Military reference books and manuals (2009-2023, Volume 2)

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

Figure 6. Maslow’s Hierarchy of Needs

(b) Maslow's Hierarchy of Needs is represented as a pyramid with the more
basic needs at the bottom. The basic needs of an individual must be met first
and are essential for life and health. The higher needs only become important
when the lower needs have been satisfied. Once an individual has moved
upwards to the next level, the needs in the lower level will no longer be
prioritized. However, if a lower set of needs is no longer being met, the individual
will temporarily re-prioritize those needs by focusing attention on the unfulfilled
needs. The needs are described as:

•

Physiological Needs. Physiological needs of the organism take first

precedence. These consist mainly of: eating, drinking, sleeping, and
shelter. If some needs are not fulfilled, a human's physiological needs take
the highest priority. Physiological needs can control thoughts and
behaviors, and can cause people to feel sickness, pain, and discomfort.

•

Safety Needs. When physiological needs are met, the need for safety will

emerge. When one stage is fulfilled, a person naturally moves to the next.
These include: personal, and family, security from violence, security against
unemployment, health and well-being, safety against accidents/illness.

•

Social Needs/Love/Belonging. After physiological and safety needs are

fulfilled, the third layer of human needs is social. This psychological aspect
involves emotionally-based relationships in general, such as: friendship,
intimacy, and having a supportive and communicative family. Humans need
to feel a sense of belonging and acceptance, whether it comes from a large
social group (such as clubs, work culture, religious groups, professional
organizations, sports teams, gangs) or small social connections (family

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members, intimate partners, mentors, close colleagues, confidants). They
need to love and be loved by others. In the absence of these elements,
many people become susceptible to loneliness, social anxiety, and
depression. This need for belonging can often overcome the physiological
and security needs, depending on the strength of the peer pressure (e.g., an
anorexic ignores the need to eat and the security of health for a feeling of
belonging).

•

Esteem Needs. All humans have a need to be respected, to have self-

esteem, self-respect, and to respect others. People have a need for
recognition in an activity or activities that give the person a sense of
contribution. Imbalances at this level can result in low self-esteem. People
with low esteem often seek respect from others. It may be noted, however,
that many people with low self-esteem will not be able to improve their view
of themselves simply by receiving fame, respect, and glory externally, but
must first accept themselves internally.

•

Self-actualization. Self-actualization falls into the psychological

requirements level on Maslow’s pyramid. This is the instinctual need of
humans to make the most of their abilities and to strive to be the best they
can. They embrace the facts and realities of the world (including
themselves) rather than denying or avoiding them. They are spontaneous in
their ideas and actions. They are creative. They are interested in solving
problems; this often includes the problems of others. Solving these
problems is often a key focus in their lives. They feel closeness to other
people, and generally appreciate life. They have a system of morality that is
fully internalized and independent of external authority. They have
discernment and are able to view all things in an objective manner. In short,
self-actualization is reaching one's fullest potential. The advisor wants to
seek out these people and win them over.

(2) Culture. Culture reflects the beliefs, values, attitudes, traditions, customs, and
norms of a society or a group and is addressed as a situation-specific skill. Chapter
IV is devoted to its discussion.
(3) Personality. While Maslow’s theory shows a commonality between all people,
no two people are exactly alike. Often groups are thought to act and think alike
under similar circumstances but this is a false impression. Two biological brothers
could be raised in the same house under the same conditions and have completely
opposite personalities. If advisors can identify a few critical aspects of the
personality of the people they are dealing with, they may be more effective in
selecting techniques to influence them. At the very least, it may help to explain the
activities of individuals when they act differently than their needs or culture would
indicate. Below are five factors that advisors should be able to assess by speaking
with and observing the people they come in contact with.

(a) Extroversion – Introversion. People with a preference for extroversion draw
energy from action: they tend to act, then reflect, then act further. If they are
inactive, their level of energy and motivation tends to decline. Conversely, those
whose preference is introversion become less energized as they act: they prefer

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to reflect, then act, then reflect again. Extroversion is marked by pronounced
engagement with the external world. Extroverts enjoy being with people, are full
of energy, and often experience positive emotions. They tend to be enthusiastic,
action-oriented individuals who are likely to say "Yes!" or "Let's go!" to
opportunities for excitement. In groups they like to talk, assert themselves, and
draw attention to themselves. Introverted people prefer time to reflect in order to
rebuild energy. Someone with a clear extroversion preference is not necessarily
a party animal or a show-off, any more than someone clearly preferring
introversion is necessarily shy, retiring, and unsociable. An introverted person
meeting another introverted person may begin a conversation with recognition of
a shared interest and continue with a rapid exchange of data and theories.
Introverts lack the social exuberance, energy, and activity levels of extroverts.
They tend to be quiet, low-key, deliberate, and less dependent on the social
world. The introvert simply needs less stimulation than an extrovert and more
time alone to re-charge their batteries. Samples of extroversion-introversion
questions are below and may be reversed to ask the opposite question:

•

Does he like being the center of attention?

•

Does he enjoy meeting (interacting) with lots of people?

•

Does he feel comfortable around people?

•

Does he start most conversations?

•

Does he talk to a lot of different people in a relaxed setting?

•

Is he quiet around strangers?

•

Does he try to avoid drawing attention to himself?

•

Is he reserved when talking?

•

Does he have little to say?

(b) Sensing–Conceptualizing. This factor refers to how people gather
information: sensing (touch, taste, sight, smell, sound)–conceptualizing (thought-
reflection). Sensing–conceptualizing describes a dimension of personality that
distinguishes imaginative, creative people from down-to-earth, conventional
people. The factor describes how new information is understood and interpreted.
Individuals with a preference for sensing prefer to trust information that is in the
present, tangible and concrete: that is, information that can be understood by the
five senses. They tend to distrust hunches that seem to come out of nowhere.
They prefer to look for detail and facts. For them, the meaning is in the data.
They prefer the plain, straightforward, and obvious over the complex, ambiguous,
and subtle. Sensing people tend to prefer familiarity over novelty; they are
conservative and resistant to change. On the other hand, those with a
preference for conceptualizing tend to trust information that is more abstract or
theoretical and that can be associated with other information (either remembered
or discovered by seeking a wider context or pattern). They may be more
interested in future possibilities. They tend to trust those flashes of insight that
seem to come from the unconscious mind. The meaning is in how the data
relates to the pattern or theory. They therefore tend to hold unconventional and
individualistic beliefs, although their actions may be conforming. Samples of

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sensing–conceptualizing questions are below and may be reversed to ask the
opposite question:

•

Is he full of ideas?

