rd Stryker BDE Soldiers’ knowledge of injury prevention methods increased by 57%.

“The craziest thing was learning that I have been running wrong all these years. After a long run, I used to suffer from these bad shin splints. I

hated running. And you know how the Army is, they stress running. But after taking this course, I can see what I was doing wrong and I have

tried to change my running style, which has helped me a lot. I mean I have to be mindful of it. So now when I run, I am thinking about how my

foot is hitting the ground, how I’m holding my head,…my breathing. [Name withheld] was right, at first I noticed that my running time wasn’t

as good as it was but I could run farther and I didn’t feel so beat up the next day. After about 3 weeks, my speed got back to where it used to be

and I feel good running. Like I enjoy it now. Which is awesome.”

Overall, the Ft. Fleetwood injury and obesity initiative is successful.

• The initiative has met two short-term outcomes (a. increase motivation of Soldiers to attend physical fitness training and b. increase

Soldiers satisfaction with physical training); intended change +25% in a. and b./ actual change +25% in a. and b.

• The initiative has exceeded one short-term outcomes (c. increase knowledge of injury prevention methods); intended change +50%

in c./ actual change +57% in c.

• The initiative has not met two short-term outcomes (d. increase dietary awareness and e. physical fitness awareness). Although

Soldiers did not meet the intended change, they are seeing an improvement in those outcomes; intended change +25% in d. and

e./ actual change +12% in d. and +.02%

These results aligned with similar findings of systematic review of military physical training initiatives (Cooper & Johnson, 2016) and

other studies of obesity prevention (Smith, 2013).

Positive results related to short-term outcomes imply that the initiative is showing progress towards achieving the desired end state of

continuous implementation; further evaluation may continue to support the value of the initiative at Ft. Fleetwood.

Component 10: Communication Plan

Now that you have created a summary of your initiative and

the data you have collected, what’s next? It is time to reflect

and make your recommendations regarding: (1) whether or

not to continue implementing your initiative, and (2) whether

or not the Army should consider your initiative for expansion

or replication beyond your current target audience. You also

have to decide who should know about your initiative and the

lessons you have learned –such as your leadership, members

of the target audience affected by your initiative, leadership

outside your chain of command, or other people trying to

tackle similar problems. This section provides information

to help you develop a communication plan.

How do you create a communication plan?

You need to conduct an After Action Review (AAR) to:

• Summarize your lessons learned

• Develop and summarize your recommendations

Then, you will use this information to develop a communica

tion plan.

When summarizing your lessons learned, it is helpful to gather

feedback from a variety of people, including those who

assisted with implementation, those who participated in the

initiative, and those who collaborated with you. Together, you

should complete the following steps:

Summarize your lessons learned

Examine your evaluation data and briefly summarize the

lessons you learned from planning and implementing your

initiative. Consider conducting an AAR of your experience.

The Army has formal and informal processes for conducting

AARs (see “Army Leader’s Guide to After Action Reviews” for

guidance); however, a general guide is to answer the following

questions:

• What was supposed to occur?

• What actually occurred?

• What was right or wrong with what happened? What were

the strengths and weaknesses?

• How should things be done differently next time?

Develop and summarize recommendations

Now that you have collected evaluation data on your initiative

and conducted an AAR to gather lessons learned, you should

think about your recommendations regarding whether:

• You should continue implementing your initiative, and

• The Army should consider your initiative for expansion or

replication beyond your current target audience.

If your evaluation data suggest that your initia-

tive WAS NOT initially successful in achieving

intended outcomes and objectives, you should

synthesize your lessons learned and then make one

of the following recommendations:

• Stop implementation

• Revise initiative based on lessons learned and

continue implementing for a set period of time

If your evaluation data suggest that your initia-

tive WAS successful at achieving your intended

outcomes and objectives, you should synthesize

your lessons learned and make one or more of the

following recommendations:

• Continue implementation as is

• Continue implementation with minor revisions

• Replicate or expand to other target audiences

What questions should you ask before recommending

initiative replication or expansion?

You should ask yourself several questions before recommend

ing the expansion or replication of your initiative:

• Do we have evidence that our initiative produces positive

results?

• Do we know which elements of our initiative are required to

be effective?

• Is the infrastructure (resources, leadership) supporting our

initiative strong?

CONNECTIONS

It is just as helpful to share information and lessons learned from

initiatives that did not go well or did not show evidence of achieving

outcomes as it is to share lessons learned from those initiatives that were

successful. This type of information can help others avoid going down

the same path.

Back to

IEP Abstract

Answering “yes” to each of these questions is the minimum to

justify expansion or replication of your initiative.

If you are recommending your initiative for replica-

tion or expansion, you or your leadership should

submit your initiative to the IEP Submission Pro

cess, described later in this guide.

Additionally, if you are recommending your initiative for rep

lication or expansion, we highly recommend completing the

planning phases of this guide (all the components of for the

activities completed in Parts III and IV of this guide, including

the IEP Abstract again but for a wider audience).

For example, if your initial initiative targeted junior enlisted

Soldiers at one FORSCOM installation, but you are hoping to

widen the reach of your initiative to junior enlisted Soldiers

across all FORSCOM installations, but adjust your components

to account for differences in expectations by leadership.

Other questions you should consider are:

• Is the information you collected previously still relevant?

• Do you need to conduct a broader environmental scan or

needs assessment?

• Are the root causes of the problem you identified within

your target audience still applicable within a larger audi

ence? They could be, but you may need to adjust slightly.

Your implementation plan, monitoring and evaluation plan,

and resourcing will certainly look different as you potentially

expand your initiative.

Putting it all together

After completing all the steps above, you can summarize your

finding in an AAR A template for completing an AAR for Parts

III and IV is below:

After Action Review Template

Initiative title:

Dates of Implementation:

Location of Implementation:

Observation (Description of Initiative):

Lessons Learned:

Conclusions:

Recommendations (indicate how the initiative could have executed the task(s) better or describe what needs to improve

future performances):

NOTE: Initiators may modify this format to meet their specific needs.

EXAMPLE: AFTER ACTION REVIEW

Initiative title: The Reducing Injury and Obesity Together (RIOT) Initiative at Ft. Fleetwood

Dates of Implementation: 17 September 2017 to 14 January 2018

Location of Implementation: Ft. Fleetwood

Observation (Description of Initiative): The initiative cadre at Ft. Fleetwood completed five activities. These activities consisted of

conducting initial assessments; creating a partnership with AWC, MWR, & dieticians; conducting 10 Mind/Body/Nutrition Classes, com-

pleting post initiative assessments and organization of four Mind/Body/Nutrition Completion Celebrations. Soldiers spilt into teams of

10 (n=2,000, 100% Enlisted). Then, the Soldiers individually met with dieticians and physical trainers prior to beginning their classes to

assess their dietary and physical activity habits. Next, each team attended 10 Mind/Body/Nutrition Classes, one class per week. Last,

Soldiers completed follow-up exams with dieticians and physical trainers.

Lessons Learned: The class time varied, however, classes that focused on injury-adjusted nutrition, and injury-adjusted physical activity

took more time than others did. Post-intervention data showed that Soldiers expressed greater interest in those topics and requested

more information.

Support from the Senior Commander was essential to the success of the program. Presenting the initiative plan to the Senior Com-

mander delayed the implementation; however, Command support ensured participation and financial support.

The approval for the MOA and MIPR caused a delay in the initiative implementation. To adjust for the delay the initiative schedule

changed from a fixed consecutive schedule to a rolling schedule.

Group size changed from 25 to 10 members based on findings in the literature about optimal group size. The smaller group sizes

required an additional scheduled class each day.

Conclusions: The educational initiative has demonstrated several preliminary benefits for 123rd Stryker BDE Post-initiative results

include nutritional test scores among 123rd Stryker BDE Soldiers increased by 12 points and physical fitness test scores increased by 5

points. The 123rd Stryker BDE Soldiers reported a 25% increase in motivation to attend physical training, 25% increase in satisfaction

with physical training, and knowledge of injury prevention methods by 57%. Positive results related to short-term goals imply that the

initiative is showing progress towards achieving the desired end state.

Recommendations (3):

1. Based on the positive outcome results of the RIOT initiative, we recommend that the Ft. Fleetwood Senior Commander provide

resources for the initiative team to complete a 1-year follow-up to evaluation with Soldiers in the123rd Stryker BDE to assess

intermediate outcomes.

2. We recommend that Ft. Fleetwood Command provide the resources to implement the initiative in the Brigades across the installation.

3. Based on the process evaluation results, we recommend that Ft. Fleetwood Senior Commander provide the resources needed to

create a revised initiative. The revised initiative should expand the program from 10 classes to 11 classes. Class 6a will be Adapting

Exercise for Post-Injury Workout-Upper Body and Class 6b will be Adapting Exercise for Post Injury Workout-Lower Body. This

modification should be included in the initiative when it is implemented across the installation.

Develop a Communication Plan

Once you have collected information from your

AAR and thought through the recommendations

you want to make regarding continued implemen

tation and/or replication, you should develop your

plan on what to communicate, to whom, and how.

In short, you should develop a communication

plan.

Some initial questions to ask are:

• Who is a priority and why are they a priority?

• What do they already know about the topic?

• What is crucial for them to know? Where do they

prefer to receive their information?

• What is their preferred format?

• What language level is appropriate?

• When should the information be provided?

The following tool helps you organize your

thoughts so you can determine what your strategy

will be.

EXAMPLE: SUMMARY OF AFTER ACTION REVIEW WITH RECOMMENDATIONS

The RIOT Initiative at Ft. Fleetwood After Action Review, Lessons Learned and Recommendations

The initiative team collected and analyzed preliminary data that show promising results for this initiative at Ft Fleetwood. Soldiers

from the 123rd Stryker BDE, who participated in the initiative, have demonstrated an increase in nutritional test scores and physi-

cal fitness test scores. They also reported an increase in motivation and satisfaction with physical training, as well as an increase in

knowledge of injury protocol during physical activity.

There were several lessons learned from the implementation of this initiative. Classes that focused on injury-adjusted nutrition

and injury-adjusted physical activity took more time than others did. Post-intervention data showed that Soldiers expressed

greater interest in those topics and requested more information.

Support from the Senior Commander was essential to the success of the program. Presenting the initiative plan to the Senior

Commander delayed the implementation; however, Command support ensured participation and financial support.

The approval for the MOA and MIPR caused a delay in the initiative implementation. To adjust for the delay the initiative schedule

changed from a fixed consecutive schedule to a rolling schedule.

Group size changed from 25 to 10 members based on findings in the literature about optimal group size. The smaller group sizes

required an additional schedule class each day.

Based on the positive outcome results of the initiative, the initiative team recommends a 1-year follow-up evaluation with Soldiers

in 123rd Stryker BDE to assess intermediate outcomes and the Command’s continued financial support of the initiative. Addition-

ally, the initiative team recommends expanding the implementation of the initiative across all Brigades at Ft. Fleetwood. Finally,

based on the process evaluation results, the initiative team recommends expanding the program from 10 classes to 11 classes.

Class 6a will be Adapting Exercise for Post Injury Workout- Upper Body and Class 6b will be Adapting Exercise for Post Injury

Workout-Lower Body.

After Action Review With Recommendations

The last step to your AAR is to put it in a narrative form.

Your Summary

Communication Plan Example

Target Audience of

Information (Who

needs to know?)

Goals of Communication

(Why are we

communicating?)

Information to Share

(What information are

we sharing?)

Tools and Strategies

(How will information be

communicated?)

Timeline

(When will information

be shared?)

Considerations

(Is there anything to keep in

mind when communicating?)

My leadership To obtain decision

regarding leader

support for continued

implementation and

expansion

Our lessons learned and

recommendations

1. Continue implementing

2. Consider for expansion

and replication

Decision brief 12 months following initial

implementation

Quickly summarize data

in main body of brief with

more thorough analyses in

the back-up slides; include

completed IEP Abstract

within the brief

Local Commander’s

Ready and Resilient

Council

To keep key partners

informed of initiative

progress; to problem

solve as problems arise

Initiative progress

and lessons learned,

recommendations for

improvement

Briefing Quarterly at CR2C meetings Ensure to get on CR2C

agenda via the local CR2I

Army leadership To inform them about

initiative success and

offer for consideration

as an initiative at the

ACOM level

Evidence of success

or failure of initiative’s

implementation and

outcomes. Potential

Impact for Army-Wide

Implementation

Via the Initiative

Evaluation Process and

Standard IEP templates

found in the IEP Guide

3 months after briefing my

leadership chain on initiative

effectiveness/ data

Army Leadership wants

to make the best use

of resources. Promote

successes and acknowledge

failures. Ensure an one page

summary and BLUF

Unit commanders

and leaders

Initiative progress Expected Level of

Participation. Potential

outcomes and rewards.

Information papers (IP) Every six months IPs should summarize

initiative 5 W’s and any

available evaluation data

Installation

community

To inform them of

what we are doing and

the success we have

experienced

A summary of our

initiative, testimonials

from participants, and

the potential way ahead

Article in the installation

newspaper with link

shared on social media

3 months after briefing my

leadership chain on initiative

effectiveness/ data

Must be written at an 8th

grade level

Communication Plan Template

Target Audience

of Information

(Who needs to

know?)

Goals of

Communication

(Why are we

communicating?)

Information to

(What

information are

we sharing?)

Tools and

Strategies

(How will

information be

communicated?)

Timeline

(When will

information be

shared?)

Considerations

(Is there anything

to keep in

mind when

communicating?)

GOT QUESTIONS?

A Leader’s Guide to After-Action Reviews

http://pagebaldwin.com/fa57/docs/Leader_Guide_to_After_Action_Reviews_SEP2011.pdf

This guide provides instructions regarding how to execute an After-Action Review (both formal and informal

processes).

The Center for Army Lessons Learned (CALL)

https://usacac.army.mil/organizations/mccoe/call/

The CALL vision is to be the Army’s daily focal point for adaptive learning based on lessons and best practices

from the total force; it provides timely and relevant knowledge to the Warfighter and our unified action partners

utilizing integrated systems and interactive technology in order to simplify winning in a complex world. At this

site, you can search for others who have documented their lessons learned and who have tried to implement

strategies to improve the health and readiness of various target populations.

Developing an Effective Evaluation Report: Setting the Course for Effective Program Evaluation

https://www.cdc.gov/eval/materials/developing-an-effective-evaluation-report_tag508.pdf

This guide, developed by the Centers for Disease Control and Prevention, provides excellent resources related to

how to conduct and communicate evaluation findings. Pages 30-38 specifically focus on how to communicate

evaluation findings and ensure use of lessons learned. Pages 54-60 provide tools for developing and document-

ing a communication strategy.

Communication Plan

The last step in creating the communication plan is to put your answers from the table into a paragraph form of a narrative summary.

LET US HELP

Want to learn more about how to plan for scaling and replication of effective initiatives?

“Laying a Solid Foundation: Strategies for Eective Program Replication”

https://www.issuelab.org/resource/laying-a-solid-foundation-strategies-for-effective-program-replication.html

This guide provides several considerations for planning to scale initiatives that have demonstrated their effective-

ness. It provides guidance regarding knowing when to replicate, setting a strong foundation for replication, and

what to do once replication has been set in motion.

“Scaling Social Impact: Strategies for Spreading Social Innovations”

https://ssir.org/pdf/2004SP_feature_dees.pdf

This feature article in the Stanford Social Innovation Review highlights the 5 R’s to consider as you find a path to

scaling that could work for you: Readiness, Receptivity, Resources, Risk, and Returns.

EXAMPLE: COMMUNICATION PLAN

Ft. Fleetwood Communication Plan

The RIOT initiative team developed a tiered communication plan to disseminate

information about the initiative and key findings from the initiative team’s moni-

toring and evaluation efforts. This communication plan includes a briefing to the

Ft Fleetwood Commander’s Ready and Resilient Council (CR2C), a tailored briefing

to the Ft. Fleetwood Senior Commander, and announcements to the Ft. Fleetwood

community via different installation media outlets.

The RIOT initiative team provided a quarterly briefing to the Ft. Fleetwood CR2C to

update the council on the number of participants enrolled in classes, the number

of class sessions completed, whether the initiative was on target for meeting the

enrollment goals, and providing notification that no changes to the initiative were

planned at the time of the brief.

