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Assessments and Measures of Effectiveness in Stability Operations Handbook

Handbook 10-41
May 2010

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Chapter 4 - Execute Assessments

The Importance of Collectors

Assessment is a bottom-up process. Collectors at the squad and platoon level gather and organize ground-truth data (see Figure 4-1). Human terrain teams (HTTs), psychological operations teams, civil affairs teams, and provincial reconstruction teams (PRTs) will contribute helpful ground-truth data also. Battalions and brigade combat teams (BCTs) organize, analyze, and present assessment data to provide accurate and timely input to the planning process.

Patrols and key leader engagements provide opportunities to gather information with assessment tools like the tactical conflict assessment and planning framework (TCAPF) questionnaire. This information is consolidated and collated at the company level and forwarded for further consolidation in the TCAPF basic assessment and analysis at higher headquarters.

Battalion and BCT staff elements provide assessment updates in their specialty.

Measure of performance (MOP) criteria are maintained by staff elements and reported in battlefield updates.

Staff leads refine information requirements and input through a collection management plan which deconflicts collectors and has a specific task and purpose.

Impacts are measured by periodic assessment (monthly or quarterly) and are presented to the commander by analysts for plan refinement.

Collectors must understand the importance of their role and how they fit into the overall TCAPF process. The collector is responsible for assessing, identifying the causes of instability and conflict, and implementing an activity (as depicted on the TCAPF wheel diagram). These are three critical steps in the overall 10-step process.

These steps must be integrated into the overall planning (military decisionmaking process or Marine Corps planning process) and execution processes of the unit. TCAPF should not be a separate process or program. It is a way of ensuring we are focused on what is most important for stabilization.

Information is gathered from all segments of the population and at various levels versus relying on just government officials or key leaders. The collector's initial input serves as a baseline which is used to measure improvement. Because it is the population's perspective and not a personal assessment, a shift in the metric will not be seen every time a unit rotates (there is a tendency to want to show progress over each tour). Ideally, the outgoing unit's assessment becomes the incoming unit's baseline.

Input is gathered through the mechanism of a the TCAPF questionnaire. This questionnaire was developed over time and the words were carefully chosen to get the best unbiased responses, so it is important to ask them in exactly the manner which they were intended. Input from the questionnaire will be collected at the company level and entered into a TCAPF database. The database will be used by the analyst to and may result in follow up interviews or more targeted questioning.

Collectors are a cornerstone of an assessment program. The quality of input will greatly affect the analysis of instability and conflict in the area of operations (AO) and subsequently, the design and planning of the programs that are put in place to address the root causes. Platoon, squad and team leaders must be trained to successfully interact with the local population and gather accurate data using TCAPF tools. TCAPF is a bottom-up assessment process that gets to the ground truth from the population's perspective.

Collectors must be trained to execute the following steps:

• Establish a rapport with the individuals chosen for interview.
• Gather information from government officials and the local population.
• Understand the local situation.
• Create a baseline.
• Monitor impact over time.

Collectors can be trained using the TCAPF questionnaire. This is a standardized questionnaire designed for use at the tactical level to facilitate discussions with locals to identify the causes of instability and conflict in an AO. Each answer creates a data point the staff can use to statistically measure local perceptions of the causes of instability and conflict. The four key questions on the TCAPF questionnaire are:

• "Have there been changes in the village population in the last year?"
• "What are the most important problems facing the village?"
• "Who do you believe can solve your problems?"
• "What should be done first to help the village?"

Interviews should be conducted with the following:

• Key informants.
• Traditional leaders (tribal and religious).
• Government officials to include police and army.
• Leading merchants.
• School headmasters/mistresses.
• Clinic director.
• Women.

Note: When conducting interviews, triangulate the information obtained.

Interviewing basics include the following:

• Listen.
• Ask questions.
• Identify interviewee's agenda.
• Realize that interviewers can negatively affect responses.
• Interview should be conducted in a secure, covered area allowing Soldiers conducting the interview to remove body armor, helmet, and ballistic glasses before addressing the interviewee.
• Interpreters should be from the same ethnic group as the interviewees and should be employed in pairs if possible.
• Rehearse with interpreters/interviewers.

Assessment Data

Assessment data (MOPs and MOEs) and survey data are directly used in updating staff estimates and provide the commander with updated information. This provides a clear common operating picture of the AO and the status of programs and activities.

Correlation of TCAPF data is determined by a primary point of contact on the unit staff. Analysis is maintained in the running staff estimate.

The data feeds into the planning process for all planning horizons and is also used to keep higher headquarters (HQ) informed of changes and the status of the AO.

Assessment at company/troop level

At company level, the major assessment actions using the TCAPF are:

• Designated patrols interact with the local population and get the ground truth by collecting survey data, MOP data, and MOE data.
• The company also collates, formats, and quality controls survey data to send to the battalion HQ. Quality control is very important as the TCAPF is a bottom-up assessment process that gets to the ground truth from the population's perspective.
• The company also evaluates and tracks MOP data. The company forwards MOP and MOE data to the battalion.
• The company proposes activities based on survey data and requests additional resources as required.

Assessment at battalion/squadron level

• At battalion level, the major assessment actions using the TCAPF are:
• The battalion HQ collates, formats, and quality controls survey data to send to the BCT HQ. The battalion also provides a basic analysis of its area, proposed activities, and resource requests to the BCT.
• The battalion also evaluates and tracks MOP and MOE data, and forwards MOP and MOE data to the BCT.
• The battalion validates proposed activities and resource requests as required. Requests are sent to the BCT as required. Activities and resource requests within the authority and capacity of the battalion may be approved by the battalion commander (see Figure 4-4).

Assessment at BCT level

At BCT level, the major assessment actions are:

• The BCT HQ coordinates with PRTs to produce an analysis of the AO.
• The BCT HQ sets collection priorities for the HTT and incorporates HTT collections into the BCT's analysis.
• The BCT HQ consolidates and forwards MOP and MOE data.
• The BCT HQ approves activity and resource requests and codifies these approvals in the planning/orders process. (see Figure 4-5).

Assessment at division level

At division level, the major assessment actions are:

• The division HQ consolidates and endorses the analysis of the AO.
• The division HQ sets allocates for the HTT.
• The division HQ consolidates, evaluates, and forwards MOP and MOE data.
• The division HQ approves activity and resource requests and codifies these approvals in the planning/orders process. Denied requests are returned through the BCT to the originating HQ (see Figure 4-6).

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