•

Is he quick to understand things?

•

Does he speak with a rich vocabulary?

•

Does he spend time reflecting on things?

•

Is he disinterested in abstract ideas?

•

Does he have difficulty understanding abstract ideas?

(c) Logic–Values. This refers to value-based or logic-based decision making.
Both value based and logic based people strive to make rational choices, based
on the data received. Those with a preference for values prefer to come to
decisions by associating or empathizing with the situation, looking at it "from the
inside" and weighing the situation to achieve, on balance, the greatest harmony,
consensus and fit, considering the needs of the people involved and unverifiable
rules. Those with a preference for logic prefer to decide things from a more
detached standpoint, measuring the decision by what seems reasonable, logical,
causal, consistent, and matching a given set of verifiable rules. People with a
logical preference do not necessarily "think better" than their value based
counterparts; the opposite preference is considered an equally rational way of
coming to decisions. Similarly, those with a value based preference are not
necessarily 'more feeling' or emotional than their logically based peers. Leaving
no man behind would be considered as a values decision rather than a logical
decision. It does not make logical sense to lose more living men to recover dead
ones. It makes perfect sense based on values. Samples of logic–values
questions are below and may be reversed to ask the opposite question:

•

Is he interested in people?

•

Does he empathize with others?

•

Is he soft hearted?

•

Does he make people feel at ease?

•

Does he take time out for others?

•

Is he disinterested in other people’s problems?

•

Does he feel little concern for others?

•

Does he insult people?

(d) Contemplative–Impulsive. Contemplative–impulsive concerns the way in
which we control, regulate, and direct our impulses. Impulses are not inherently
bad; occasionally time constraints require an immediate decision and acting on
our first impulse. Contemplative individuals tend to avoid trouble and achieve
high levels of success through purposeful planning and persistence. They are
also regarded by others as reliable. They can be compulsive perfectionists and
workaholics. Impulsive people may be criticized for their unreliability, failure to
remain focused, and failure to stay within the lines and praised for their ability to
make quick decisions or adapt to new situations. Samples of contemplative–
impulsive questions are below and may be reversed to ask the opposite
question:

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

•

Is he always prepared?

•

Is he exacting in his work?

•

Does he follow a schedule?

•

Does he get chores done right away?

•

Does he like order?

•

Does he pay attention to details?

•

Does he leave his belongings lying around?

•

Does he shirk his duties?

(e) Consistent–Unpredictable. Consistent-unpredictable refers to the tendency
to follow a set pattern. Those who are highly unpredictable are often emotionally
reactive. They respond emotionally to events that would not usually affect most
people, and their reactions tend to be more intense than normal. They are more
likely to interpret ordinary situations as threatening, and minor frustrations as
hopelessly difficult. Their negative emotional reactions tend to persist for
unusually long periods of time, which means they exhibit frequent and significant
mood swings. These problems in emotional regulation can diminish the ability to
think clearly, make decisions, and cope effectively with stress. At the other end
of the scale, individuals who are consistent are often less easily upset and are
less emotionally reactive. Samples of consistent-unpredictable questions are
below and may be reversed to ask the opposite question:

•

Is he easily disturbed?

•

Does he change moods a lot?

•

Is he easily irritated?

•

Is he stressed out easily?

•

Does he get upset easily?

•

Does he worry about things?

•

Is he relaxed most of the time?

•

Does he follow a set pattern?

•

Does he react the same to similar circumstances?

(f) Implications. The point here is to acknowledge that people from the same
culture or social group may act differently but still base their behavior on some
form or pattern that may help to predict how they will act in the future. Cultures
tend to favor specific personality traits. Extroversion, sensing, logic and
impulsive behavior are perceived as socially desirable preferences in Western
culture. Other cultures will be different. Americans revere personal time. In
some cultures, seeking personal time would lead people to believe there is a
serious problem and they would intrude to provide support.
(g) Application. Understanding the needs, culture, and personality of an
individual is key to building rapport. Building rapport is central to advisor mission
accomplishment.

4. Building Rapport

a. Rapport Defined. Numerous sources dealing with advising, often as part of COIN or
FID, emphasize the importance for advisors to develop strong positive rapport with their

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counterparts. This section looks at the definition of rapport; its role in advisor missions;
possible ways to develop adequate rapport to accomplish the mission; and other
interpersonal skills supporting the advisor’s mission. Rapport may be defined as
understanding, empathy, or bonding between individuals. Establishing rapport is the
desired method for influencing a counterpart. Genuine rapport is developed slowly, but
can be ruined in an instant. Why rapport?  Quite simply, effective rapport will allow
advisors to successfully complete their missions. The advisor must be able to influence
their counterpart to follow a particular course of action or behavior pattern. Since the
advisor is not in the counterpart’s chain of command, they cannot simply order any
specific action, but rather needs the counterpart to follow the desired course of action by
working toward a commonly developed goal.  The measure of effective rapport is
whether the advisor can influence his counterpart to take the desired action.
b. Components of Rapport.  Rapport is comprised of three components: understanding,
respect, and trust.