The RIOT initiative team will provide a decision brief to the Ft. Fleetwood Senior

Commander to inform him of the initiative’s most recent results. During the

brief to the Senior Commander, the team will summarize data outlining Soldier’s

increases in: nutritional test scores and physical fitness test scores, satisfaction with

their Brigade, and motivation to attend PT. The team will recommend continuation

of the initiative beginning with conducting additional follow-up evaluations with

123rd Stryker BDE Soldiers to assess sustained effectiveness. Additionally, the

team will recommend expanding the number of classes from 10 to 11 based on

the process evaluation results. Lastly, the team will recommend implementing the

initiative throughout Ft. Fleetwood. If the Senior Commander approves the contin-

uation of the initiative, the team will provide an IP to the other BDE Commanders

at Ft. Fleetwood and the OPSCOM Commander informing them of the initiative’s

progress, as well as potential outcomes and rewards of participation.

Upon approval from the Senior Commander, the initiative team also plans to com-

municate the initiative’s findings and next steps to the Ft. Fleetwood community

by placing an article in the installation newspaper, with links to the article shared

on the installation’s social media accounts.

Your Summary

Congratulations! You have completed all the components of the Initiative Summary. When assembled, your Initiative Summary

will look similar to what follows in this section. You will have three types of summaries to use and share as needed with people

who need to know about your initiative. These include:

Completed example abstract ...............................................................................................................96

Completed example narrative. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98

Completed templates/support forms ......................................................................................................110

PAR T V

Pulling it all Together:

Completed Initiative Example

IEP Abstract Ft. Fleetwood Example

8. Summary of Implementation

(Implement Countermeasures)

• Initiative activities were completed between

19 Jun 17 and 3 Jun 18.

• Created MOAs with AWC, Moral, Welfare and

Recreation and Ft. Fleetwood Dieticians.

• Completed baseline assessment with 2000

Soldiers.

• Conducted 10 weekly educational sessions

with 2000 Soldiers.

9. Summary of Results

(Monitor Process and Confirm Results)

• 2000 soldiers completed pre- and post-

initiative questionnaires.

• Initiative implementers also collected data

from focus groups before (32 attendees) and

after (28 attendees) the sessions.

• Nutritional test scores increased by 12

points.

• Physical fitness test scores increased by 5

points.

• Participants reported a 25% increase in satis-

faction with physical training and 25% increase

in motivation to attend physical training.

• Participants reported a 15% decrease in fear

of injuring themselves while working out.

• Knowledge of injury prevention methods

increased by 57%.

10. Communication Plan

(Standardize and Share)

• Provided quarterly briefings to Command-

er’s Ready and Resilient Council (CR2C) on

initiative progress.

• Will provide Ft. Fleetwood Senior Com-

mander (SC) an initiative results brief.

• Will recommend SC approve continuation of

the initiative to include conducting additional

follow-up assessments, implementing the ini-

tiative throughout the Ft. Fleetwood Installa-

tion, and adding another initiative session.

• Upon approval by SC, will send an Informa-

tion Paper (IP) to all Brigade Commanders

and the OPSCOM Commander.

• Upon approval by SC, will place an article

about the initiative in the installation news-

paper, with links to the article shared on

installation social media accounts.

1. Problem Statement

(Clarify the Problem)

• Ft. Fleetwood injury incidence 1,514 (per 1,000)

vs Army 1,399 (per 1,000)

• Ft. Fleetwood obesity rates 23.3% vs Army 17.3%

• 123

BDE reported high rates of overweight

(25%), fear of injury during PT (30%), and dissat-

isfaction with physical fitness program (75%)

• Trends toward an increase in Soldiers being

medically classified as “Not Fit for Duty”

• Increases in injury and obesity negatively

impact workforce readiness.

2. Factors Contributing to the Problem

(Break Down the Problem)

• Initiative team conducted needs assessment,

intelligence gathering, and brainstorming to

determine contributing factors.

Social determinants included:

1) Army as male-dominant workforce,

2) Soldiers have higher risk jobs

Behavioral determinants included:

1) Fear of injury during PT,

2) Poor eating habits

Environmental determinants included:

1) Transportation challenges,

2) Limited healthy food options

3. Root Causes

(Determine Root Cause)

• Root cause analysis conducted using brain-

storming with community members, intelligence

gathering, and needs assessment.

• Root Cause Analysis Summary included:

Social determinants

a) Recruitment strategies targeted toward males

b) Males rewarded for taking risks

Behavioral determinants

c) Lack of knowledge of injury prevention

techniques

d) Gender differences in food choices

e) Lack of knowledge of healthy eating habits

Environmental determinants

f ) Lack of public transportation on the

installation

g) Dining facility policies that limit eating hours

h) Limited disposable income to buy healthier

foods off the installation

4. Environmental Scale (Determine the Current

State and Potential Partners)

• An environmental scan using a Strengths, Weak-

nesses, Opportunities, Threats (SWOT) analysis

found the following:

Strengths

• Strong installation

support

• Holland Military

Treatment Facility

• Post fitness centers

• Army Wellness Center

• BDE Leadership

Weaknesses

• DFAC hours

• Limited budget

• Personnel shortage

Opportunities

• New fitness

technologies

• Increased

partnerships

• Increased fitness

competitions

Threats

• Policies reduce Soldiers’

reporting of injuries

• Food deserts

• Junior Soldiers’ limited

transportation options

5. Courses of Action

(Develop Countermeasures)

• Selected COA is an educational program that

addresses physical activity training and healthy

eating habits.

• COA was evaluated on the criterion of Accepta-

bility, Suitability, Cost, Distinguishability,

Feasibility, and Impact.

• Additional COA considerations include impact on

Doctrine, Organization, Training, materiels, Lead-

ership, Personnel, Facilities, Policy (DOTmLFP- P).

6. Goals and SMART Objectives

(Set Improvement Target)

• Train 10 BDE staﬀ members to deliver the initiative.

• Increase dietary and wellness knowledge by 25%

for Soldiers following a 10-week program.

• 90 days following program enrollment, increase

by 15% the number of fruits participants con-

sume in a 2-week period.

• Decrease new physical injuries by 10% within six

months of program completion.

7. Implementation, Monitoring, and

Evaluation Plan

• Initiative will recruit 2,000 Enlisted Soldiers to

participate in 10 weekly sessions.

• Health promotion trainers will conduct sessions

at Ft. Fleetwood between 19 Jun 17 and 16 Apr

18.

• Initiative monitoring will include collecting

session attendance, collecting participant

Identify the Problem

Develop Operational Approach

Frame the Problem

Develop Plan

Document Results

Frame the Operational Environment

satisfaction, and completing session activity

checklists.

• Outcome evaluation will collect pre- and

post-session data, to include: nutritional

knowledge, PT satisfaction, dietary and

physical fitness awareness, body fat

percentage, and unintentional injury.

Develop Plan

Back to

IEP Abstract

Brainstorming

Initiative Idea

The Army Wellness Center at Ft. Fleetwood could help Soldiers

in the 123rd Stryker BDE lose weight and prevent injuries

when training physically. As the 123rd Stryker BDE Command

er, my Sergeant Major and I have noticed that many of our

Soldiers are overweight, injured, and we have seen a higher

percentage failing their Army Physical Fitness Test (APFT) over

the last few years and they could benefit from this initiative.

Because of the weight gain and injuries, they cannot pass their

Physical Training (PT) test. If more Soldiers in the BDE pass

their PT test, they would be fully fit to fight. Our BDE readiness

would improve for war, which would be a success for our

Division and the Army.

Identify the Problem: Current State and

Desired End State

Initiative Problem Statement

This initiative creates a Ready and Resilient program to

address problems of injury and obesity for the 123rd Stryker

BDE/1st Division at Ft. Fleetwood. In 2017, within the 123rd

Stryker BDE, a quarter of male Soldiers and almost one-fifth

of female Solders reported being injured. Almost 10% of the

123rd Stryker BDE Soldiers did not pass the height and weight

requirements; this has been slowly increasing over the last 3

years. According to the 2016 Health of the Force report, the

overall injury incidence rate for Ft. Fleetwood is 1,514 (per

1,000), and the rate of obesity is 23.3%. The average Army

injury rate is 1,399 (per 1,000), and the average rate of obesity

is 17.3%. If this problem continues at Ft. Fleetwood, and

within the 123rd Stryker BDE, and perhaps for the brigade and

Division as a whole, the number of Soldiers determined Not

Fit for Duty by the Medical Evaluation Board will increase. The

inability to get Soldiers back to the Brigade decreases overall

readiness of the brigade and affects day-to-day mission and

operations. Additionally, if an increasing percentage of 123rd

Stryker BDE Soldiers do not meet weight standards, readiness

is further negatively affected. Not meeting weight standards

would prevent Soldiers from receiving medical clearance for

deployment.

Ft. Fleetwood Intelligence Gathering

Physical fitness can be described as a general state of well-be

ing, as well as the ability to perform certain aspects of sports

and occupations (Williams, Foster, Sharp, & Thomson, 2009). In

the Army, physical fitness is associated with Soldier resiliency

(i.e., to adjust to adversity) and Soldier readiness (i.e., to be

prepared for any assigned mission). A review of training pro

grams in the military suggested that increased injury rates and

obesity in the Army negatively affect Soldiers’ physical fitness

and overall resiliency and readiness (Cooper & Johnson, 2016).

Thus, published intelligence supports the implementation of a

health promotion program focused on enhancing the physical

fitness and resiliency of the 123rd Stryker BDE at Ft. Fleetwood.

According to Roberts, Lewis, and Clark (2015), male-domi

nated workforce environments, like the Army, have a higher

risk for injury. These environments have been shown to be

associated with a greater willingness of men to engage in

risk-taking behaviors (Miller, 2008). Injury prevention in the

Army is especially important because Soldiers work in high-

risk, competitive jobs with an increased likelihood of injury

(Davis, 2017). Furthermore, the lack of adherence to physical

training protocols increases the likelihood of Soldier injury.

A study conducted by Williams et al. (2009) indicated that

people who do not know how to engage properly in physical

fitness activities, relative to people who do know how to

exercise properly, are more likely to injure themselves. This

finding supports the need to provide a tailored health promo

tion program to 123rd Stryker BDE Soldiers to support injury

prevention efforts.

The intelligence identifies several factors that contribute to

obesity. For example, Smith (2013) suggests an association

between poor eating habits and obesity. This research indi

cates that males are less likely than females to consume fresh

fruit and vegetables, and more likely than females to drink

soda (Smith, 2013). Collectively, this intelligence is applicable

to the Army, where Soldiers may not have direct access to

healthier food options. Additional research by Jones and

Stevens (2010) further suggests that prescribed medications

may cause greater weight gain, decrease energy levels, or

diminish motivation to exercise. These factors may also be

evident in the Army. The health promotion program for the

123rd Stryker BDE Soldiers may provide the necessary tools to

reduce obesity rates at Ft. Fleetwood.

A systematic review by Cooper and Johnson (2016) showed

how targeted education initiatives were associated with lower

injury rates and healthier eating habits rather than general

informational materials. Currently, there are no promising

practices to reduce work related physical injury or obesity for

military populations in the Clearinghouse for Military Family

Readiness. However, programs such as the LE

AN Program

demonstrate that behavioral modification is the strongest

predictor of lasting change.

Collectively, these studies support the implementation of a

new health promotion program that focuses on enhancing

the physical fitness and resilience of the 123rd Stryker BDE.

Physical fitness and training is important for the Army. The

benefits associated with physical training (e.g., reduced injury

risk) would be extraordinarily valuable for 123rd Stryker BDE

Soldiers and their Families.

Reference List

Cooper, N., & Johnson, P. (2016). Systematic review of training

programs on military physical performance. Journal of

Strength and Conditioning Research, 25(4), 750-761.

Davis, R. (2017). Factors contributing to higher injury rates for

U.S. Army Soldiers. Military Medicine, 62(2), 52-60.

Jones, M. I., & Stevens, J. (2010). Association between pre

scribed medications and weight gain. American Journal of

Epidemiology, 175(5), 1010-1015.

Miller, A. (2008). Systematic review of gender differences in

risk-taking. Psychological Review, 11(5), 835-850.

Roberts, L., Lewis, B. A., & Clark, S. (2015). Work environments

and new technology foster increases in competition among

men. Occupational and Environmental Medicine, 75(3), 76-85.

Smith, A. (2013). A comparative analysis of obesity and nutri

tion between males and females. Obesity, 23(1), 275-281.

Williams, T., Foster, L. M., Sharp, K., & Thomson, A. (2009). Risk

factors for heightened injury during exercise. Medicine and

Science in Sports and Exercise, 35(9), 1215-1222.

Ft. Fleetwood Needs Assessment Summary (Narrative

Form)

Injury and increasing rates of obesity are problems found

among 123rd Stryker BDE Soldiers. Four areas that contribute

to these problems are diet, physical fitness, PT satisfaction, and

injury. Comparing the U.S. Department of Agriculture (USDA)

recommended daily intake to the data collected in the last 30

days from the Global Assessment Tool (GAT 2.0), resulted in the

following for the 123rd Stryker BDE Soldiers:

• 47% did not eat the recommended amount of fruit;

• 33% did not eat the recommended amount of vegetables;

and

• 33% did not drink the daily recommended amounts of

water.

According to unit nutrition surveys collected within the last

year, 37% of 123rd Stryker BDE Soldiers reported not knowing

where to get additional information about healthy food

options, and 85% of 123rd Stryker BDE Soldiers wished for

additional nutrition education that would support “strength

training and/or weight loss”. A review of APFT scores and

electronic medical health records (i.e., Armed Forces Health

Longitudinal Technology Applications (AHLTA)) from 2018

shows 7% of 123rd Stryker BDE Soldiers did not meet physical

fitness standards, and 9% did not pass weight requirements;

therefore, a steady increase in the percentage not meeting

these standards has been seen since 2015. Results of the

123rd Stryker BDE satisfaction survey show that:

• 75% of 123rd Stryker BDE Soldiers were dissatisfied with the

physical fitness program;

• 30% reported non-adherence to injury prevention protocol

during physical training;

• 40% lacked motivation to do physical training;

• and 65% reported inadequate knowledge about injury

prevention.

In 2018, information from the APHC Injury Prevention Division

shows that 25% of 123rd Stryker BDE male Soldiers and 19% of

female Soldiers reported being injured. These findings show

that several factors likely affect the rates of injury and obesity

experienced by 123rd Stryker BDE Soldiers at Ft. Fleetwood.

These Soldiers need an initiative that addresses nutrition, physi

cal fitness, injury prevention tactics, and motivation to exercise.

Frame the Problem: Summary of Facts

Bearing on the Problem

Factor Contributing to the Problem: Ft. Fleetwood

Determinants Summary

There are likely several underlying causes for the higher levels

of injury and obesity at Ft. Fleetwood and what we are seeing

within 123rd Stryker BDE Soldiers. The 123rd Stryker BDE

Commander instructed the BDE Behavioral Health Officer to

conduct a determinants analysis that was supported by the

intelligence gathering and needs assessment on high injury

and obesity rates.

There are two social determinants for injuries in the Army:

male-dominated workforce and high-risk jobs. According to the

intelligence, male-dominated workforce environments, like the

Army, usually have higher risk for injury (Roberts, Lewis, & Clark,

2015). The intelligence further associated higher injury rates in

the Army with Soldiers working in high-risk jobs (Davis, 2017).

There are two environmental determinants that community

members brainstormed: transportation challenges and limited

healthy food options. Transportation challenges are the lack

of transportation among Junior Enlisted Soldiers that limits

their ability to reach healthier food options since they are

located further away from the installation (e.g., local farmers

market or full-service supermarket). Limited healthy food

options on or near the installation may cause Soldiers to

choose to eat unhealthier food because of convenience and

could contribute to higher obesity rates.

There are two behavioral determinants: lack of adherence to

injury prevention protocol and poor eating habits for injury

and obesity rates at Ft. Fleetwood. The needs assessment

indicated that some Soldiers do not follow injury prevention

protocol, which may contribute to the unintentional injury

rate. The second behavioral determinant identified in the

needs assessment and brainstorming indicated that poor eat

ing habits might lead to higher obesity rates among Soldiers.

This finding is further supported by intelligence that suggests

an association between poor eating habits and obesity (Smith,

2013).