(1) Understanding is the first component of rapport. It begins prior to deployment
and may include cultural studies, language training, and FF equipment and doctrine
familiarization. Once in country, advisors should continue to broaden their
understanding by observing and asking questions.
(2) Respect is the next component of rapport. It is a reciprocal commodity. The FF
counterpart should grow to respect who the advisor is (character), what they know,
and how they perform. The advisor should look for those things that they respect in
their counterpart. This is often a challenge. The counterpart may not fit the mold of
US or other coalition officers. They may not have formal training or education; they
may even be illiterate. Their “uniform standards” may not be the same as the
advisors. They may have more egregious characteristics, like corruption, a poor
attitude towards their profession or even a lack of basic warrior values such as
courage. In this instance, outward displays by the advisor should be respectful with
the advisors true opinion held in abeyance and not communicated to his counterpart.
Start with the basics and expand over time. There may be additional factors that
affect your counterpart’s willingness and motivation. For example, your counterpart
may be placing himself, and possibly his family, in mortal danger simply by
accepting their job. They may have proven themselves as fearless warriors, even if
they didn’t have formal training. In short, there may be traits deserving of respect
even before the relationship matures. Mutual respect grows through shared
experiences and shared dangers. Advisors should live, eat, and if authorized, fight
with their counterparts. Sharing hardships and dangers will help you build respect.
(3) Trust is the final critical component of the rapport building process. Trust grows
only over time and is based on understanding and respect. Building trust needs to
begin on day one, but it will not mature until later in the relationship. There also
remains a possibility that the advisor’s counterpart may not prove worthy of complete
trust. In this instance the advisor may need to constantly mitigate the counterpart’s
shortcomings. The advisor should begin by showing that they are reliable and
should do everything that they say they will do. They should be where they are

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supposed to be, on time. Trust will develop as FF and their advisors perform their
respective functions. Two things can enhance this growth:

(a) The advisor should start out with “confidence-building missions.” Early
success will build both self-confidence and trust.
(b) The advisor should not “promise” any support that he might not be able to
deliver.

(4) Since all the components of rapport are two-way streets, the advisor has to be
willing and able to share things about their culture, language, and experiences. It is
important to remember that rapport building requires the advisor to establish a
personal level of understanding with their counterpart in order to be effective.

c. How to Build Rapport. Be a positive example. FF respect advisors who actually
show them the right way to do a task, rather than just talk. Experience has shown that
FF units will not hesitate to go into danger if their advisors are right there with them.
The following areas also contribute to building rapport:

•

Maintaining enthusiasm and a positive attitude.

•

Developing language skills and/or the ability to utilize an interpreter.

•

Respecting a counterpart’s rank, age, status, and experience.

•

Developing negotiation skills.

•

Improving interpersonal skills.

•

Being confident, competent, and capable.

•

Never expecting or demanding your counterparts do something you are

unable or unwilling to do.

•

Demonstrating everything.

•

Learning your counterparts’ names and spending time with them on their

compound at meals and during holidays.

•

Mentally preparing yourself to interact with your counterparts at all times.

•

Avoiding the creation of an American enclave, an advisor assignment

requires constant interaction to achieve the desired results.

•

Frequently assessing your counterpart’s perceptions.

•

Avoiding the impression of favoring any one group.

•

Recognizing threats to discipline (foreign forces trying to circumvent their

own leadership by going to an advisor with a complaint or problem).

•

Enforcing the unit’s chain of command even if the advisor discretely

assists the decision process and outcomes.

d. Rapport Considerations

(1) Language. Advisors should make every effort to learn to communicate
effectively in their FF counterpart's language. Generally, advisors that can converse
directly with their counterparts are more effective. If language proficiency is not an
option, learn to work with an interpreter. It is still essential to learn enough of the
language for basic items like greetings. It helps to have enough of an understanding
to catch the basic direction of conversations, even those between the interpreter and
the counterpart. The advisor should attempt to improve their language proficiency
over time as this will be a well received gesture of respect.

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(2) Body Language/Gestures. Body language and gestures are more powerful than
verbal language. Subtle movements of the body may indicate that a person
understands the message that is being conveyed. Likewise, conflicting messages
may be sent by unintentional body language or gestures.
(3) Local Customs. Respecting local customs goes a long way in building effective
rapport. In every culture, refusing invitations is seen as a slight. This is extreme in
some cultures. The advisor must be prepared to accept many forms of unfamiliar
hospitality. Eating local food, unless there is a documented medical threat, should
be the order of the day. Participating in cultural ceremonies also helps build rapport.
At some point, however, there is a level of activity where it is necessary to draw the
line. The advisor must be prepared to be able to deal tactfully with issues that are
out of bounds.
(4) Uniform and Grooming Standards. Advisors should adhere to their Services’
grooming and uniform standards. This will establish a level of expectation in respect
to other standards such as training, maintenance, etc.
(5) Expertise. This is based on one’s knowledge and experience. The advisor will
have to repeatedly demonstrate their expertise by making sound judgments and
keeping all promises. Bad advice and failing to keep promises can destroy
credibility. If credibility is lost, the advisor will fail to build rapport.
(6) Going Native. Building rapport has its limits. Some people claim that one must
go native in order to truly understand the host nation and its challenges. In the
military, it is appropriate to assume enough of the customs common to the AO to be
effective. Advisors who are close to their counterparts can often provide their higher
headquarters with valuable insights into how things look from a grass roots level.
However, once the advisor begins to pursue the agenda of the FF to the detriment of
the US/coalition campaign plan, they have effectively stepped over the line.
(7) Political Discussions. Try to avoid initiating lengthy lectures about political
philosophy. However, FF should know about the current situation in their country
and may have preconceived notions about the US. When the topic of politics does
arise, be ready to discuss American history, difficulties in establishing peaceful
democracies, minority rights, and other positive aspects of the US system.
Reinforce the counterpart’s national pride. Get them to talk about their national
traditions and history.

5. Influence

a. Understanding human behavior and building rapport allows the advisor to influence
his counterpart. In general, influence can be assessed as one’s ability to modify
behavior. There are two major methods of influencing: compliance and commitment.
See figure 7.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

Figure 7. Influencing Human Behavior

(1) Compliance-focused influence is based primarily on the advisor's authority.
Compliance is appropriate for short-term, immediate requirements and for situations
where little risk can be tolerated. Compliance techniques may be appropriate for
advisors when the FF is unwilling or unable to commit fully to a request. If
something needs to be done with little time for delay, then compliance may be an
acceptable approach. Compliance-focused influence is not particularly effective
when the advisor’s aim is to create initiative and high esteem within the FF unit. The
effects will only last as long as the advisor is able to affect FF unit behavior.

(a) Incentives and Disincentives. Incentives and disincentives refer to the
advisor’s ability to give things or take things away in order to change behavior.
Behavior can be modified or changed by changing the consequences of the
current behavior or by introducing new consequences (incentives or
disincentives) that a subject receives for engaging in a behavior.
(b) Increasing a behavior involves increasing the value of the positive
consequences and/or decreasing the value of the negative consequences.
Introducing or emphasizing things in the environment that are desirable or
pleasant when a person engages in the desired behavior, or removing things that
are unpleasant when he engages in the desired behavior, are ways of increasing
a behavior.
(c) Decreasing a behavior involves devaluing or reducing the positive
consequences and increasing the value of the negative consequences a subject
receives. Removing something desirable or pleasant that is currently reinforcing

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

a behavior, or introducing something into the environment that it is unpleasant,
are ways of decreasing a behavior.

(2) Commitment-focused influence generally produces longer lasting and broader
effects. Whereas compliance only changes behavior, commitment reaches
deeper—changing attitudes, values, and beliefs, and subsequently behavior as well.
For example, when an advisor builds a sense of responsibility amongst his
counterparts, they will likely demonstrate more initiative, personal involvement, and
creativity. Commitment grows from an individual's desire to gain a sense of control
and develop self-worth by contributing to the organization. Depending on the
objective of the influence, advisors can strengthen commitment by reinforcing the
counterpart’s' identification with the nation (loyalty), the service (professionalism),
the unit or organization (selfless service), the leadership in a unit (respect), and to
the mission (duty). Long term success hinges on the advisor’s ability to develop
commitment.

b. The art of influencing requires knowing what techniques to use based on the
situation. Compliance works for quick and short term behavior modification but no
single technique will work in every situation. Positive reinforcement in the form of
incentives (for example, supplies or time off) as well as internal rewards (for example,
praise and recognition) can reinforce positive behavior. Disincentives (withholding
support, scorn) can be used when there is an immediate need to discontinue dangerous
or otherwise undesirable behavior. Disincentives can also send a clear message to
others in the unit about behavioral expectations and the consequences of violating
those expectations. In this way, an advisor can shape the social norms of a unit. One
caution is that disincentives should be used sparingly and only in extreme cases
because it can lead to resentment.
c. Cialdini’s Six Principles. Dr. Robert Cialdini identified six influencing principles that
are relevant to virtually any culture and any group. Understanding and applying these
six basic principles can increase an advisor’s effectiveness in persuading a group or
individual.

(1)

Principle of scarcity:

People value more what they can have less of. They

typically associate greater value with things that are rare, dwindling in availability, or
difficult to acquire.
(2)

Principle of authority:

People are more easily persuaded by individuals

perceived to be legitimate authorities or experts. They defer to experts who provide
shortcuts to decisions requiring specialized information.
(3)

Principle of social proof:

People often look to the behavior of those around

them for direction about what choices to make. This action is heightened when
those around them are similar in terms of age, education, social standing, and
experience.
(4)

Principle of liking:

People prefer to say yes and to comply with the requests of

those they like.

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(5)

Principle of reciprocity:

If someone grants favors, invited or uninvited, an

overpowering need to repay that favor immediately blooms within the recipient of
that favor. This human trait transcends all cultures and races.
(6)

Principle of consistency:

The desire for consistency is a central motivator of

behavior. The drive to look and be consistent is a highly potent weapon of social
influence, often causing people to act in ways that are clearly contrary to their own
best interests. People do not like to appear inconsistent to others. Inconsistent
behavior produces psychological tension that must be avoided. It is human nature
that people strive to feel good about themselves, which includes behaving in
accordance with their important values and beliefs. When the behavior is consistent
with who people are and what they value, they feel good. People align with their
clear commitments.

6. How to Influence/Change Behavior

Step 1: Determine your goal.

As shown in figure 8, this is the first step. Advisors

influence others to achieve some purpose. To be successful at exerting influence
advisors have an end or goal in mind. Sometimes the goal will be very specific. Many
goals are less distinct and measurable, but are still valid and meaningful. Goals should
be written down and addressed in mission statements and/or internal assessments.
b.

Step 2: Determine who you need to influence.

The advisor needs to develop a

mental list of those who might need to be influenced. Getting a FF unit to do what the
advisor wants may be as simple as influencing the commander but he may have to
influence the unit members as well as the leader’s commander. The advisor should
consider as many variations as practical. Advisors should look for any conditions or
circumstances in the immediate environment that significantly affect the individual or the
group’s emotions or behavior. Individual or group characteristics that the advisor might
consider include:

•

Gender

•

Religion.

•

Age.

•

Socioeconomic status.

•

Ethnicity.

•

Political affiliation.

•

Level of education (very important in determining how to access and

persuade).

•

Occupation.

•

Recent Events.

•

Geography (beliefs and values can vary widely from region to region).

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

Figure 8. How to Influence

(2) The challenge is to determine which of these characteristics have a significant
impact on emotional or behavioral responses and under what circumstances.
Ethnicity may significantly affect behavior and emotions regarding voting and
politics, but may have almost no effect on the decision to enlist in the military.
Individual and group characteristics may provide additional insight on motivations.

Step 3: Determine motives.

Motives are the reasons behind the decisions people

make. Motives come from an inner desire to meet a need or want. Advisors use the
knowledge of what motivates others to influence them. Knowing one's counterpart, and
others who may be influenced, gives advisors insight into affecting their behavior. The
desire to fulfill, alleviate, or eliminate a need or want, provides the motivation to change
behavior.