Ft. Fleetwood Root Causes Summary

The initiative team (123rd Stryker BDE Commander, BDE Ser

geant Major, 1st Division Commander, the Brigade Surgeon,

Executive Officer, BDE Chaplain, BDE Behavioral Health Officer,

BDE S-3, and BDE S-1) conducted a root cause analysis by

brainstorming with five key community members. These

members include two Soldiers from 123rd Stryker BDE , the Ft.

Fleetwood CR2I, a dietitian, and a physical therapist from the

Military Treatment Facility (MTF). In addition to brainstorming,

the initiative team used the needs assessment and intelligence

gathering as their approach tools for the root cause analysis.

The determinant analysis uncovered two social, two envi

ronmental, and two behavioral causes of injury and obesity

among Soldiers in 123rd Stryker BDE at Ft. Fleetwood.

The social determinants were a predominately male workforce

and high-risk job environment. During the root cause analysis,

community members stated that recruitment strategies were

a contributing factor for the unequal sex ratio in the Army.

Additionally, community members stated that traditional

gender roles encourage more males to join the Army than

females. The members also stated that “Big Army” had been

attempting to affect these two factors, and changes were

happening slowly. The second determinant was a high-risk

job environment. During the root cause analysis, community

members stated that traditional gender roles, which reward

males for taking risk, are a root cause for the high-risk job

environment.

“I think that a part of being a Soldier is being placed in a

male-dominated environment. And male-dominated groups

reward you for bravery. So many Soldiers will be more likely to

take risk. It’s not cool to ride with a bicycle helmet; I mean it is

required though.”

Therefore, an environment with more males may be conducive

to promote and reward risk-taking, which increases injury

occurrence. The intelligence further suggests that men are

more likely than women to engage in high-risk behaviors and

men are willing to take larger risks when engaging in risk-tak

ing behaviors (Miller, 2008).

The environmental determinants were lack of transportation

and limited healthy food options. The initiative team conduct

ed a root cause analysis using the “5 whys” to ask community

members why these environmental determinants may be

contributors to higher injury and obesity rates. The commu

nity members stated that reasons for problems with transpor-

tation were due to the lack of public transportation on the

installation taking Soldiers to off-installation restaurants hav

ing healthier food options. Some Soldiers (particularly Junior

Enlisted) did not own cars that they could use to drive off the

installation to restaurants and grocery stores selling healthier

food options. Soldiers from 123rd Stryker BDE pointed out

that, even though there is a commissary on the installation,

its hours of operations did not fit their schedule. Due to the

location of the Junior Enlisted housing, they also stated that it

is too far to walk to the commissary and carry groceries back.

“They say you can walk to the commissary, but there aren’t any

sidewalks, so are we supposed to walk in the street? It’s a 45

minute walk from my place to the commissary, would you want to

carry groceries 45 minutes just to eat, would you eat eggs, milk, or

chicken that you carried in 80-90 degree weather for 45 minutes?”

“I could call for an Uber or a Lyft to get to the commissary but

that’s just another expense which leads to less money for food.

People feel good when they buy a Winter Fest ticket for us, but

nobody is trying or willing to create a carpool for young Soldiers

without cars.”

In addition, community members stated, during the root

cause analysis, that potential causes of limited food options

include: dining facility policies that limit eating hours and

limited disposable income available to buy healthier foods

off the installation. Moreover, Junior Enlisted Soldiers felt

that others who referred them to the Commissary, the Dining

Facilities Administration Center (DFAC), or told them “to hitch

a ride with someone” often dismissed their concerns about

transportation and food options.

“Man, when we get done with training and everything else, policy

is that we can’t wear PT gear in the DFAC, so we have to go back

shower, and change clothes. By the time we get done, the DFAC

is closed. Sometimes it’s just easier to get something out of the

vending machine.”

Because of their low salaries, Junior Enlisted Soldiers were

overrepresented in this category. All community members

agreed that Junior Enlisted Soldiers are often younger and

from lower income backgrounds than other Soldiers.

“I don’t know why people think it is so easy to buy a new car; they

keep saying we have all this money. I send half of my check home to

help my mother and younger brother. I think that people just don’t

understand or want to hear about the issues of Junior Enlisted.”

“The closest car dealership is on the Commander’s Blacklist. So it

would be a drive to even get to another car dealership. Plus, I am

only 20, my friends told me how dealerships like to take advantage of

younger Soldiers because of credit scores and shorter credit history.”

The two behavioral determinants were lack of adherence to

injury prevention protocol and poor eating habits. During the

brainstorming activity, the team identified the Soldiers’ lack of

knowledge of injury prevention while exercising as the root

cause of them not following injury prevention protocol.

“Is there a protocol? All I know is that I need to get 75 sit-ups done

in a minute to beat [name withheld]. [LAUGHTER]”

“What is meant by a proper sit-up? Drill Sarge just told me to do

as many as I can.”

The intelligence indicated that people who do not know

how to properly engage in physical fitness activities, relative

to people who do know how to properly exercise (e.g., good

running form, good weight lifting form, and proper stretching

techniques), are more likely to injure themselves (Williams,

Foster, Sharp, & Thomson, 2009).

The second behavioral determinant was poor eating habits.

Community members stated during the brainstorming analy

sis that gender may be a root cause to poor eating habits. The

intelligence suggests that males consume fewer fresh fruit

and vegetables, and more sodas, than females (Smith, 2013).

The combination of the ratio of male to female of Soldiers in

the Army and male-eating patterns may be a reason why we

observe higher obesity rates in 123rd Stryker BDE Soldiers. In

addition, community members stated during the root cause

analysis that 123rd Stryker BDE Soldiers with poor eating

habits may have less knowledge of healthy eating habits and

are unaware of healthier food options.

“We go to the DFAC and they have labeled things, but I don’t

get why some things are green and some things are red. Why is

the Cajun rice [labeled] ‘red’ but the Chinese fried rice [labeled]

‘yellow’? Aren’t they both fried rice? Wouldn’t the Chinese fried

rice be worse, I mean it says ‘fried’ in the label and I know that

fried foods are worse for you. I don’t get the labels so I don’t follow

them. I just eat what I know is healthier.”

Lastly, community members stated that many Soldiers might

purchase and consume caloric dense foods (e.g., candy, potato

chips, and sodas) because they are easier to access and cost

less money than healthier food options.

“There are healthy options on the installation, but they cost more

money than the unhealthy one. A raw sweet potato is a dollar,

an extra-large fry [sic] is a dollar. If I was a Soldier and I had the

choice, I would buy the French fries too. They are cooked already,

ready to eat, and cost the same amount of money.”

Frame the Operational Environment:

Existing Capabilities, Assumptions, and

Constraints

SWOT Analysis Summary

The initiative team conducted an analysis to identify the

initiative’s strengths, weaknesses, opportunities, and threats

(SWOT). Strengths that will help this initiative are strong

installation support, the Holland MTF at Ft. Fleetwood, the

on-post fitness centers and Army Wellness Center, and 123rd

Stryker BDE and 1st Division Medical Staff and Leadership.

Weaknesses that may hinder the success of this initiative are

DFAC hours, lack of budget, and personnel shortage. Addi

tionally, Soldiers may be taking medications that cause weight

gain, decrease their energy level, or diminish their motivation

to exercise (Jones & Stevens, 2010). Opportunities outside the

organization that may positively support the initiative include

new technology (e.g., fitness trackers and nutrition apps),

increased partnerships, and increased popularity and availa

bility of Invictus Games, Tough Mudder, and Spartan Games

that foster fitness competition (Roberts, Lewis, & Clark, 2015).

Lastly, threats outside the community that may negatively

affect the initiative include policies that reduce Soldiers’ moti

vation to report injury, lack of healthy food choices on and off

the installation, food deserts (having more corner stores than

grocery stores in the community surrounding the installation),

and Junior Enlisted Soldiers with transportation challenges

that prevent them from accessing healthier food options.

Develop Operational Approach

Summary of COA and COA Selection

The initiative team reviewed three possible courses of action

(COAs): maintain the status quo, implement a new busing and

transportation program, and implement a behavioral-based

education initiative.

The first COA was to maintain the status quo and do nothing.

This is not a feasible option because Ft. Fleetwood has higher

than Army average obesity and injury rates; 123rd Stryker BDE

Soldiers’ reported injuries, and APFT failure rates were slowly

increasing. Moreover, based on the needs assessment, 123rd

Stryker BDE was identified as having the highest rate of injury

in the installation. Maintaining the status quo would affect

the Brigade’s and Division’s readiness.

The second COA was to implement a new busing and

transportation program that would address the issues of

limited food options surrounding the installation and lack

100

of transportation among Junior Enlisted Soldiers. This COA

would directly target the policy component of DOTmLPF-P.

We found that this policy change is cost prohibitive, as it

would require the installation to buy additional buses and

hire drivers. Additionally, we explored increasing transporta

tion by communicating with neighboring local governments

and found that making this change would not be possible

during the current fiscal year. Moreover, these transportation

options would address the root causes for the issue of obesity

on the installation, but not the issue of preventable injuries

(Davis, 2017).

Based on the review of these options, the third, recommended

COA is a behavioral-based education initiative that has high

feasibility and potential for high impact on injury and obesity.

This COA would directly target the training component of

DOTmLPF-P. Although this COA has cons, such as the one-time

cost of equipment and the time it takes to achieve long-term

effects, it is the overall better choice; it meets all other criteria,

such as being cost effective when compared to other COAs

and is supported by the intelligence to effectively reduce injury

and obesity (Davis, 2017; Smith, 2013). Therefore, we recom

mend the creation of the Reducing Injury and Obesity Together

(RIOT) Initiative to address the problem of higher rates of injury

and obesity at Ft. Fleetwood.

Name of Initiative: Reducing Injury and

Obesity Together (RIOT) with 123rd BDE at

Ft. Fleetwood

Goals and SMART Objectives

One of the goals of this initiative is to increase the overall

health and fitness of Soldiers in 123rd Stryker BDE and make

sure they are ready and resilient by decreasing the BDE’s

increasing injury rates. Currently, 123rd Stryker BDE’s injury

rates are higher than other brigades’ and the Army’s average.

The initiative plans to meet the goal of reducing injury rates

by teaching Soldiers injury prevention techniques.

Intelligence Gathering has shown that education initiatives are

effective in increasing injury prevention knowledge by 35%

to 80% within 6 months (Williams et al., 2009). Therefore, we

estimate that our education initiative will change injury pre

vention knowledge by 50% based upon the additional compo-

nents that we are including in the training (Cooper & Johnson,

2016). As a result, we believe that an increase in 123rd Stryker

BDE Soldiers’ injury prevention knowledge should be a short-

term outcome of this initiative.

Soldiers should be able to use the injury prevention methods

they learned in the initiative to avoid injuring themselves dur

ing physical training. Information gained during Intelligence

Gathering shows that, over 12 months, about 15%-35% of the

people who were taught injury prevention protocols actually

used the techniques they learned to not injure themselves

while exercising (Cooper & Johnson, 2016). We estimate that

25% of 123rd Stryker BDE Soldiers will use their newly acquired

injury prevention skills. Thus, increasing the percent of 123rd

Stryker BDE Soldiers who follow their injury prevention proto

cols by 25% is one of our intermediate objectives.

Soldiers will be able to use the knowledge and skills gained

through this initiative to change their behavior. Intelligence

Gathering indicates that, after 2 years, at least half of the

participants still used the injury prevention protocols they

learned through the injury prevention education. Because of

continued use of injury prevention techniques, unintentional

injuries decreased between 7%-15% in this group (Cooper &

Johnson, 2016). We anticipate that 123rd Stryker BDE Soldiers

will experience at least a 10% decrease in injury rates from

physical training, if they continue to use the injury prevention

techniques taught by this education initiative.

Ft. Fleetwood Logic Model

101

Process (Operational Approach) Outcomes (Desired State)

Inputs/

Resources

Activities

Outputs

(MOPs)

Short-term Outcomes

(MOEs)

Intermediate Outcomes

(MOEs)

Long-term Outcomes

(MOEs)

Labor

Time

Army Dietician

123rd Stryker BDE Staff

123rd Stryker BDE Soldiers

Public Affairs Officer

Initiative Cadre including

the Initiative Coordinator

Contract

Two Behavioral Health Staff

Two Strength and Conditioning

Trainers

Two Dieticians

Supplies

Educational Materials

Assessment Materials

Food for demonstrations

Equipment

Computers

Injury Prevention Equipment

Portable Cooking Units

Facilities

Army Wellness Center

Morale, Welfare, and Recreation

Commissary

Fitness Center

Printing

Completion Certificates

Create partnerships with Army

Wellness Center (AWC), Morale,

Welfare, and Recreation (MWR),

& Dieticians

Train 123rd Stryker BDE staff

Recruit Participants

Conduct Initial and Final

Assessments

Conduct Mind/Body/Nutrition

Class

Celebrate Completion of Mind/

Body/Nutrition Classes

Meeting Minutes/Notes

Memoranda of Agreement

Completed Soldier Dietary

Records/Diary

Completed Medical Records

Attendance at Mind/Body/

Nutrition Class and Survey

Obesity

Increase awareness of dietary

and wellness requirements by

25%

Increase in physical fitness

awareness for 123rd Stryker

BDE Soldiers by 25%

Increase motivation of Soldiers

to attend physical fitness

training by 25%

Increase 123rd Stryker BDE

Soldiers’ satisfaction with

physical training by 25%

Injury

Increase knowledge of injury

prevention methods by 50%

Obesity

Increase daily water intake of

123rd Stryker BDE Soldiers by

15%

Increase daily fruit intake of

123rd Stryker BDE Soldiers by

15%

Increase daily fresh vegetable

intake of 123rd Stryker BDE

Soldiers by 15%

Increase 123rd Stryker BDE

Soldiers’ participation in

physical fitness by 15%

Injury

Increase the percent of 123rd

Stryker BDE Soldiers who

adhere to injury prevention

protocol by 25%

Obesity

Increase 123rd Stryker BDE

Soldiers who have met desired

Army body fat composition by

20%

Increase percent of 123rd

Stryker BDE Soldiers who met

APFT fitness standards by 12%

Decrease chronic conditions

related to obesity of 123rd

Stryker BDE Soldiers by 15%

Injury

Decrease unintentional injury

of 123rd Stryker BDE Soldiers

by 10%

Decrease chronic conditions

related to lack of fitness of

123rd Stryker BDE Soldiers by

10%

Increase 123rd Stryker BDE

Soldiers’ satisfaction with

physical fitness program by

10% (due to injury reduction)

Assumptions and External Factors

Soldiers will want to participate in the initiative. Space will be available for PT and not be scheduled/booked by someone else. Senior Commander will support and approve the

project. The initiative will be able to secure funding and needed resources for initiative. 123rd Stryker BDE will not be deployed or go on field training exercise during this period.

The AWC will be staffed and operational and will have capacity to support this initiative.

102

Develop Plan

Resources

Resource Requirements Year 1 Year 2+

Labor including Civilian and Military $75,000 $75,750

Workload (is this something new/what is the time or frequency needed) $0 $0

Travel: (People) Operational, training $0 $0

Contracts: Operational, training (Contract costs or number) $372,000 $375,720

Supplies: One-time, recurring $15,000 $15,000

Equipment: One-time, recurring, maintenance $12,376 $0

Transportation: (Things) Shipping $0 $0

Facility used $0 $0

Printing $1500 $1500

Other? $0 $0

Total $475,876 $467,970

Ft. Fleetwood Description of Implementation Plan

From 19 June 2017 to 16 April 2018, the Initiative Cadre will

complete six activities with the 123rd Stryker BDE Soldiers

(n=2,000, 100% Enlisted) at the Ft. Fleetwood AWC. These

activities consist of recruiting participants; conducting initial

anthropometric, nutrition, and previous injury assessments of

individual Soldiers to serve as baseline data and confirm infor

mation of data collected in the 123rd BDE needs assessment;

creating a partnership with AWC, MWR, & Dieticians; training

platoon leaders by AWC and Dieticians; conducting 10 Mind/

Body/Nutrition Classes; and celebrating initiative completion.

The aim is for 100% participation of 123rd Stryker BDE Junior

Enlisted Soldiers; the course serves as an intervention for Sol

diers who are overweight/obese and/or injured, it also serves

as a preventive program to help Soldiers maintain a healthy

weight and prevent new injuries among 123rd Stryker BDE

Soldiers who are currently uninjured or recovering from injury.