(1) Identify basic motives. Basic motives involve physiological needs such as food,
water, and safety needs such as security and shelter. When people feel hunger, they
are motivated to eat. When people feel pain, they are motivated to reduce the
source of the pain. Such basic motives are extremely powerful in driving behavior
and overwhelm psychological needs and wants.
(2) Identify social motives. Social motives are derived from access to other
tangibles (money, goods, education, infrastructure, health care) or more complex
psychological motives such as status. For example, people learn to want money
because it can be exchanged for food and other desired goods. Power/control,
achievement, reassurance, escape/avoidance, justice/revenge, and
acceptance/affiliation are all types of learned social motives. Examples include:

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

•

Wanting better education opportunities for their children.

•

Wanting better-paying jobs.

•

Wanting their interests represented by the government.

•

Wanting revenge for perceived wrongs.

•

Wanting self-rule.

(3) Prioritize motives as critical, short-term, and long-term. Advisors prioritize
motives by immediacy of the need or want, and/or delay in satisfaction. Critical
motives are immediate needs. Short-term motives are those currently being
satisfied or active efforts are being made to satisfy them in the near future. Long-
term motives are those that are desired but are not immediately important, and
satisfaction may be delayed until some point in the future.

d. Step 4: Determine individual’s/group’s beliefs, values, and attitudes.

(1) Beliefs are information thought to be true. In many cultures conspiracy theories
exist due to misinformation and a lack of external communication. People vary from
being gullible (believing everything) to skeptical (believing little). Religious and
cultural beliefs can hold deeper meaning and significance than intellectual beliefs.

•

What do they consider to be true?

(2) Values are a prioritization of what one believes. Values can be ethical/moral,
doctrinal/ideological, social, aesthetic, or economic in nature.

•

What is valued? (What is considered important?)

(3) Attitudes reflect whether one likes or dislikes something. Likes and dislikes can
often be traced back to a person’s beliefs and values. This includes loves, hates,
frustrations, and fears. They provoke an emotional response that can be used to
increase the effectiveness of an argument or act. Frustrations occur when a want is
not met. By examining what is causing frustration, the advisor may find another
motive he can address.

•

What is loved?

•

What is hated?

•

What makes them angry?

•

What is feared?

•

What is considered shameful or embarrassing?

•

What are they dissatisfied with? (What are their gripes?)

•

What are their frustrations? (What do they want that they cannot get?)

(4) Although often difficult to derive, beliefs, values, and attitudes can prove to be
very effective in persuasion.

Step 5: Compare individual beliefs, values, and attitudes with the predominant

cultural beliefs, values, and attitudes.

The predominant cultural beliefs, values,

attitudes, traditions, and norms may be very different from the group the advisor is trying
to influence. Many Americans will act differently in different cultures. This change in
behavior is directly related to the host’s predominant culture.

•

What are the cultural norms? (How are they expected to act?)

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

Step 6: Determine susceptibility.

Susceptibility is the likelihood an individual or

group will be open to persuasion. Determining susceptibility aids in prioritizing efforts.
If susceptibility is moderate to high, then an advisor may not need to focus as much
effort as he would if the susceptibility was low. Susceptibility is determined by
assessing the strength of the underlying motivation source and the FF perception of the
desired corresponding behavior. The strength of the motivation depends on the
perceived risk and the perceived reward, while the perception of the behavior is linked
directly to how consistent the behavior is with the individual’s or group’s values and
beliefs.

(1) Risks and rewards can be social, emotional, financial, and physical. Risks may
include the threat of physical harm, financial loss, or disapproval of peers. Rewards
may include financial gain, political power, approval of peers, or increased self-
esteem. Risks and rewards can be immediate to long-term. Immediate risks and
rewards are stronger than long-term risks and rewards. Example: Very few people
are willing to walk a tightrope (immediate risk), but many people smoke (long-term
risk). The higher the perceived rewards and the lower the perceived risks, the more
likely the behavior will occur.

(a) Perceived risk: What are the perceived risks (negative consequences), by
the individual, to engage in the desired behavior?
(b) Perceived reward: What are the perceived rewards (positive consequences),
by the individual, to engage in the desired behavior?

(2) Consistency with values and beliefs: How consistent is the desired behavior
with the values and beliefs of the individual? Generally, behavior will be consistent
with values and norms relative to moral, ethical, religious, political, or cultural beliefs.
Behavior that is inconsistent or incongruent with values and beliefs will decrease
over time. Alternately, if behavior continues to be incongruent with values and
beliefs, then individuals are likely to adjust their behavior before modifying their
values and beliefs. Thus the likelihood of a desired behavior change is based on the
connection with an individual’s values and beliefs.
(3) A lower susceptibility does not mean the person cannot be influenced but more
effort and analysis will be required to effectively influence any behavior. The lower
the susceptibility, the higher the effort required to adjust conditions for behavior
change to occur.

Step 7: Determine tactics.

Motives, personal characteristics, and environmental

conditions determine which influence tactic or combination of tactics is appropriate.
When a situation is urgent and greater risk is involved, eliciting counterpart compliance
may be necessary. Advisors typically pursue a longer-term focus and use influence to
build strong commitment.

(1) When influencing their counterparts, advisors should consider:

(a) Objectives for the use of influence should be in line with the advisor’s values,
ethics, laws, and codes of conduct.
(b) Compliance–seeking influence focuses on meeting and accounting for
specific task demands.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

(2) Advisors can use various tactics that focus on compliance or commitment. See
table 13. Advisors will want to employ several tactics simultaneously to rapidly
change behavior while providing knowledge and experience to change beliefs,
values, and attitudes.

Table 13. Influence Tactics

Tactics Description

Compliance/Commitment

Professional
relationship

Initially depends on credentials, but
quickly depends on the ability to give
good advice. (Expertise)

Commitment

Personal
friendship

Requires that counterparts like you and
you appear to like them. (Rapport)

Commitment

Collaboration

Advisor assists counterparts with their
plan.

Commitment

Participation

Advisor involves counterparts in his plan
to make it their plan. (Buy In)

Commitment

Rational
persuasion

Experienced expert provides evidence or
logical arguments.

Commitment

Inspiration

Using strong emotion to build conviction.

Commitment

Authority

Source of authority is basis for request.

Compliance

Exchange

A trade of desired actions or items.

Compliance

Apprising

Explaining benefits of specific requested
action. (Benefit not within the control of
the advisor.)

Compliance

(a)

Professional relationship.

This tactic begins with the advisors credentials.

After the first meeting, the advisor needs to immediately establish and maintain
his credibility by providing good advice. If the counterpart is not personally
warming up to the advisor, then the advisor must depend on the quality of the
advice to win over the FF counterpart. With time, a consistent approach can
effectively gain commitment from FF counterparts. It works best in conjunction
with the personal friendship, but it also works where personal friendships cannot
be established.
(b)

Personal friendship.

This tactic occurs when the advisor has established a

strong rapport with his counterpart. This works when the foreign counterpart
actually likes the advisor. The advisor will have to have a high level of trust in the
counterpart as well. This tactic allows the advisor to be able to access the
counterpart’s attitudes and beliefs in a way that is not possible in any other tactic.
However, it is not always possible to achieve and has a greater risk of the
adviser internalizing and adopting the counterpart’s problems.
(c)

Collaboration.

This tactic occurs when the advisor cooperates in providing

assistance or resources to carry out the foreign counterpart’s plan. This works
when the counterpart is at a level where they can develop their own plans or is
determined to do things their way. The advisor should become involved in the

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

counterpart’s process to help shape how the FF will operate. For example, the
advisor could offer to proofread an order before a major planning effort to ensure
the operation will have collaboration with joint, interagency, or multinational
agencies.
(d)

Participation.

This tactic occurs when the advisor asks a FF counterpart to

take part in planning. Active participation leads to an increased sense of worth
and recognition. It provides value to the effort and builds commitment. An
invitation to get involved in problem solving or objective planning is critical when
the advisor tries to institutionalize a vision for long-term change. By involving key
FF leaders at all levels during the planning phases, the advisor ensures that their
counterparts take stock in the vision. These FF leaders will later be able to
pursue critical intermediate and long-term objectives, even after the advisor has
moved on.
(e)

Rational persuasion.

This tactic requires the advisor to provide evidence,

logic arguments, or explanations showing how a request is relevant to the goal.
This is often the first approach to gaining commitment from counterparts and is
likely to be effective if the advisor is recognized as an expert with an established
rapport. The advisor trying to change beliefs and values often draws upon their
own experience to give reasons that will work based on the advisor’s expertise.
(f)

Inspiration.

This tactic occurs when the advisor arouses strong emotions to

build conviction. An advisor may stress to his counterpart that without help, the
safety of the team may be at risk. By appropriately stressing the results of
stronger commitment, an advisor can inspire followers to surpass minimal
standards and reach a higher level of performance. The advisor is working to
amplify existing beliefs and values as well as change attitudes.
(g)

Authority.

This tactic occurs when advisors refer to sources of authority

(legal, religious, tradition, position) to establish the basis for a request. In the
military, certain jobs must be done regardless of circumstances when
subordinate leaders receive legitimate orders from higher headquarters.
Reference to one's position suggests to those who are being influenced that
there is the potential for official action if the request is not completed. The
following are types of authority appeals:

•

Legal: An appeal to laws or regulations, or to people in superior positions

in the social hierarchy. For example, the Uniform Code of Military Justice,
NCOs and officers, police officers, parents, or government officials. The
group/individual must recognize the authority for the appeal to work.

•

Religious: An appeal to a belief-teaching institution or individual that is

revered or worshiped; for example, the Dalai Lama, the Roman Catholic
Church.

•

Tradition: An appeal to time honored customs familiar to the

group/individual or behaviors that are repeated continually without question.
(e.g. people eat turkey on Thanksgiving as a time honored practice).

•

Position: An appeal from someone of authority. Examples are chairman of

the board, leader of a military unit, family patriarch or matriarch, a boss or

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

foreman. The appeal is useful where the counterpart’s superior has issued
an order which he has the power and authority to enforce. The advisor has
to be fully aware of what direction was given by his counterpart’s superior.

(h)

Exchange.

This is an influence technique that advisors use when they make

an offer to provide a desired item or action in trade for compliance with a request.
The exchange technique requires that the advisor control certain resources or
rewards that are valued by those being influenced.
(i)

Apprising.

This happens when the advisor explains why a request will

benefit a counterpart, such as giving them greater satisfaction in their work or
performing a task a certain way to save time. In contrast to the exchange
technique, the benefits are out of the control of the advisor. An advisor may use
the apprising tactic to inform a new unit commander that by building rapport with
the local population, he will gain more information.

(3) Influence tactics outline the general efforts an advisor can make to change
behavior. If the advisor has time for long term change, he will focus on commitment.
If the advisor has infrequent interaction with the person, then he will probably focus
on compliance to get the desired behavior. Once a tactic is selected, the advisor
needs to assess the counterpart’s motives, personality, and the environment to
determine the proper influence techniques to actually persuade the counterpart to
change behavior.

Step 8: Determine techniques.

The influence techniques that follow can be

selected and implemented in conjunction with the previously mentioned tactics to
answer basic needs to include: social, psychological, or growth. They can also be used
to emphasize fears, likes or dislikes in conjunction with environmental conditions such
as traditions or demographics. These techniques can emphasize positives or negatives
(incentives/disincentives) and can be applied with little or large amounts of pressure.

(1)

Inevitability.

This most often relies on the emotion of fear, particularly the fear

of death, injury, or some other type of harm. For example, if a person does not
surrender, he will die, or if a person does not pay his taxes, he will go to jail. It can
also be an appeal to logic. Both require proof that the promised outcome will
actually occur. Therefore, it is crucial that credibility be gained and maintained.
(2)

In group-out group.