Soldiers will be divided into four groups, with the groups hav

ing staggered start dates for their initiative participation. Each

group will consist of 20 teams. Each team will be comprised

of 25 Soldiers. Four teams will complete one session per day.

Each team will attend 10 interactive Mind/Body/Nutrition

Classes, completing one topic per week. The teams will rotate

through the classes. As such, 500 Soldiers will complete each

topic each week. The total number of participants will be

2,000 Soldiers over 40 weeks. The topics of focus for each of

the Mind/Body/Nutrition Classes will include:

Mind (60 minutes each)

Conducted in the classroom by Initiative Cadre

Class 1: Motivation to Exercise and Eat Healthier

Class 2: Conquering Fear of Injury

Class 3: Help-Seeking Behaviors

Body (60 minutes each)

Conducted in the fitness center by Initiative Cadre

Class 4: Correct Form for Physical Activity

Class 5: Injury Prevention Techniques

Class 6: Adapting Exercises for Post-injury Workouts

Nutrition (60 minutes each)

Conducted in the DFAC kitchen by Initiative Cadre

Class 7: Balanced Nutrition

Class 8: Nutrition for Strength Training and Muscle Building

Class 9: Nutrition for Weight Loss

Class 10: Adjusting Nutrition to Account for Reduction of

Physical Activity Due to Injury

103

Reducing Injury and Obesity Together (RIOT) Initiative 10-Week Group Schedule Cycle at Ft. Fleetwood

“Time to RIOT”

Monday Tuesday Wednesday Thursday Friday

Morning Sessions

Teams 1 & 2

Afternoon Sessions

Teams 3 & 4

Morning Sessions

Teams 5 & 6

Afternoon Sessions

Teams 7 & 8

Morning Sessions

Teams 9 & 10

Afternoon Sessions

Teams 11 & 12

Morning Sessions

Teams 13 & 14

Afternoon Sessions

Teams 15 & 16

Morning Sessions

Teams 17 & 18

Afternoon Sessions

Teams 19 & 20

Week 1: Orientation and Participant Data Collection Begins

Week 2-11: Group 1

Week 12-21: Group 2

Week 22-31: Group 3

Week 32-41: Group 4

Week 42: Participant Data Collection Ends

Week 43: Celebration

Monitoring and Evaluation Data Collection Plan

This initiative has a three-prong approach to the monitoring

and evaluation plan.

First, as part of the monitoring plan, the initiative team plans

to assess whether we implemented the initiative as planned.

To ensure this, the initiative team will examine attendance

sheets for each class session, specifically monitoring the date

to ensure that the classes were conducted as scheduled. The

initiative team will also examine the attendance sheets to

determine whether Soldiers were present for the sessions.

Second, as part of the process evaluation plan, the initiative

team will use a session checklist to examine the length of each

class session, adherence to session topics, and differences

between class time and topics covered by the instructor. The

initiative team will collect the data for the monitoring and the

process evaluation concurrently after each session.

Third, as part of the outcome evaluation plan, the initiative

team will examine six guiding questions:

1. Do the nutrition training sessions result in increased

nutrition knowledge among attendees?

2. Do physical training sessions result in improved fitness

test scores?

3. Do the training sessions result in increased motivation of

Soldiers to attend physical fitness training?

4. Does the mind and body training sessions result in in

creased satisfaction with the physical training program?

5. Do the body training sessions result in increased adher

ence to injury prevention protocol?

6. Are there outcome differences based upon instructor?

From June 2017 to April 2018, the initiative team will collect

the data for the outcome evaluation from 123rd Stryker BDE

using a pre-/post-test design. Soldiers will complete a nutri

tion quiz created specifically for the initiative to gauge Sol-

diers’ nutritional knowledge. Soldiers from 123rd Stryker BDE

will also participate in PT Satisfaction Focus Groups before and

after the education program. The initiative team will collect

a Dietary and Physical Fitness Awareness Survey and 123rd

Stryker BDE Satisfaction Survey quarterly, in order to obtain

pre/post-test data for each group. Last, to gauge impact, the

initiative team will examine if the initiative leads to improved

readiness by assessing changes in body fat percentage and

unintentional injury within 123rd Stryker BDE at the beginning

of the program, at the conclusion of the program, and finally,

at a 5-year follow-up. Although an impact evaluation will

only occur if the initiative achieves short, intermediate, and

long-term outcomes, we will collect the baseline information

now to ensure that we have the necessary data to determine

impact in the future.

Ft. Fleetwood Summary of Initiative Implementation

The Initiative Cadre completed five activities to deliver the

injury and obesity prevention initiative with 123rd Stryker BDE

Soldiers at Ft. Fleetwood titled “Reducing Injury and Obesity

Together (RIOT)”. These activities consisted of creating a

partnership with AWC, MWR, & Installation Dieticians; recruit

ing participants, conducting initial and final assessments;

conducting 10 Mind/Body/Nutrition Classes; and providing a

Mind, Body, and Nutrition Completion Celebration.

The Initiative Coordinator met with the representatives of the

AWC, the MWR, and the Installation’s Dietician on 19 June

2017. Originally, the Initiative Coordinator planned to receive

training from the AWC, MWR, and Installation Dietician and

then implement the Mind/Body/Nutrition Classes in a “Train

the Trainer” model using platoon leaders. However, repre

sentatives of the AWC and the Installation’s Dietician showed

interest in teaching the classes themselves to ensure that

104

Soldiers received the correct information and ensure fidelity to

implementation. Therefore, in conjunction with the approval

of the department chiefs, a behavioral health educator, a

strength and conditioning trainer, and a nutritionist agreed

to teach the initiative’s courses. Additionally, the Initiative

Cadre decided to reduce the size of the groups from 25 to

10 members; a systematic review of the literature on military

physical performance education reports that groups of 10 or

less are more effective than larger groups (Cooper & Johnson,

2016). Therefore, the Initiative Cadre hired an additional

behavioral health educator, strength and conditioning trainer,

and nutritionist through contract positions, to conduct initia

tive sessions to complete the initiative with 2,000 participants

within 1 year. These implementation plan changes resulted in

the initiative cadre not completing the “train 123rd Stryker BDE

staff” activity as planned in the original logic model.

Then, the 123rd Stryker BDE Commander, with the support

and advocacy of the CR2I, met with the installation Senior

Commander to present the RIOT initiative and request fund

ing. The Senior Commander approved a Memorandum of

Agreement (MOA) between the installation command and the

APHC AWC; this MOA detailed the role of the local Wellness

Center in the initiative and a Military Interdepartmental Pur

chase Request (MIPR) to release funds to the Wellness Center

on 14 August 2017. The development of the MOA and MIPR

delayed the planned start date of the initiative. The MOA

states that the Senior Commander would provide funds for the

initiative for year 1, with a contingency of continued funding

only if the initiative reported positive results.

Next, the 123rd Stryker BDE Commander and Sergeant Major

worked with platoon leaders to begin participant selection.

From 2 October-4 December 2017, 123rd Stryker BDE Soldiers

completed Initial Assessments (e.g., nutrition quiz) to collect

baseline data for information not found in the needs assess

ment (e.g., Soldier’s nutritional knowledge from the Dietary

and Physical Fitness Awareness Survey (DPF)). The initiative

consisted of four groups with 500 Soldiers. To account for the

smaller teams, each staff member taught five classes per day

instead of four classes from the initial implementation plan

(see table on the next page). Soldiers were assigned randomly

to teams within a given time block. The Mind, Body, and

Nutrition Courses began the week of 23 October 2017. The

schedule was set to allow for breaks because of Federal holi

days. Each group attended 10 Mind/Body/Nutrition Classes:

one class per week (85% completion of all 10 sessions, 90%

completion of 8 or more sessions, and 100% completion of 7

or more sessions) for 10 weeks. The topics for the Mind/Body/

Nutrition Classes were the following:

Mind (60 minutes

Conducted in the classroom by behavioral health educator

Week of Class 1: Motivation to Exercise and Eat Healthier

(average 60 minutes)

Week of Class 2: Conquering Fear of Injury

(average 45 minutes)

Week of Class 3: Help Seeking Behaviors (average 50 minutes)

Body (60 minutes each)

Conducted in the gym by strength and conditioning trainer

Week of Class 4: Correct Forms for Physical Activity

(average 60 minutes)

Week of Class 5: Injury Prevention Techniques

(average 60 minutes)

Week of Class 6: Adapting Exercises for Post-injury Workouts

(average 80 minutes)

Nutrition (60 minutes each)

Conducted in the DFAC kitchen by nutritionist/dietician

Week of Class 7: Balance Nutrition (average 60 minutes)

Week of Class 8: Nutrition for Strength Training and Muscle

Building (average 60 minutes)

Week of Class 9: Nutrition for Weight Loss (average 50 minutes)

Week of Class 10: Adjusting Nutrition to Account for Reduction

of Physical Activity because of Injury (average 75 minutes)

The Initiative Cadre changed from a fixed-group class schedule

to a rolling-group class schedule to account for the administra

tive delays and the new staff hires (see table on the next page).

Soldiers from the 123rd Stryker BDE completed the Final As

sessments from 5 February-3 June 2018. Initiative cadre decid-

ed to have a Mind, Body, and Nutrition Completion Celebration

for each group as they finished the initiative. The 123rd Stryker

BDE Commander handed out completion certificates to the

participants, and the 1st Division Commander spoke about the

importance of readiness and injury prevention.

Ft. Fleetwood Summary of Description of Data Collection

and Results

This initiative creates a physical fitness and resilience program

to address problems of injury and obesity for the 123rd Stryker

BDE Soldiers at Ft. Fleetwood. Initiative implementers collect

ed pre- and post-test data from 123rd Stryker BDE through

PT Satisfaction focus groups and 123rd Stryker BDE Dietary

and Physical Fitness Awareness surveys. The initiative had

high participation due to Command support; 2,000 Soldiers

completed the assessments at the beginning and end of

the initiative. However, because of course attendance, only

1,700 surveys were included in the data analysis. A total of

32 Soldiers participated in the focus groups prior to initiative

implementation, and 28 participated at the end of the 10

105

sessions. Analysts checked transcripts to ensure that changes

in major theme were not due to absence of participants from

pre- to post-initiative.

Monitoring Results

The monitoring data indicated that all planned initiative sessions

were held. However, Federal holidays caused breaks in the

class schedule that were not originally included in the planning

stage. The Initiative Coordinator decided that since many of the

Soldiers would take leave for the holidays, it was better to cancel

the full week of classes instead of having teams within the

same cohort on different lessons within a given week.

“I think there was just the right amount of classes; I’m glad that

they had the break from classes during the holidays because I

know I wouldn’t be able after Christmas and people would have

been mad if they ordered us back to just take these classes.”

“I was glad to take the classes, they were fun. I was always hyped

when it was ‘time to RIOT’. That Thanksgiving break was hard

though. I mean because [name removed] had just talked about

nutrition for weight loss, so I was sitting at the dinner table

remembering, ‘I can have all of my favorites, I just have to have

them in moderation’ since I am trying to cut weight. Yo, I was

glad that [name removed] asked how we are supposed to tell our

families ‘no’, cause my abuela is always trying to fill my plate. I

heard that we were supposed to start the classes earlier but in a

way I am happy that fell right before Thanksgiving.”

Process Evaluation Results

The process evaluation results indicated that classes/sessions on

injury prevention were longer than classes on nutrition. Howev

er, there was no diﬀerence in time or topic based on instructor.

“I think that we had more questions about injury than about food. My

group was mainly female, and I was glad because we could get real

about some of the things that the guys don’t have to worry about.

Like I’m heavy up top, so having a physical trainer that felt comforta

ble talking about injury prevention for women was really good”

“I talked to some of the people in other groups and it seemed like

we were all getting the same information. I didn’t notice that

[name withheld] group had more women, we only had a few

women in my group, but they went over the same information. I

noticed that the injury course took longer. I think they should split

the class up somehow.”

Preliminary Outcome Evaluation Results

The educational initiative has demonstrated several prelimi

nary benefits for 123rd Stryker BDE. The post-initiative results

indicated that nutritional test scores among 123rd Stryker BDE

Soldiers increased by 12 points, and physical fitness test scores

increased by 5 points. The 123rd Stryker BDE Soldiers reported

a 25% increase in motivation to attend physical training and

25% increase in satisfaction with physical training.

““I don’t know if I would change anything. They did a really good

job at talking about adjusting how much you eat and what you

eat when you get hurt. I remember how they showed that 12 oz.

of grape juice has as much sugar as 12 oz. of soda. I thought that

I was being healthy by switching to 100% juice. Now I just try to

drink more plain water. I’m glad that I learned how to read and

understand nutrition labels.”

“I feel like a lot of people are now excited to put into practice what

we learned. Also, it [the initiative] increased the feeling of team

work. Like, I didn’t know that [name withheld] had knee problems.

But, he shared that during the class. So now, instead of thinking

that he is being lazy, I know that he is actually hustling and that

make me want to cheer him on and I think that is motivating

[him] to want to go out there and do what he has to do.”

Additionally, 123rd Stryker BDE Soldiers’ knowledge of injury

prevention methods increased by 57%.

“The craziest thing was learning that I have been running wrong

all these years. After a long run, I used to suffer from these bad

shin splints. I hated running. And you know how the Army is, they

stress running. But after taking this course, I can see what I was

doing wrong and I have tried to change my running style, which

has helped me a lot. I mean I have to be mindful of it. So now

when I run, I am thinking about how my foot is hitting the ground,

how I’m holding my head,…my breathing. [Name withheld] was

right, at first I noticed that my running time wasn’t as good as it

was but I could run farther and I didn’t feel so beat up the next day.

After about 3 weeks, my speed got back to where it used to be and I

feel good running. Like I enjoy it now. Which is awesome.”

Overall, the Ft. Fleetwood injury and obesity initiative is successful.

• The initiative has met two short-term outcomes (a.

increase motivation of Soldiers to attend physical fitness

training and b. increase Soldiers’ satisfaction with physical

training); intended change +25% in a. and b./ actual

change +25% in a. and b.

• The initiative has exceeded one short-term outcomes

(c. increase knowledge of injury prevention methods);

intended change +50% in c./ actual change +57% in c.

• The initiative has not met two short-term outcomes (d.

increase dietary awareness and e. increase physical fitness

awareness). Although Soldiers did not meet the intended

change, they are seeing an improvement in those out

comes; intended change +25% in d. and e./ actual change

+12% in d. and +.02%

106

Reducing Injury and Obesity Together (RIOT) Initiative 10-Week Group Schedule Cycle Example at Ft. Fleetwood

“Time to RIOT”

Time Monday Tuesday Wednesday Thursday Friday

0800-

0900

Team 1 (n=10)

Team 2 (n=10)

Team 11 (n=10)

Team 12 (n=10)

Team 21 (n=10)

Team 22 (n=10)

Team 31 (n=10)

Team 32 (n=10)

Team 41 (n=10)

Team 42 (n=10)

0930-

1030

Team 3 (n=10)

Team 4 (n=10)

Team 13 (n=10)

Team 14 (n=10)

Team 23 (n=10)

Team 24 (n=10)

Team 33 (n=10)

Team 34 (n=10)

Team 43 (n=10)

Team 44 (n=10)

1300-

1400

Team 7 (n=10)

Team 8 (n=10)

Team 17 (n=10)

Team 18 (n=10)

Team 27 (n=10)

Team 28 (n=10)

Team 37 (n=10)

Team 38 (n=10)

Team 47 (n=10)

Team 48 (n=10)

1430-

1530

Team 9 (n=10)

Team 10 (n=10)

Team 19 (n=10)

Team 20 (n=10)

Team 29 (n=10)

Team 30 (n=10)

Team 39 (n=10)

Team 40 (n=10)

Team 49 (n=10)

Team 50 (n=10)

Ft. Fleetwood RIOT Initiative Timeline

Week Start Date Administrative Pre-Test Mind Body Nutrition Post-Test Celebration

1 19-Jun Meeting w/ AWC

9 14-Aug MIPR funds released

15 25-Sep Additional Staff Hired

16 2-Oct Initiative Starts G1

17 9-Oct

18 16-Oct

19 23-Oct G1

20 30-Oct G2 G1

21 6-Nov Holiday Break

22 13-Nov G1

23 20-Nov Holiday Break

24 27-Nov G3 G2 G1

25 4-Dec G2 G1

26 11-Dec G2 G1

27 18-Dec G3 G2 G1

28 25-Dec Holiday Break

29 1-Jan Holiday Break

30 8-Jan G4 G3 G2 G1

31 15-Jan G3 G2 G1

32 22-Jan Holiday Break

33 29-Jan G4 G3 G1

34 5-Feb G4 G3 G2 G1

35 12-Feb G4 G3 G2 G1

36 19-Feb Holiday Break

37 26-Feb G4 G2

38 4-Mar G4 G2

107

These results aligned with similar findings of systematic review

of military physical training initiatives (Cooper & Johnson,

2016) and other studies of obesity prevention (Smith, 2013).