This technique seeks to divide a group or separate two

groups. It creates an enemy of one group, and encourages the other group to
rebel/discriminate against them. This appeal frequently points out major differences
between groups, or factions of a group.
(3)

Bandwagon.

This technique plays upon the group’s need to belong or conform

to group standards, i.e., join the bandwagon. The two main types of bandwagon
appeal are an appeal to companionship and an appeal to conformity. Peer pressure
is an example of conformity type bandwagon appeal.
(4)

Nostalgia.

This technique refers to how things were done in the past. The

appeal can be used to encourage or discourage a particular behavior. In a positive
light, it refers to the “good old days” and encourages the group to behave in a

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

manner that will return to those times. In the negative, it points out how bad things
were in the past and why a change in behavior will avoid a return to misery.
(5)

Self-interest.

This technique plays directly to the wants and desires of the

individuals. The appeal can play upon the group’s vulnerability for acquisition,
success, or status. A self-interest appeal can be presented in the form of a gain or
loss. An appeal to loss exploits the group not wishing to engage in an advisor
recommended desired behavior by highlighting the current behavior will not satisfy
the group’s need. An appeal to gain would inform the group that to satisfy a want,
the group must engage in a desired behavior.
(6)

Glittering generalities.

These are intense, emotionally appealing words so

closely associated with highly valued concepts and beliefs that the appeals are
convincing without being supported by fact or reason. The appeals are directed
toward such emotions as love of country or home, and desire for peace, freedom,
glory, or honor.
(7)

Transference.

This technique projects positive or negative qualities of a

person, entity, object, or value to another. It is generally used to transfer blame from
one party in a conflict to another.
(8)

Least of evils.

This technique acknowledges that the course of action (COA)

being taken is perhaps undesirable, but emphasizes that any other COA would
result in a worse outcome.
(9)

Name-calling.

Name-calling seeks to arouse prejudices in an audience by

labeling the object of the propaganda as something the group fears, loathes, or finds
undesirable.
(10)

Plain folks or common man.

This approach attempts to convince the group

that the position noted in the argument is actually the same as their own. The
technique is designed to win the confidence of the audience by communicating in
the usual manner and style of the audience. Communicators use ordinary language,
mannerisms, and clothes via face-to-face or other audiovisual communications when
they attempt to identify their point of view with that of the average person.
(11)

Testimonials.

Testimonials are quotations that are cited to support or reject a

given policy, action, program, or personality. The reputation or role of the individual
giving the statement is used. There can be different types of testimonial authority.
Official testimonials use endorsements of approved people in authority or well known
in a particular field. Personal sources of testimonials may include hostile leaders,
fellow Service members, opposing leaders, famous scholars, writers, popular
heroes, and other personalities.
(12)

Insinuation.

Insinuation is used to create or increase suspicions of ideas,

groups, or individuals as a means to divide the adversary. One hints, suggests, or
implies, but lets the group draw its own conclusions.
(13)

Presenting the other side.

Some people in a group believe that neither of the

belligerents is entirely virtuous. To them, messages that express concepts solely in
terms of right and wrong may not be credible. Agreement with minor aspects of the
enemy’s point of view may overcome this cynicism.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

(14)

Simplification.

In this technique, facts are reduced to either right, wrong,

good, or evil. The technique provides simple solutions for complex problems and
offers simplified interpretations of events, ideas, concepts, or personalities.
(15)

Compare and contrast.

Two or more ideas, issues, or choices are compared

and differences between them are explained. This technique is effective if the group
has a needs conflict that must be resolved.
(16)

Compare for similarities.

Two or more ideas, issues, or objects are

compared to try and find a common understanding. This technique tries to show
that the desired behavior or attitude is similar to one that has already been accepted
by the group.
(17)

Illustrations and narratives.

An illustration is a detailed example of the idea

being presented to make abstract or general ideas easier to comprehend. When a
story is used they are called narratives.
(18)

Specific instances.

These are lists of examples that help prove a point.

(19)

Statistics.

Statistics have a certain authority, but they must be clear enough to

maintain relevance for the group. In most cases, it is best to keep the statistical
evidence simple and easily absorbable by the group.
(20)

Explanations.

These are used when a term or idea is unfamiliar.

(21)

Gifts.

Giving something as a gift before requesting compliance. The idea is

that the target will feel the need to reciprocate later. Example: “Accept this well and
cistern as a gift to the people of your town from the coalition forces…to demonstrate
our good will and hope for mutual cooperation in the future.”
(22)

Debt.

Calling in past favors. Example: “Coalition forces have done a lot for

your town: the new school, the well in the center of town… these insurgents are
endangering all we have worked for together. We need your help in stopping these
groups by reporting any information you and your people may discover.”
(23)

Aversive stimulation.

Continuous punishment, and the cessation of

punishment, is contingent on compliance. Example: “We will continue to bomb your
position unless you surrender immediately.”
(24)

Moral appeal.

Entails finding moral common ground, and then using the moral

commitments of a person to obtain compliance. Example: “The killing of innocent
civilians is wrong; please help the security forces stop this tragic loss of innocent life
by reporting any information on terrorist activities.”
(25)

Positive and negative self-feeling.

“You will feel better/worse if you do X.”

Example: “Become part of something bigger than yourself, know honor and take
pride in your work…join the national security forces!”
(26)

Positive and negative esteem of others.

“Other people will think highly/less

of you if you do X.” Example: “Earn the respect of your friends and the pride of your
family…join your country’s National Guard now!”
(27)

Fear.

“Bad things will happen to you if you do X.” Example: “Only death and

fire await those who continue to fight…surrender now.”

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

Step 9: Apply tactics and techniques.

This is a dynamic process. The advisor

should have a plan before attempting to influence a group but if one technique is not
working, he’ll need to shift quickly to other techniques. The advisor does not need to sit
down and create a plan before he attempts to influence people. However, even if he is
having good apparent effect, the advisor should take the time to review his tactics and
techniques. If he is only using compliance tactics, he might need to focus on
incorporating more commitment tactics.