Positive results related to short-term outcomes imply that the

initiative is showing progress towards achieving the desired

end state of continuous implementation; further evaluation

may continue to support the value of the initiative at Ft.

Fleetwood.

RIOT with 123rd Stryker Brigade at Ft. Fleetwood Initiative

After Action Review, Lessons Learned, and Recommendations

The initiative team collected and analyzed preliminary data

that show promising results for this initiative at Ft. Fleetwood.

Soldiers from the 123rd Stryker BDE, who participated in the

initiative, have demonstrated an increase in nutritional test

scores and physical fitness test scores. They also reported an

increase in motivation and satisfaction with physical training,

as well as increase in knowledge of injury protocol during

physical activity.

There were several lessons learned from the implementation

of this initiative. Classes that focused on injury-adjusted

nutrition and injury-adjusted physical activity took more time

than others did. Post-intervention data showed that Soldiers

expressed greater interest in those topics and requested more

information.

Support from the Senior Commander was essential to the

success of the program. Presenting the initiative plan to the

Senior Commander delayed the implementation; however,

Command support ensured participation and financial sup

port.

The approval for the MOA and MIPR caused a delay in the

initiative implementation. To adjust for the delay, the initiative

schedule changed from a fixed consecutive schedule to a

rolling schedule.

Group size changed from 25 to 10 members based on findings

in the literature about optimal group size. The smaller group

sizes required an additional scheduled class each day.

Based on the positive outcome results of the initiative, the

initiative team recommends a 1-year follow-up evaluation

with Soldiers in the 123rd Stryker BDE to assess intermediate

outcomes and the Command’s continued financial support of

the initiative. Additionally, the initiative team recommends

expanding the implementation of the initiative across all

Brigades at Ft. Fleetwood. Finally, based on the process eval

uation results, the initiative team recommends expanding the

program from 10 classes to 11 classes. Class 6a will be Adapt

ing Exercise for Post-Injury Workout- Upper Body and Class 6b

will be Adapting Exercise for Post-Injury Workout-Lower Body.

Ft. Fleetwood Communication Plan

The RIOT initiative team developed a tiered communication

plan to disseminate information about the initiative, and key

findings from the initiative team’s monitoring and evaluation

efforts. This communication plan includes a briefing to the

Ft. Fleetwood CR2C, a tailored briefing to the Ft. Fleetwood

Senior Commander, and announcements to the Ft. Fleetwood

community via different installation media outlets.

The RIOT initiative team provided a quarterly briefing to the

Ft. Fleetwood CR2C to update the council on the number of

participants enrolled in classes, the number of class sessions

completed, whether the initiative was on target for meeting

the enrollment goals, and providing notification that no

changes to the initiative were planned at the time of the brief.

The RIOT initiative team will provide a decision brief to the Ft.

Fleetwood Senior Commander to inform him of the initiative’s

most recent results. During the brief to the Senior Command

er, the team will summarize data outlining Soldiers’ increases

in: nutritional test scores and physical fitness test scores,

satisfaction with their Brigade, and motivation to attend

39 11-Mar G4 G3 G2

40 18-Mar G3 G2

41 25-Mar G3

42 1-Apr G3

43 8-Apr G4 G3

44 15-Apr G4 G3

45 22-Apr G4

46 29-Apr G4

47 6-May Initiative Ends G4

48 3-June G4

108

PT. The team will recommend continuation of the initiative

beginning with conducting additional follow-up evaluations

with 123rd Stryker BDE Soldiers to assess sustained effec

tiveness. Additionally, the team will recommend expanding

the number of classes from 10 to 11 based on the process

evaluation results. Lastly, the team will recommend imple

menting the initiative throughout Ft. Fleetwood. If the Senior

Commander approves the continuation of the initiative, the

team will provide an IP to the other BDE Commanders at Ft.

Fleetwood and the OPSCOM Commander informing them of

the initiative’s progress, as well as potential outcomes and

rewards of participation.

Upon approval from the Senior Commander, the initiative

team also plans to communicate the initiative’s findings and

next steps to the Ft. Fleetwood community by placing an

article in the installation newspaper, with links to the article

shared on the installation’s social media accounts.

109

Answer the questions below to write a problem statement.

Questions Example

1. What is the problem that your

initiative is trying to solve?

1. This initiative creates a Ready and Resilient program to address problems of injury

and overweight/obesity for the Stryker BDE at Ft. Fleetwood.

2. What is happening (current

state) with the group that

your initiative serves? Use

statistics when possible.

2. In 2017, 25% of male Soldiers and 19% of female Soldiers reported that they had an

injury; this has also been slowly increasing. In 2018, 9% of the Stryker BDE Soldiers

did not pass the height and weight requirements; this has slowly been increasing

over the last few years.

According to the 2016 Health of the Force report, the overall injury incidence rate for

Ft. Fleetwood is 1,514 (per 1,000) and the rate of obesity is 23.3%.

3. What should be happening

(desired state) with the

group that your initiative

serves?

3. For our Brigade, past injury rates have been less than 20% for males and 16% for

females; maintaining this or a lower rate of reported injuries should be the mini

mum. The average Army injury rate is 1,399 (per 1,000), and the average Army rate

of obesity is 17.3%.

4. What will happen if this

problem continues?

4. If this problem continues, the number of Stryker BDE Soldiers that the Medical

Evaluation Board determines Not Fit for Duty will increase. The inability to get Sol

diers back to full duty decreases the overall readiness of Stryker BDE and may affect

Brigade and Division readiness (especially if other brigades have similar problems).

Please note: Information about your identified problem may be available in the problem statement field of the CR2C Impact

Tracker. Your local CR2I will have access to the Impact Tracker and may be able to pull this information for you.

Prerequisite Questions Example Answers

What is your idea?

The AWC will help Soldiers in Stryker Brigade (BDE) lose weight and

prevent injuries when physically training.

What problem does your idea address?

Too many 123rd Stryker BDE Soldiers are obese and too many injure

themselves during physical training.

If implemented, whom will your idea help? Soldiers in 123rd Stryker BDE

If implemented, what impact do you think your

idea will have on the affected group?

Soldiers in 123rd Stryker BDE will lose weight and have fewer injuries

from physical training.

How will your idea be implemented?

The AWC will have classes to help Soldiers learn new ways to lose

weight and prevent injuries.

Why do you think your idea is important enough

for execution on your installation?

Our BDE would be more prepared to go to war, which is a big win for

our BDE, our Division, and the Army.

Why do you think your idea is important enough

for execution across the entire Army?

This could help other Soldiers in our Brigade and, even at other posts, if

it works and Command approves.

IEP Completed Tables

110

Factors Contributing to the Problem: Determinants

Social Environment Behaviors

Predominately Male Workforce (IG)

High Risk Job Environment (IG)

Transportation Challenges (BS)

Limited Healthy Food Options (BS)

Lack of adherence to injury preven-

tion protocol (NA)

Soldiers’ Poor Eating Habits (BS, IG, NA)

*IG= factor comes from Intelligence Gathering

*NA= factor comes from the Need Assessment

*BS= factor comes from Brainstorming

Root Causes Write-up

Determinant: Do not follow injury prevention protocol

Root Cause

1 Lack of knowledge of injury protocol

EXAMPLE: SWOT Analysis Questions, Data Sources, and Reponses

The table below provides example questions, data sources, and responses to a SWOT analysis. You can complete this table alone or

using the group process described in the SWOT Analysis Activity Guide. You should answer the questions below to complete your

SWOT analysis. You may need to ask additional questions in each section to fit your initiative.

Questions Example Data Sources Example Responses

1. What resources do you

have in your commu-

nity to support your

initiative?

• Working groups with co-workers

• CR2C

• Strong installation support for injury prevention

• Holland MTF at Ft. Fleetwood

• On-post fitness centers/AWC

• 123rd Stryker BDE Staff and Leadership

• Strength and Conditioning trainers

2. What is happening

in your community

that may prevent your

initiative from being

successful?

• Working groups with co-workers

• Medical record reviews

• Installation Strategic Plan

• PM Department Budget Review

• Division Commander’s Campaign

Plan

• Focus groups with Soldiers

• DFAC hours

• Medication

• Fast food restaurants on installation

• No budget for initiative

• Personnel shortage

• Junior Soldiers (E-4 and below) have transportation

challenges

3. What resources are out-

side of your community

that could support your

initiative?

• MOA

• MOU

• Local health coalition

• Newspapers and magazines

• Television

• Social media apps

• New technology (fitness trackers and nutrition apps)

• More partnerships such as military discounts with gyms

and meal preparation services

• Increased popularity and availability of Invictus Games,

Tough Mudder, and Spartan Games locally

4. What is happening out-

side your community

that will prevent your

initiative from being

successful?

• Focus groups with 123rd Stryker

BDE Soldiers

• DOD Policy Review

• Review of Fleetwood County Cham-

ber of Commerce meeting notes

• Policies reduce 123rd Stryker BDE Soldiers’ motivation to

participate in PT once they receive their Veterans Aﬀairs

ratings

• More fast food choices surrounding installation

• Food deserts, more corner stores than grocery stores

Please Note: Sources of information used to complete the environmental scan may vary for your installation and/or initiative.

111

COA Selection Criteria

Determinant Root Cause COA Pros Cons

Lack of

adherence

to injury

prevention

protocol

Lack of

knowledge

of injury

prevention

protocol

Education

initiative/health

promotion training

C1-An educational initiative is not costly to

implement

C2-Although some money is required to complete

an educational initiative, the risk for adverse events

is minimum

C3-The intelligence gathering supports

implementation of educational initiative to reduce

injury among Soldiers and will address injury and

obesity

C4-An educational initiative is different from other

COAs

C5-The resources are available to conduct initiative

C6-The initiative can affect several Soldiers.

Intelligence Gathering shows that educational

initiatives can have an effect on injury prevention

when implemented effectively

C6–Educational initiative can be an effective

population intervention, but observed effects are

often small, and they take time to observe long-

term behavior impacts; they must focus on skill

building, in addition to knowledge attainment, to

successfully change behavior; they must also be

interactive

Transportation

Problems

Junior Enlisted

members with-

out cars.

Lack of public

transportation

on the installa-

tion

Implement a new

busing and transpor-

tation program.

C4-Transportation initiatives are distinguishable from

educational initiatives.

C6-High impact. May affect other issues on the

installation. People who are not injured or obese will

benefit

C1-Creating a transportation initiative would be cost-

ly even if the costs are shared with local government

C2-The cost of a transportation initiative exceeds the

cost of the educational initiative and only addresses

the issue of obesity and not injury.

C3-A transportation initiative address the issue of

obesity but not injury

C5-Feasibility is low because of cost and the amount

of time it would take to implement

112

Objective Specific Measureable Achievable Realistic Time bound Revision

Ex. Long-Term Outcome

Increase the percent

of 123rd Stryker BDE

Soldiers who have met

desired Army body fat

composition by 50%

over baseline within 2

years after starting the

program.

Yes, objective identifies

123rd Stryker BDE

Soldiers as responsible

for meeting body fat

goals.

Yes, you can see

changes in the number

of 123rd Stryker BDE

Soldiers who meet

the goal by looking at

medical records.

Yes, the resources

needed to teach

classes and follow-up

with 123rd Stryker BDE

Soldiers are available.

No, the increase in

number of Soldiers

who meet the body

fat goal is an unreal-

istic goal in this short

amount of time.*

Yes, the objective

says that we should

see changes within 2

years after starting the

program.

Final objective:

Increase the percent

of 123rd Stryker BDE

Soldiers who have met

desired Army body fat

composition by 20%

within 2-years after

starting the program*

BASED ON ISSUE IDENTIFIED IN PROBLEM STATEMENT: SOLDIER OBESITY RATES

*The 50% increase in 123rd Stryker BDE Soldiers, who have met desired Army body fat composition, was not realistic given the timeline for follow-up. After a discussion between primary care physicians and

initiative leaders, we changed the objective to a 20% change. This level of change is more realistic as it allows Soldiers to transition from Obese to Overweight to Normal Weight at a healthy weight-loss rate.

Ex. Intermediate Outcome

Increase by 15% over

baseline the number of

fruit and vegetables 123rd

Stryker BDE Soldiers con-

sume in a 2-week period

after 1 year of starting the

program, as measured by

the Soldiers’ self-reported

eating habits.

Yes, objective identifies

that 123rd Stryker BDE

Soldiers as responsible

for increase in health

behaviors.

Yes, you can find out if

changes happened by

reviewing self-reported

dietary records in the

GAT 2.0.

Yes, the resources

needed to complete

dietary records are

available for 123rd

Stryker BDE Soldiers.

Yes, a 15% increase

in consumption of

fruit and vegetables is

achievable by 123rd

Stryker BDE Soldiers.

Increase in fruit and

vegetable consump-

tion will lead to the

desired end state.

Yes, the objective says

that we should see

changes in 1 year.

Not necessary.

BASED ON FACTORS CONTRIBUTING TO THE PROBLEM: DETERMINANTS: POOR EATING HABITS

Ex. Short-Term Outcome

Increase dietary and

wellness knowledge by

25% over baseline for

123rd Stryker BDE Soldiers

in a 10-week program

using the Unit Nutrition

Survey.

Yes, the objective

identifies 123rd Stryker

BDE Soldiers as respon-

sible for completing a

10-week initiative.

Yes, you find out

change by comparing

the knowledge of

health and wellness

of 123rd Stryker BDE

Soldiers before and

after the initiative.

Yes, the resources

needed to complete

the initiative are avail-

able.

Yes, 123rd Stryker BDE

Soldiers will be able to

complete the initiative.

Increase in dietary and

wellness knowledge

will lead to the desired

end state.

Yes, the objective says

that we should see

changes in 10 weeks.

Not necessary.

BASED ON ROOT CAUSES: LACK OF KNOWLEDGE

Ex. Output (Process

Objective)

Conduct 123rd Stryker

BDE staff training with at

least 10 staff members

(80%) by week 4 of the

initiative.

Yes, the objective

identifies staff mem-

bers as the intended

population.

YYes, you can create

an attendance sheet to

determine how many

staff members have

completed the training.

Yes, we have the

resources to complete

the training.

Yes, the objective

allows for staff mem-

bers who may be sick

or have planned leave.

Yes, the staff should

complete initiative

training by week 4 of

the initiative.

Not necessary.

BASED ON SELECTED COA TO ADDRESS ROOT CAUSES.

113

Projected Start

Date of Initiative

Activities Populations Physical Location

Who Will Be

Responsible

19 July 2017 Create partnerships with AWC, MWR, & Dieticians

Train 123rd BDE staff

Recruit Participants

Conduct Initial and Final Assessments

Conduct Mind/Body/Nutrition Class

Mind/Body/Nutrition Completion Celebration

2,000 123rd BDE Soldiers Ft. Fleetwood

AWC

Initiative Cadre

Monitoring/

Evaluation Type

Guiding Question Indicator/metric Data Collection Source(s) Data Collection Frequency

Monitoring

Are initiative activities being

implemented to standard?

Each of the 10 sessions are

held for each group

Implementation Tracker (Completed

by Initiative Coordinator)

Ongoing, Documented after each

scheduled session date and reviewed

after completion of each group (set of 10

sessions)

Number of Soldiers

participating in each session

Implementation Tracker (Completed

by Initiative Coordinator)

Ongoing, Documented after each

scheduled session date and reviewed after

completion of each subset of sessions

(Mind, Body, Nutrition)

Process

Are the initiative activities

implemented as intended?

Length of each of the 10

sessions

Session Checklist (completed by

observer)

Each session

All sessions topics were

discussed

Session Checklist (completed by

observer)

Each session

Are there implementation

differences based upon who the

instructor is?

(1) Length of each of the 10

sessions; (2) All session topics

discussed during each session

Session Checklist (completed by

observer)

Each session

Outcomes

114

Monitoring/

Evaluation Type

Guiding Question Indicator/metric Data Collection Source(s) Data Collection Frequency

Do the nutrition training sessions

result in increased nutrition

knowledge among attendees?

Nutrition quiz scores from

before and after the initiative

Dietary and Physical Fitness

Awareness Survey (DPF))

Twice (pre- and post- educational program/

initial and final assessments)

Do physical training sessions

result in improved fitness test

scores?

Physical fitness test scores

from before and after the

initiative

APFT scores from 123rd Stryker BDE

Twice (pre- and post- educational program/

initial and final assessments)

Do the training sessions result in

increased motivation of Soldiers

to attend physical fitness training?

Reported motivation of

Soldiers

(1) 123rd Stryker BDE Satisfaction

Survey; (2) PT Satisfaction focus

groups

Twice (pre- and post- educational program/

initial and final assessments)

Do the mind and body training

sessions result in increased

physical training satisfaction?

Satisfaction score on physical

training satisfaction survey

123rd Stryker BDE Satisfaction

Survey (satisfaction with PT

questions)

Before classes start (baseline) and then

quarterly

Do the mind training sessions

result in increase of injury

prevention protocol?

Number of Soldiers reporting

adherence to injury

prevention protocol

(1) 123rd Stryker BDE Satisfaction

Survey (injury prevention protocol

questions); (2) PT Satisfaction focus

groups

(1) Before classes start (baseline) and

then quarterly; (2) Twice (pre- and post-

educational program)

Are there outcome differences

based upon who the instructor is?

All outcomes metrics

compared across each of the

groups

(1) 123rd Stryker BDE Satisfaction

Survey; (2) PT Satisfaction focus

groups

(1) Before classes start (baseline) and

then quarterly; (2) Twice (pre- and post-

educational program);

Impact (optional)

Do the training sessions lead to

improved readiness?

Body fat percentage

Medical Operational Data System

(MODS)

Three times (Pre- and post-educational

program, and one year follow-up)

Do the training session lead to

improved readiness?

Unintentional injury

incidence

Defense Medical Surveillance

System (DMSS)

Twice (Pre-educational program and one

year follow-up)

115

Date Initiative

Started

Activities

Completed

Who was Responsible

for Executing the

Activity

Physical Location

Intended

Population

Date Initiative

Completed

19 June 2017 Created

Partnership with

AWC, MWR, &

Dieticians

Initiative Coordinator Meeting at AWC

conference room

Health Promotion

Trainers:

Strength

and Training

Coordinator

Dietician/

Nutritionist

Behavior Health

Specialist

13 May 2018

Recruited

Participants in

123rd Stryker BDE

Initiative Coordinator Stryker BDE

Orderly room

123rd Stryker BDE

Soldiers (100%

Enlisted)

Conducted Initial

Assessments

Strength and Training

Coordinator

Dietician/Nutritionist

Ft. Fleetwood

Army Wellness

Center

Initiative Cadre

123rd Stryker BDE

Soldiers (100%

Enlisted)

Conducted 10

Mind/Body/

Nutrition Classes

Health Promotion

Trainers:

Behavior Health

Specialist

Strength and Training

Coordinator

Dietician/Nutritionist

Varies by class

Mind-Classroom

Body-Gym

Nutrition-DFAC

Kitchen

123rd Stryker BDE

Soldiers (100%

Enlisted)

Celebrate Mind/

Body/Nutrition

Completion

Initiative Coordinator

in conjunction with

123rd Stryker BDE

Command

Ft. Fleetwood

Auditorium

123rd Stryker BDE

Soldiers (100%

Enlisted)

Please note: You may find this information in the CR2C Impact Tracker in the Date Initiative Started, Description Of Initiative,

Activities Completed, and Data Initiative Was Completed Fields. Your CR2I will have access to the CR2C Impact Tracker and may

be able to pull this information for you.

116

Desired Outcomes

Indicator(s)/

Metric(s)

Data Collection

Source(s)

Data Collection

Frequency

Description of results/

preliminary findings

Results current

as of

Increase awareness of

dietary and wellness

requirements by 25%

Nutrition quiz

scores from before

and after the

initiative

Dietary and Physical

Fitness (DPF)

Awareness Survey

Quarterly Nutritional test scores among 123rd Stryker

BDE Soldiers increased by an average of 12

points (out of 100) over baseline; changed

from an average of 68 to 80

5 June 2018

Increase awareness of

physical fitness by 25%

Physical fitness test

scores from before

and after the

initiative

DPF Survey Quarterly Fitness test scores among 123rd Stryker

BDE Soldiers increased by 5 points (out

of 300) over baseline; changed from an

average of 261 to 266

5 June 2018

Increase motivation

of Soldiers to attend

physical fitness training

by 25%

Soldiers’ self-

reported

motivation

(1) 123rd Stryker BDE

Satisfaction Survey (2)

PT Satisfaction Focus

groups

Twice pre- and

post- educational

program

123rd Stryker BDE Soldiers reported a 25%

increase in motivation to attend physical

fitness training

5 June 2018

Increase 123rd Stryker

BDE Soldiers’ satisfaction

with physical training by

25%

Physical Training

Satisfaction Score

(1) 123rd Stryker BDE

Satisfaction Survey (2)

PT Satisfaction Focus

groups

Twice pre- and

post- educational

program

123rd Stryker BDE Soldiers reported a

25% increase in satisfaction with physical

training

5 June 2018

Increase knowledge

of injury prevention

methods by 50%

Injury Prevention

Knowledge Score

(1) 123rd Stryker BDE

Satisfaction Survey (2)

PT Satisfaction Focus

groups

Twice pre- and

post- educational

program

123rd Stryker BDE Soldiers’ knowledge of

injury prevention methods increased by

57%

5 June 2018

Please note: This information may be in the Desired Outcomes, Indicators/Metrics, Data Collection Sources, Data Collection Frequency, and Results/Preliminary Findings

Fields in the CR2C Impact Tracker. Your CR2I will have access to the CR2C Impact Tracker and may be able to pull this information for you.

What do I do next?

Now you have finished your Initiative Summary, do you think the Army should implement it enterprise-wide? If so, continue to the IEP-Submission Process to learn how to

submit your initiative for Army-wide review!

117

PART VI

Initiative Life Cycle Description

and Considerations

As you use the IEP Guide to help you with initiative planning

and evaluation, you will walk your initiative through its life

cycle. The initiative life cycle is the stages it undergoes from

its inception as an idea to its termination or growth into a full-

fledged program. Initiative life cycles occur in several stages:

Stage 1 – Initiative Development

Stage 2 – Initiative Implementation

Stage 3 – Initiative Continuation

Stage 4 – Initiative Termination or Expansion

Each section of the IEP will help you complete the activities

needed for each stage of the initiative life cycle. Descriptions of

the stages and the key activities needed for each stage are below.

Stage 1 – Initiative Development

During this stage, you move from identifying the problem

occurring in your community to collecting intelligence on

factors that could be influencing the problem to identifying

a solution. The Defining the Idea section in the IEP Guide will

help you think through how to identify the problem in your

community. You need to understand the root causes and other

factors influencing the problem occurring in your community

to change the conditions effectively. The Intelligence

Gathering and Needs Assessment tools in the IEP Guide will

walk you through useful strategies to gain information; these

tools will help you to better understand what could be causing

or influencing the problem occurring in your community.

Your Intelligence Gathering could include researching what

worked or did not work to address the current problem in

other communities. Taken together, all of this information can

provide some evidence to help you figure out what initiatives

might work to solve the problem identified in your community.

These options can be presented as Courses of Action (COA).

After you select the best COA, the IEP Guide will walk you

through implementation planning, development of goals and

objectives, identification of needed resources, and writing a

description of how you plan to execute your initiative.

It is also important to think through how you would evaluate

the success of your initiative when you are in the initiative

development stage. During this stage, you identify what

indicators you will measure to determine if you implemented

your initiative as intended, how satisﬁed end-users are with your

initiative, and if your initiative achieved your intended outcomes.

The activities associated with Boxes 1-7 of the Initiative

Abstract are relevant to you as you develop your initiative.

Stage 2 – Initiative Implementation

You pilot the execution of your initiative during the Initiative

Implementation stage. During the pilot phase, things may not

always go as you described in your Implementation Plan. This is

normal. This phase is where you might make a lot of adjustments

to how you execute your initiative as you see what works well and

what does not work well in a real-world setting. You could use a

process evaluation to provide you with data about whether the

initiative was implemented as you intended and why/why not

this may have been the case. This evaluation could reveal barriers

to implementation and/or factors that supported the successful

implementation of your initiative. Customer satisfaction surveys

could also be useful sources of data during your process

evaluation to help you ﬁnd out what initiative participants liked

(or did not like) about your initiative and why. Taken together,

these data sources can give you valuable information to help you

decide what process improvement changes you may need to

make to your initiative. As you implement these process changes,

you can continue to use the evaluation techniques described

in this section to provide data on how well these changes

are working. Once you refine your process, you are ready to

progress to the Initiative Continuation stage.

You will use the implementation and evaluation plans

developed in Box 7 of the Initiative Abstract to guide your

initiative implementation and will document what you did

and what you found in Boxes 8 and 9.

Stage 3 – Initiative Continuation

In the Initiative Continuation stage, you consistently

implement your initiative the way it was intended. Now that

the execution of your initiative is running smoothly according

to your model, you start to formalize and standardize your

processes and procedures. This standardization could result

in the creation of policy documents (e.g., Standard Operating

Procedures, handbooks, etc.). At this stage, you want to

collect data to help you determine if measured outcomes

have changed compared to baseline. You could do this

by evaluating change in the determinants and root causes

impacting the problem in your community. You could look

to see if these changes manifested through changes in

knowledge, skills, or behaviors of your program participants,

all of which could affect your short-, intermediate-, and long-

term outcomes. Lastly, you will want to review your logic

model during this stage to determine if the changes you

found matched your anticipated objectives.

The activities associated with Boxes 8 and 9 are most relevant

in this phase of an initiative’s life cycle. If you find positive

initiative effects, you may decide to recommend continued

implementation in Box 10. You may also want to recommend

replication/expansion (see stage 4). If you find that your

initiative is unsuccessful in changing your outcomes, you may

instead decide to recommend termination (see stage 4). Try

to remember that learning what doesn’t work with your target

population is just as important as learning what does work.

Stage 4 – Initiative Termination or Replication/Expansion

In Stage 4, you or your command will decide to replicate it at

another location, stop implementing your initiative, or expand

it to a larger population in the Army. The initiative’s evaluation

findings will influence this decision. For example, you or your

command may decide to terminate your initiative if it has little

or no effect on the desired state.

If your initiative was effective at addressing the problem in your

community, you might want to consider implementing this

initiative at another location (replication) or at a higher level

(expansion) in the Army. Before replicating or expanding your

initiative, you will have to consider if the new target population

has the same identified problem with the same root causes

and factors. For instance, you should consider the influences

that differences in geography, population, and resources have

on the replicability of your initiative. If you or your leadership

decides to replicate or expand the initiative, you will want to

complete the process for Stage 1 – Initiative Development.

If your initiative was unsuccessful at achieving its objectives,

you will still want to complete the activities related to Box 10

of the Initiative Abstract so that others can learn from your

experiences. If your initiative was successful at achieving

its objectives and you are recommending replication or

expansion, you will want to complete the activities associated

with Boxes 1-7 of the Initiative Abstract but with the larger

target audience/command in mind. Some of the information

you collected may still be relevant, but you will want to widen

the scope of your environmental scan, needs assessment, and

so forth, to consider the larger target audience. You may also

have different standards or expectations for implementation

and evaluation and will need to plan for those.

119

APPENDIX A

IEP Submission Process

and Instructions

IEP Submission Process Diagram .......................................................................................................... 121

Submission at the Installation/Local Level ................................................................................................122

Submission at the ACOM/ASCC/DRU/Command Level ...................................................................................124

Submission at the HQDA level. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126

What is the IEP Submission Process?

The Ready and Resilient (R2) Initiative Evaluation Process (IEP)

provides a procedure for advocates for an initiative, Ready and

Resilient Council (CR2C) members, Commanders, and Senior Army

Leaders to submit ideas to the R2 Governance Process for review,

consideration, and possible development as an Army-wide initia

tive and eventual inclusion in the R2 Portfolio of Capabilities.

The IEP Submission Process is a new effort by the Army to

identify, evaluate, and potentially implement R2-related

initiatives that improve the health and resilience of Soldiers,

Civilians, retirees, and/or Family members. This process will:

Help the Army identify initiatives that will improve personal

readiness and future Army policies and programming;

Save the Army money by ensuring initiatives’ effectiveness

before Army-wide implementation; and

Help to ensure that the Army makes evidence-based decisions

about initiatives.

The IEP Submission Process is a series of evaluations and

reviews that validates initiatives that improve the health

and wellness of the Force. Although the completion of the

IEP components and the IEP Submission Process are volun-

tary, initiative champions must complete all components

of the IEP if they decide to submit an initiative to the IEP

Submission Process. The intent of the IEP Process is to add

rigor to the initiative review process without making it a

rigorous process. See page 123 for a visualization of the IEP

Submission Process.

How does the IEP Submission Process help me?

If you have created or implemented an R2-related initiative

at the installation, Command, or Army level and you think

your initiative would be beneficial at an Army-wide level,

the IEP Submission Process takes the information about

your initiative and puts it into the hands of the people who

can recommend your initiative for higher implementation.

Why do you want to submit my initiative to the IEP

Submission Process?

Once you know that your idea or initiative works, some R2

initiative champions may choose to submit their initiative

for consideration for expansion and replication across higher

levels of the Army.

When do you submit an initiative?

You can submit an initiative whenever you think it is ready to

enter the IEP Submission process. The IEP submission cycle is

continuous and does not have a specific submission date.

Is the IEP Submission Process for new initiatives only?

The IEP Submission Process is for new and existing initiatives.

You can submit new initiatives at the “idea” or development

stage if you think that your initiative has the potential for

Army-wide implementation. You can also submit existing or

ongoing initiatives if you want your initiative to be considered

for Army-wide implementation.

Where do you submit the initiative?

You can submit your initiative or idea at one of two levels de

pending on where you work. The two levels of IEP submission

are the installation/local and Army Command (ACOM)/Army

Service Component Command (ASCC)/Direct Reporting Unit

(DRU) (e.g. U.S. Forces Command (FORSCOM), U.S. Training and

Doctrine Command (TRADOC), U.S. Army Pacific (USARPAC)

levels.

Level Submission Recipient

Installation/Local Installation’s Community Ready

and Resilient Integrator (CR2I)

ACOM/ASCC/DRU

(Command)

Command level Health Promotion

Program Officer (HPPO), Com-

mand level G-1

, or designated R2

representative

The IEP submission process is a stepwise process. Initia-

tives implemented at the installation/local level must be

submitted for consideration at the Command level prior to

submission for consideration at the Headquarters, Depart-

ment of the Army (HQDA) level. If the ACOM/ASCC/DRUs

approve your idea for further consideration for Army-wide

implementation at the Command level, the ACOM/ASCC/

DRU will submit your initiative to HQDA G-1, SHARP Ready

and Resilient Directorate (SR2) for scientific review.

The initiative submitters will send their IEP documentation

to G-1, SR2 using the submission materials on the SR2

SharePoint site. Upon receipt of all submission materials,

G-1, SR2 will review the submission. G-1, SR2 will track each

initiative’s progress on the SR2 SharePoint site. Individuals

and Commands can review the status of their initiative on

the SR2 SharePoint site. Additionally, initiative submitters

and Commands will have access to view historical initiatives

submitted to HQDA, SR2 via the SR2 SharePoint site.

What documents do you submit for review in the IEP?

When you submit your initiative for review, you must submit

the following documents: 1) the Initiative Abstract, 2) the

IEP Memo, and 3) documents supporting your IEP Memo.

You must complete the Initiative Abstract (Boxes 1-10)

121

before Army leadership will consider your initiative for

replication and adoption across an ACOM/ASCC/DRU or as

an Army program. Please see the example of the Initiative

Abstract Template and completed Initiative Abstract.

You must complete the IEP Memo before Army leadership

will consider your initiative for replication and adoption

across an ACOM/ASCC/DRU or as an Army program. Ad-

dress your IEP Memo to the Point of Contact (POC) in the

next level of review in the Initiative Evaluation Process. The

memo has to provide a summary of each of the following

items: A) Proposed R2 initiative, B) Problem Statement, C)

Facts Bearing on the Problem, D) Assumptions and Con-

straints, E) Courses of Action (COA), F) Evaluation Criteria,

G) Comparison, H) Summary of Goals, I) Recommendation,

J) Expected Resource Requirements, and K) Point of Con-

tact. Reference Memo enclosures (supporting documents)

according to the memorandum template. The IEP Guide

includes an example IEP Memo Template and completed IEP

Memo for your reference.

The supporting documents (Memo enclosures) are the com-

pleted templates for the initiative components; you must

include them for review prior to considerations for replica-

tion and adoption of your initiative across an ACOM/ASCC/

DRU or as an Army program. The supporting documents

should include the following completed initiative compo-

nent templates: 1) Problem Statement and Background, 2)

Root Causes and Determinants, 3) Needs Assessment, 4)

Intelligence Gathering, 5) Logic Model, 6) SMART Goals and

Objectives, 7) Data Collection Results, and 8) Communica-

tion Plan. You can find example templates and completed

templates for each of these initiative components in their

respective sections.

HQDA ASA M&RA established G-1 as the proponent for R2 initiatives with the Personal Readiness OPORD. As the proponent for R2, the ACOM/ASCC/DRU

commander can delegate his or her decision-making authority to the command level, G-1 or his/her designated R2 representative.

122

IEP Submission Process Diagram

Installation CR2C

reviews IPP

Sends to SC HHQ (ACOM,

ASCC, or DRU). Reviews IPP

for Enterprise applicability

HQDA G1 SR2 Screens

IPP and SMEs perform

Objective Review

Initiative Evaluation Process

Disapproves

Initiative

Proposal

Package (IPP)

Senior

Commander (SC)

decision?

Approves

ACOM,

ASCC, or DRU

SC HHQ

decision?

Assigned proponent

implements Enterprise

initiative. Initiative integrated

into R2 portfolio.

Army R2 Council

Review

Minimum

information provided?

Applicable to

Enterprise?

Army

R2 Council

implementation

decision?

Approves

Forwards to HQDA, G1

Disapproves

STOP

Pilot Study

undertaken

Yes

Additional

objective evidence

required?

Pilot study

indicates

Enterprise

utility?

Yes

Disapproves

DIV/BCT/BN

Tenant/Garrison

Agency

CR2C Working

Group

SYMBOLOGY

Potential Initiative Developer

Installation

SC HHQ (ACOM, ASCC, or DRU)

G1 (SR2)

HQDA

HQDA, G1 (SR2), and Proponent

G1 (SR2), SC HHQ, and Installation

*See Note

*Note: unless stated otherwise, Commanders can still execute an initiative at their echelon, but are responsible for its sustainment.

123

The IEP is intended for Total Army Family use to facilitate the

development of well-documented, evidence-informed ideas

across the Army. The IEP submission and review process at the

installation level consists of two phases: the first phase includes

the completion, submission, and review of the “Defining the

Problem” component. Submissions that meet set criteria

are approved to move on to the second phase: completion,

submission, and review of the other components of the IEP. As

described in Part IV of the guide, the “Defining the Problem”

component contains your thoughts or suggestions as to a

possible course of action to address a particular problem or

meet a specific need that you noticed.

There are five steps for submission at the installation/local level.

SUBMISSION AT THE INSTALLATION/LOCAL LEVEL

1. COMPLETION OF “DEFINING THE PROBLEM” COMPONENT

The IEP has multiple components. However, only the “Defining the Problem” component is included in the

Phase I submission for review. Anyone within the Total Army Family who has an idea that they would like to

propose for potential implementation can complete and submit this component for review.

2. SUBMISSION OF “DEFINING THE PROBLEM” COMPONENT

You or an installation/local level, designated R2 representative, are responsible for completing the “Defining the

Problem” component (Box 1 of the Initiative Abstract) and submitting it to the installation’s CR2I for assignment

to a CR2C working group. Submissions follow one of two courses of action based upon whether or not they meet review

criteria:

“Defining the Problem” submissions designated as not meeting set review criteria by the CR2C Working Group will return to

the submitter for further development. (Return to Step 1)

“Defining the Problem” submissions designated as meeting set review criteria by the CR2C working group are approved to

move on to Phase II of the submission and review process. SR2 will notify submitters of idea approval as the initiative moves

on to the second phase of the IEP. (Move on to Step 3)

3. COMPLETION OF OTHER COMPONENTS

Phase II of the IEP submission and review process requires the completion of the other IEP components (Boxes

2-10 of the Initiative Abstract) for submission. To get started on these remaining components go to Section IV.

As part of the Action Planning process within the CR2C working group, the first step will be to complete boxes 2-7 of the

Initiative Abstract. At this point, the working group should ideally brief the proposed initiative to the full CR2C for concur

rence prior to implementation. Once the CR2C concurs with implementation of the initiative, the installation CR2I will enter

it into the CR2C Impact Tracker. At this point, the initiative champion (and/or CR2C working group) should implement the

initiative and complete boxes 8-10 of the Initiative Abstract. The initiative champion (and/or CR2C working group) should

also prepare the IEP Memo (see IEP Memo Template) addressed to the Senior Commander.

4. COMMANDER’S READY AND RESILIENT COUNCIL REVIEW

Once collection of the data occurs and all components of the IEP (in other words, all boxes of the Initiative

Abstract) and the IEP Memo are completed, the initiative champion (and/or CR2C working group) should brief

the initiative, findings, and recommended way ahead to the CR2C. The CR2C will review this information.

Based upon the review, the CR2C will make a recommendation about your initiative to the installation’s Senior Commander

(SC).

124

5. SENIOR COMMANDER DECISION

After review of the IEP submission, the installation SC determines: (1) whether or not an initiative should contin

ue implementation at the existing level and (2) whether or not consideration of the initiative implementation at

the ACOM/ASCC/DRU (Command) Level based on the information submitted.

With respect to whether or not an idea should continue or implemented at the installation/local level, the SC can decide:

• COA 1: Continue implementation and monitor at the existing level. The SC has the option to locally resource, execute, and

monitor the initiative for continued use within his/her command. Based on findings, he/she may decide to continue to

implement the existing initiative for ongoing data collection, adaptation, and refinement.

• COA 2: Stop implementation. Based on the information provided, the SC may also decide to stop initiative implementation.

This could be because the initiative was ineffective, because resources are no longer available, because the environment

has changed, or for other reasons

• COA 3: Send back for further development or more information. The SC may send the initiative back to the initiative champion

or designated R2 representative for further development. They may work with the CR2I or CR2C Working Group to devel

op the initiative further for resubmission or reconsideration. This may be because the initiative had limited evidence of

effectiveness, and the SC may want to see additional data before making a decision or because the quality of information

provided in the Initiative Abstract and submission needs improvement or is incomplete.

With respect to recommending for implementation at the ACOM/ASCC/DRU (Command) level, the SC can decide:

• COA 1: Submit for consideration at the ACOM/ASCC/DRU (Command) Level. Upon approving initiative package and summary,

the SC or his/her designee can decide to move the initiative package for review at the ACOM/ASCC/DRU (Command) level.

The forwarded package will include a recommendation and supporting data analysis.

• COA 2: Do not submit. The SC may also decide that he or she does want to recommend the initiative for consideration at

the Command level. This could be because the initiative was ineffective, because the submission package is incomplete or

needs additional work, or because while it may be effective at the local level, the SC does not believe it would be relevant

to the larger command.

At this point, the ACOM/ASCC/DRU will decide whether to implement the initiative at the Command level (see next section).

Of note: if an initiative is recommended for implementation at the ACOM/ASCC/DRU level, the Initiative Development ac

tivities (boxes 1-7) need to be completed for this wider-spread implementation. Completion of the Initiative Development

activities could occur as part of the IEP submission package at the local level and vetted at the higher level (if this is some

thing the SC makes as a recommendation). Alternatively, development could occur at the ACOM/ASCC/DRU level.

125

Initiatives can enter the Initiative Evaluation Process one of

two ways at the ACOM/ASCC/DRU (Command) level. If you

work at the installation level, you can submit an initiative for

consideration for expansion at the ACOM/ASCC/DRU level

after successful implementation and demonstration of eﬀec-

tiveness at the installation level. If you work at the ACOM/

ASCC/DRU Command level, you can develop the initiative at

the ACOM/ASCC/DRU level and implement it across multiple

sections of the Command or several units or locations within

the speciﬁc ACOM/ASCC/DRU as part of a multi-site pilot.

There are three steps for submission at the Command level.

SUBMISSION AT THE ACOM/ASCC/DRU (COMMAND) LEVEL

1. COMPLETION OF IEP ABSTRACT, IEP MEMO, AND SUPPORTING DOCUMENTS AND PRESENT

POSITIVE RESULTS

You, the HPPO, G-1, or Command-designated R2 representative complete the Initiative Development activities

(boxes 1-7) for consideration of implementation of the initiative at the ACOM/ASCC/DRU level.

If the reviewed initiative came up from the installation level:

Initiatives implemented at the installation level and submitted to the ACOM/ASCC/DRU level for consideration of expan

sion must have completed all IEP components (Boxes 1-10), the IEP Memo and be supported by positive results (based on

collected and analyzed data as reported in Box 9) and a recommendation from the installation SC. The Health Promotion

Program Officer (HPPO), G-1, or Command-designated R2 representative should vet these documents for completeness

and accuracy. The Command-designated R2 representative will return incomplete submissions to the initiative submitters

without reviewing them.

Completion of the Initiative Development activities (Boxes 1-7) need to occur for wider initiative implementation. The

completed activities may have occurred at the installation level in preparation for consideration of implementing this

initiative at a higher level. If the HPPO at the lower level completed the documents, G-1, or Command-designated R2

representative should vet them for completeness and accuracy. If the Initiative Development activities (Boxes 1-7) for

Command-level implementation were not completed at the installation level, it will be part of the Command-level action

planning process.

If the ACOM/ASCC/DRU developed the reviewed initiative:

The initiative owner, initiative champion, or Command-designated R2 representative must complete the Initiative Develop

ment activities (Boxes 1-7 of the Initiative Abstract) for review by the command level CR2C. To get started on these compo-

nents, go to Section IV.

As part of the Action Planning process within the ACOM/ASCC/DRU level CR2C, the working group should review:

• The ACOM/ASCC/DRU level initiative abstract (Boxes 1-7 completed) and supporting documentation  this applies for

initiatives that come up to the ACOM/ASCC/DRU from the installation level as well as initiatives developed at the ACOM/

ASCC/DRU level.

• The installation-level initiative abstract (Boxes 1-10 completed) and supporting documentation  this applies only if

initiative entered the IEP process at the installation level.

At this point, the CR2C working group should ideally brief the proposed initiative to the full Command-level CR2C for concur

rence prior to implementation. The approval will continue as shown below:

The ACOM/ASCC/DRU level CR2C concurs with initiative implementation according to the plan associated with Box 7 of the

ACOM/ASCC/DRU level Initiative Abstract.

The initiative champion (and/or Command-level CR2C working group) should implement the initiative across the ACOM/

ASCC/DRU (three or more sites) and complete Boxes 8-10 of the Initiative Abstract for this level of implementation.

126

2. COMMAND LEVEL R2 GOVERNANCE REVIEW

Upon collection of all data and components of the IEP (including completion of all boxes of the Initiative Ab

stract and the IEP Memo), the Command CR2I, Command level G-1, or designated R2 representative should brief

the initiative and recommend a way ahead to the Command-level R2 governance (e.g., ACOM/ASCC/DRU CR2C).

Based upon that review, the Command-level CR2C will make a recommendation about your initiative to the ACOM/ASCC/

DRU’s Senior Commander.

3. COMMAND-LEVEL SENIOR COMMANDER DECISION

After review of the completed IEP Initiative Abstract and the IEP Memo, the Command-level SC determines:

(1) Whether or not an idea should continue to be implemented at the existing level.

(2) Whether or not the idea should be considered for implementation at the HQDA level (i.e., become an Army program)

based on the information submitted.

With respect to implementation of an idea, the initiative should continue implementation at the ACOM/ASCC/DRU level; the

ACOM/ASCC/DRU SC can decide:

• COA 1: Continue implementation and monitor at the existing level. The SC has the option to resource, execute, and monitor

the initiative for continued use within his/her ACOM/ASCC/DRU. Based on findings, he/she may decide to continue to

implement the existing initiative for ongoing data collection, adaptation, and refinement.

• COA 2: Stop implementation. Based on the information provided, the SC may also decide to stop initiative implementation.

This could be because the initiative was ineffective, because resources are no longer available, because the environment

has changed, or for other reasons.

• COA 3: Send back for further development or more information. The SC may send the initiative back to the initiative champion or

designated R2 representative for further development. They may work with the designated R2 representative or Command-level

CR2C Working Group to develop the initiative further for resubmission or reconsideration. This may be because the

initiative had limited evidence of effectiveness, and the SC may want to see additional data before making a decision or

because the quality of information provided in the Initiative Abstract and submission needs improvement or is incomplete.

With respect to recommending for implementation at the HQDA level, the SC can decide:

• COA 1: Submit for consideration at the HQDA level. Upon reviewing the initiative package and summary, the SC or his/her

designee can decide if the initiative package is ready for review at the HQDA level. The forwarded package will include the

recommendation to implement across the Army and supporting data analysis. Additionally, this submission may include a

recommendation regarding which Army agency should serve as the proponent for this initiative.

• COA 2: Do not submit. The SC may also decide that he/she does not want to recommend the initiative for consideration

at the HQDA level. This could be because the initiative was ineffective, because the submission package is incomplete

or needs additional work, or because, while it may be effective at the ACOM/ASCC/DRU level, the SC does not believe it

would be relevant across the Army.

At this point, if recommended to proceed, the initiative will undergo HQDA-level review, where the ultimate goal is for HQDA

to decide whether to implement the initiative at the Army level (see next section). Of note: if an initiative is recommended

for implementation at the HQDA level, the Initiative Development activities (Boxes 1-7) need to be completed for this wid

er-spread implementation. This could be completed as part of the IEP submission package briefed at the ACOM/ASCC/DRU

level and vetted at the HQDA level (if this is something the Command level SC wants to see prior to making a recommenda

tion). Alternatively, development could occur at the HQDA level.

127

There are three steps for submission at the HQDA level.

1. SUBMIT IEP ABSTRACT, IEP MEMO, AND SUPPORTING DOCUMENTS AND PRESENT POSITIVE

RESULTS

The ACOM/ASCC/DRU submits the initiative to HQDA G-1, SR2 for scientific review after recommending that

HQDA G-1, SR2 consider implementing the initiative Army-wide.

Initiatives submitted to the HQDA level for review must meet the prerequisite requirements for submission within the R2

Governance Process (Army R2 Council) for approval and recommendation.

Initiatives submitted to the HQDA level for review must include all components, analyzed data supporting the initiative (in

other words, completed Boxes 1-10 of the Initiative Abstract at the ACOM/ASCC/DRU level), and the IEP Memo addressed

to the POC at HQDA G-1, SR2.

ARD SME

2. REVIEW BY HQDA G-1 SR2 AND SME

If all requirements are satisfied, the HQDA G-1 SR2 POC will review all required forms, determine complete

ness; and, if complete, pass the initiative to an SME in the field of assessment and evaluation, resilience, and/

or personal readiness to conduct a scientific review of the initiative. Then, this group will make a recommen

dation regarding whether to implement the initiative Army-wide to the Army R2 Council.

HQDA

3. DECISION BY HQDA G-1 SR2

The Army R2 Council can choose from three possible COAs.

1. Recommend for Army-wide implementation. Based on the information provided, the Army R2 Council may believe an

initiative is well suited for Army-wide implementation.

• If the initiative shows potential as an Army-wide initiative, HQDA G-1 SR2 will identify a lead proponent to coordi

nate this strategic phase initiative development.

• The HQDA G-1, SR2 will coordinate with the identified proponent and the scientific element (e.g., Army Public

Health Center or other SMEs) to develop, implement, and execute the initiative.

If the Vice Chief of Staff of the Army approves the initiative for Army-wide implementation, the Army will implement

the initiative and enter it into the Ready and Resilient (R2) Evaluations process for continued evaluation and monitor

ing according to published procedures.

2. Do not recommend for Army-wide implementation. Based on the information provided, the Army R2 Council may

decide that an initiative is ill suited for Army-wide implementation. An initiative may be rejected, if the initiative is

ineffective, incomplete, requires additional work, or if the collected data was insufficient to make an informed deci

sion. The basis for rejection could also be that the expected benefits do not outweigh the resource requirements,

or because, while it may be effective at the ACOM/ASCC/DRU level, the Army R2 Council does not believe it would

be relevant across the Army. In this case, the ACOM/ASCC/DRU maintains the authority to resource and execute the

initiative at that level or among its subordinate units/at its installations.

SUBMISSION AND REVIEW AT THE HQDA (ARMY) LEVEL FOR CONSIDERATION AS

AN ARMY-WIDE INITIATIVE

128

3. Send back for further development. The Army R2 Council may send the initiative back to the initiative champion or

designated R2 representative for further development. They may work with the designated R2 representative or

Command-level CR2C Working Group to develop the initiative for resubmission or reconsideration. This may be

because the initiative had limited evidence of effectiveness and the Army R2 Council may want to see additional data

before making a decision (which could involve additional data collection and evaluation at the ACOM/ASCC/DRU

level), or because the quality of information provided in the Initiative Abstract and submission needs improvement or

is incomplete.

129

IEP MEMO Template

OFFICE SYMBOL Date

MEMORANDUM FOR U.S. Army [NAME HIGHER LEVEL AGENCY TO WHOM THIS IPP IS

BEING SUBMITTED FOR CONSIDERATION], [ADD STREET NUMBER AND NAME, CITY,

STATE, AND ZIP CODE]

SUBJECT: Initiative Proposal Package for [R2 initiative name]

1. Write a memorandum to the point of contact in the next level of review in the Initiative Evalua-

tion Process (IEP) asking for review of the Initiative Proposal Package. Summarize the package

and its contents in this document. Follow guidance for developing a memorandum as outlined in

AR 25-50, Preparing and Managing Correspondence, Chapter 2. Memo should not exceed two

pages; see section 2-5 of AR 25-50.

2. This memo should provide a summary of each of the following items as required by DA PAM

XX and should highlight the relevant information leaders and their sta should be aware of when

making a decision. Memo enclosures should referenced the memorandum here.

a. Proposed R2 initiative: Summarize the idea in paragraph form.

b. Problem statement: Provide a concise description of the problem.

c. Facts bearing on the problem: Summarize root causes, needs, etc. that led to the devel-

opment of the initiative.

d. Assumptions and constraints: Summarize information from environmental scan (SWOT, etc.).

e. Courses of action (COA): Summarize considered ideas, including the initiative proposals.

(1) COA 1

(2) COA 2

(3) COA 3

f. Evaluation criteria: Describe the evaluation criteria used to determine the COA selected.

g. Comparison: Outline the advantages and disadvantages of your initiative.

(1) Advantages:

(2) Disadvantages:

130

h. Summary of goals, ndings and initiative eectiveness: Provide the BLUF about what

happened when implemented at the lower level.

i. Recommendation:

(1) Proposed COA (initiative). Describe your recommendation for consideration and

initiative replication for adoption across an ACOM/ASCC/DRU or adopted as an Army program.

Include who the target audience is and process used to generate outputs and outcomes that

generate the desired eect.

(2) Recommendations must lay out the envisioned short- (over the course of 1 year),

mid- (2 to 3 years), and long-term (4 years and beyond) outcomes.

j. Expected resource requirements:

(1) Specify manpower (who executes the processes (existing or new)).

(2) List expenditures incurred and anticipated in the future.

k. Point of contact: List of point of contact.

AUTHORITY LINE:

9 Encls SUBMITTER J. DOE

1. Initiative Abstract

2. Problem Statement & Background STANDARD SIGNATURE BLOCK

3. Root Causes and Determinants

4. Needs Assessment

5. Literature Review

6. Logic Model

7. SMART Goals and Objectives

8. Data Collection Results

9. Communication Plan

131

Ft Fleetwood IEP MEMO Example

OFFICE SYMBOL Date

MEMORANDUM FOR U.S. ARMY OPERATIONS COMMAND (OPSCOM), 123 MAIN ST, ANY-

WHERE, TEXAS 45678

SUBJECT: Initiative Proposal Package for Reducing Injury and Obesity Together (RIOT) among

OPSCOM Soldiers

1. This memorandum is requesting BG Black to review the submitted Initiative Proposal Pack-

age for Reducing Injury and Obesity Together (RIOT) initiative for consideration for expansion

of RIOT across Operations Command (OPSCOM). The Initiative Proposal Package contains

a completed proposal, which summarizes the RIOT initiative at Ft. Fleetwood with the 123rd

Stryker BDE and provides documented results of the pilot as instructed by the IEP Guide.

2. This memo provides a summary of the Initiative, Problem Statement, Facts Bearing on the

Problem, Assumptions and Constraints, Courses of Action (COAs), Evaluation Criteria, Compar-

ison of COAs, Summary of Findings, Recommendations, and Expected Resources as required

by Department of the Army Pamphlet 600-24. The following enclosures are included: IEP BLUF,

Problem Statement and Background, Root Causes and Determinants, Needs Assessment, Lit-

erature Review (Intelligence Gathering), Logic Model, SMART Goals and Objectives, and Data

Collection and Results.

a. Proposed R2 initiative: This initiative uses the Army Wellness Center to conduct an edu-

cational and skills building program aimed at reducing obesity and unintentional injury. The ini-

tiative consists of 10 weekly educational sessions conducted in small group format. This initia-

tive is a Ready and Resilient program that addressed problems of injury and obesity for Soldiers

and has shown preliminary evidence of eectiveness.

b. Problem statement: In 2017, the 123rd BDE had the highest unintentional injury rate at Ft.

Fleetwood and 9% did not pass the height and weight requirements. According to the 2016 Health

of the Force report, the overall injury incidence rate for Ft. Fleetwood is 1,514 (per 1,000) and the

rate of obesity is 23.3%. The average Army injury rate is 1,399 (per 1,000) and the average Army

rate of obesity is 17.3%. If this problem continues, the number of 123rd BDE Soldiers determined

by the Medical Evaluation Board to be Not Fit for Duty will increase. The inability to get Soldiers

back to their units decreases the workforce that Commanders have to complete their mission

and operations. Additionally, Ft. Fleetwood Soldiers will not meet weight standards. Not meeting

weight standards prevents Soldiers from receiving medical clearance for deployment.

c. Facts bearing on the problem: Several underlying causes for the higher levels of

injury and obesity exist at Ft. Fleetwood. The team brainstormed, conducted intelligence

gathering, and implemented a needs assessment to gather facts bearing on the problem.

The Intelligence Gathering supported two social factors (or determinants) which were: (1)

that the Army has a predominately-male workforce and (2) Soldiers work in high-risk jobs.

132

Through brainstorming, we discovered two social factors (i.e., transportation challenges and

limited healthy food options on or near the installation). Finally, we found two behavioral

factors (i.e., Soldiers have a fear of injury when engaging in physical activity and Soldiers

have poor eating habits that contribute to obesity). The team conducted a root-cause anal-

ysis and found that root causes of our social determinants included recruitment strategies

that targeted males over females and males receive more rewards for risk-taking than fe-

males. Root causes of the identied behavioral determinants are a lack of knowledge of

injury prevention techniques, gender dierences in food choices, and lack of healthy eating

habits. The root causes of the environmental determinants leading to the development of

this initiative were the lack of public transportation on the Ft. Fleetwood Installation, dining

facility policies that limit eating hours, and limited disposable income to buy healthier foods

o base particularly among Junior Enlisted soldiers.

d. Assumptions and constraints: The initiative team conducted an analysis to identify the

installation strengths, weakness, opportunities, and threats (SWOT) related to implementing

an injury and obesity prevention initiative. Strengths that will help this initiative are strong

installation support from the Holland Military Treatment Facility (MTF) at Ft. Fleetwood, the

on-post tness centers and Army Wellness Center, and the installation’s leadership. Weak-

nesses that may hinder the success of this initiative are dining facility (DFAC) hours, lack of

budget, and personnel shortage. Additionally, Soldiers may be taking medications that cause

weight gain, decrease their energy level, or diminish their motivation to exercise (Jones &

Stevens, 2010). Opportunities outside of the organization that may positively support the ini-

tiative include new technology (such as tness trackers and nutrition apps), increased partner-

ships, and increased popularity and availability competitive tness events such as the Invictus

Games, Tough Mudder, and Spartan Games that foster physical activity (Roberts, Lewis, &

Clark, 2015). Lastly, threats outside the community that may negatively aect the initiative

include policies that reduce Soldiers’ motivation to report injury, lack of healthy food choices

on and o the installation, food deserts (having more corner stores than grocery stores in the

community surrounding the installation), and Junior Enlisted Soldiers with transportation chal-

lenges that prevent them from accessing healthier food options.

e. Courses of action: The initiative team reviewed three possible COAs: maintain the status

quo, implement a new busing and transportation program, and implement a behavioral-based

education initiative.

f. Evaluation criteria: Evaluation of the COAs examined for this initiative used six criteria:

(1) Cost (resources required to reach the desired end state),

(2) Acceptability (the balance of the cost and risks with advantages gained),

(3) Suitability (can it accomplish the desired end state),

(4) Distinguishability (how is it dierent from other COAs),

(5) Feasibility (can it be accomplished within the established time, space, and resource

limitations), and

133

(6) Impact (what level of impact will it have on the desired end state). Additionally, we

examined how the COAs would aect the domains Doctrine, Organization, Training, materiel,

Leadership, Personnel, Facilities, and Policy (DOTmLPF-P) domains.

g. Comparison:

(1) Summary

(a) The rst COA was to maintain the status quo. This COA is not a feasible option

because Ft. Fleetwood has higher rates of injury and obesity than Army average. Moreover, the

needs assessment identied 123rd BDE as having the highest rates of injury on the installation.

Maintaining the status quo would negatively aect the company’s readiness.

(b) The second COA was to implement a new busing and transportation program

that would address the issue of limited food options surrounding the installation and lack of

transportation among Junior Enlisted Soldiers. This COA would directly target the policy compo-

nent of DOTmLPF-P. We found that this policy change is cost prohibitive, as it would require the

installation to buy additional buses and hire drivers. Additionally, we explored increasing trans-

portation by communicating with neighboring local governments and found that making chang-

es to local transportation plans would not be possible during the current scal year. Moreover,

these transportation options would address the root causes of obesity on the installation but not

the root causes of unintentional injury (Davis, 2017).

education initiative that has high feasibility and potential for high impact on injury and obesity. This

COA directly targets the training component of DOTmLPF-P. Although this COA has cons, such as

the one-time cost of equipment and the time it takes to achieve long-term eects, it is the overall better

choice because it meets all other criteria, such as being cost eective when compared to other COAs

and supported by the intelligence to eectively reduce obesity and injury (Davis, 2017; Smith, 2013).

(2) Advantages of the RIOT initiative: Advantages of this initiative include it is less costly

to implement compared to the other COAs, it has a low risk for adverse events, it is distinctly

dierent, we can utilize existing installation space and personnel to implement the initiative, and

it can impact a large number of Soldiers.

(3) Disadvantages of the RIOT initiative: Disadvantages of this initiative include a costly,

one-time purchase of equipment; research shows that educational initiatives can be eective

population interventions, but observed eects are often small; it takes time to observe long-term

behavioral impacts.

h. Summary of goals, ndings, and initiative eectiveness: Between 19 Jun 17 and 13 May

18, the initiative implementers conducted assessments and weekly educational sessions with

2,000 Soldiers from 123rd BDE. Soldiers completed pre- and post- initiative questionnaires

(n=1,700) and participated in focus groups before initiative (n=32) and after the educational

sessions (n=28). Soldiers participating in the initiative were assessed on nutritional knowledge,

nutritional intake physical tness awareness, and satisfaction with physical tness training.

Health educators, dieticians, and strength and condition trainers conducted the educational

sessions. The educational initiative has demonstrated several preliminary benets. Nutritional

test scores among Soldiers increased by 12 points out of 100 points, and physical tness test

134

scores increased by 5 points out of 300 points. Soldiers reported a 25% increase in satisfaction

with physical training, and 25% increase in motivation to attend physical training. The number of

Soldiers who reported being afraid of injuring themselves while working out decreased by 15%.

Finally, knowledge of injury prevention methods increased by 57%.

i. Recommendations:

(1) Based on the observed RIOT Initiative success, we recommend continued data collec-

tion with 123rd BDE and implementation across Fort Fleetwood.

(2) We recommend this initiative be replicated throughout Operations Command (OP-

SCOM) given that many of the problems observed in the 123rd BDE and SWOT analysis identi-

ed at Ft. Fleetwood are applicable across the command. The initiative should target Junior En-

listed Soldiers - particularly those who do not pass Army height and weight requirements, those

who have experienced physical injury in the previous 3 months because of physical tness or

exercising, and those who recently failed Army Physical Fitness Test (APFT).

(3) We envision a 25% increase in awareness of dietary and wellness requirements, a 25%

in physical tness awareness, and a 25% increase in Soldiers’ satisfaction with physical training

throughout the command within 1 year. We also anticipate a 15% increase in daily water intake,

a 15% increase in daily fruit intake, a 15% increase in daily vegetable intake, and a 15% increase

in Soldiers’ participation in physical tness throughout the command within 3 years. Finally, we

anticipate a 10% increase in the number of Soldiers who meet the Army-desired body fat compo-

sition, a 12% increase in Soldiers who meet tness standards, a 15% decrease in chronic health

conditions related to obesity, a 10% decrease in unintentional injury, a 10% decrease in chronic

health conditions related to lack of tness, and a 10% increase in satisfaction with physical tness

programs throughout the installation within 6 years of initiative implementation. To determine

whether these eects are observed, we recommend that the initiative would collect pre-, post-, and

quarterly nutrition surveys; APFT scores; injury rate information; and body composition measure-

ments across OPSCOM.

j. Expected resource requirements:

(1) This initiative will require two Health Educators within each Army Wellness Center, two

Dieticians, and two Strength and Condition Trainers per installation of implementation. OP-

SCOM consists of seven installations with 126,000 Active Duty Soldiers. With recommended

stang at .5 full-time equivalent on this initiative, we estimate that 62.2% (± 5%) of all OPSCOM

Soldiers can receive the training within Year 3, and 100% of all OPSCOM Soldiers can receive

the training by Year 5.

(2) This initiative incurred an average of $471,923 per year per installation, which included

expenses for Labor, Travel, Contracts, Supplies, Equipment, and Printing. We anticipate this

initiative will need an additional $148,000 per year to support Labor, Contact, and Supplies costs

for central oversight of this initiative at the OPSCOM level. Thus, we anticipate it will cost OP-

SCOM an average expense of $493,066 per year per installation to implement and monitor this

initiative.

135

k. Point of contact: Harrison P. Waters, Colonel, U.S. Army.

AUTHORITY LINE:

9 Encls SUBMITTER Harrison P. Waters

1. Initiative Abstract

2. Problem Statement & Background STANDARD SIGNATURE BLOCK

3. Root Causes and Determinants

4. Needs Assessment

5. Literature Review

6. Logic Model

7. SMART Goals and Objectives

8. Data Collection Results

9. Communication Plan

136

APPENDIX B

Contributors and

Acknowledgments

The U.S. Army Public Health Center (APHC) Public Health Assessment Division of the Health Promotion and Wellness Directorate

completed the Initiative Evaluation Process Guide at the request of the SHARP Ready and Resilient Directorate. The Initiative

Evaluation Process Guide is a collaborative endeavor undertaken by the following acknowledged team members and stakeholders.

Initiative Evaluation Process Guide Work Group

Charsey Cherry, Dr.PH.

Biostatistician/Epidemiologist 3