Advisor Influence Example

We graduated our first group of new instructors in several months, increasing the
number of Iraqi instructor pilots in the Fighter Training Wing by 150%. For the previous
months, Iraqi instructors had only flown (on average) 4 sorties each per month. We
needed to get them to increase the workload for two reasons. One, our student
population was increasing and we had no additional influx of American instructors.
Two, the focus on transition to Iraqi control and leadership had intensified, and we
needed to begin positioning the Iraqis to take our place. With the graduation of the new
instructors, the time was ripe to push towards transition.
We sat down with the Iraqi leadership and spoke with them about allowing the Iraqis to
take a larger ownership role in the wing by increasing their sortie production rates.
Their duty schedule, which was limited by the amount of monthly leave each pilot took,
seemed to be the critical impediment to their ownership of various programs in the wing.
We suggested that they modify their duty schedule to be present three weeks out of the
month. The Iraqi wing commander explained that he wished that he could, but that his
pilots would feel that he was being too hard on them, and he needed to get guidance
from his commander to that effect. That way, his pilots wouldn’t be mad at him, and
would realize that there was a common Iraqi Air Force duty standard. He told me that
he had even asked his commander to issue an order to codify the work schedule.
What I didn’t realize was that he was trying to politely tell me that he didn’t support an
increased work schedule. He had sent no such request to his commander. By telling
me that he couldn’t make the decision—that his commander needed to issue an order
to that effect—he was telling me no. Not realizing that, I pushed ahead with the
proposal to change the vacation schedule, sending it up through the advisor staff, and
mentioning it to the Iraqi Air Force commander the next time that we sat down together
to chat. It caused a huge rift. The Iraqi wing commander became extremely frustrated
and was present even less at work. When he was there, he began acting in a very
hostile manner towards the advisors, and me in particular. It was obvious that our
efforts—my plans—were not achieving the desired results. Instead, they were harming
the relationship between the Iraqi leadership and the advisor team.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

So we changed our vector. Rather than push for a different work/vacation schedule, I
stopped asking them about their work schedule or even when they would be present for
duty. Instead we began to post sortie counts prominently in the operations room. It was
also about this time that our new instructor pilots began flying in earnest. Every day, we
would post the top fliers for the month, and a bar graph of how many sorties were being
flown. We showed the sorties for both the Iraqi pilots and the US pilots. Within the Iraqi
ranks, the younger pilots quickly jumped ahead in the sortie counts. All of a sudden, the
senior Iraqi pilots began making themselves available to fly. It was a pride issue—the
older pilots did not want to be out performed by the younger pilots. Sortie rates per pilot
more than tripled by the end of the month. Every day, the Iraqi pilots would look at the
sortie count, and then look at the scheduling board to ensure that they were up to fly the
next day. Some pilots began to take considerably less vacation time.
The key, it turned out, was finding the correct leverage point. The older pilots were not
interested in true ownership over the processes, and they certainly didn’t want to give
up time with their families. So offering them ownership as an incentive to spend more
time away from their families was not an effective form of persuasion. But personal
pride—being on top of the sortie count list—now that was important to them. This
month, one of the younger pilots has announced that he will not take vacation the entire
month, because he wants to maximize his sorties. He wants to build experience so he
can be better qualified to teach his students. So in the end, we’re achieving success by
letting them be motivated by the same thing that motivates us as advisors—leadership
by example. Only in this case, the example is being set by their newest pilots. And that
is a great success for us.

—US Air Force Advisor, Coalition Air Force Transition Team

Step 10: Check measures of effectiveness (MOE) and look for unintended

consequences.

The advisor should be able to easily assess if he is achieving his

immediate MOE. However, with every action there may be unintended consequences
or the activity may not be preparing his counterparts for more complicated tasks later.
Using soccer as a team building effort could work well as the sides learn to work with
each other, unless it also causes the unit to split into two ethnic or political factions.
k. All the techniques mentioned are designed to help the advisor achieve a goal, but
just knowing your counterpart wants something is not enough. The advisor will have a
limited supply of resources available to commit for changes or behavior modification.
Given, the advisor can only bend so much on rules, regulations, and laws; he must
eventually resort to negotiations.

7. Negotiation

a. This section on negotiations and mediation is presented from a Western perspective.
Many of these techniques are universally useful, but the section on culture should be
referenced to see what adaptations need consideration before using these techniques.
For example, the Western definition of a mediator is someone impartial and without any
stake in the outcome of the mediation process. In some non-Western cultures, the
mediator is known to both parties and usually has a stake (such as prestige and
standing within the community) in the outcome. Additionally, modern negotiation
techniques emphasize the integrative approach (win/win), and discount the distributive

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

win/lose, and other approaches. Each major approach to negotiating (distributive,
integrative) has advantages and disadvantages. In planning for each negotiation,
consider the desired outcome (both sides), the situation, and the cultural considerations.
This will help you determine your initial negotiating approach. During the negotiating
process, you may need to adjust and/or completely change the approach based on
changing circumstances and/or new information.
b. Advisors should understand that some of their attempts to influence will be
unsuccessful but the goal of negotiation is compromise. If the advisor's goals and those
of his counterpart are not the same, negotiations will be challenging.
c. US culture will lead the advisor to believe that every situation has a win/win solution
and that his counterpart will also want to achieve a win/win outcome. Some cultures do
not believe that win/win is optimal and prefer a win/lose philosophy.
d. There are two main types of bargaining which reflect the general philosophy towards
negotiating: distributive and integrative.

(1) Distributive. The distributive process uses negotiation meetings to present a
position, protect information from disclosure, or to discredit another party. It uses
the negotiation to marshal evidence advocating one’s position while discrediting the
other party’s position. The objective is victory for your position and defeat for the
other party's inputs. The distributive negotiator believes the following:

(a) The disputants are adversaries, and the goal is victory.
(b) Fixed resources can be divided so one side receives more than the other
after concessions are won.
(c) One person’s interests or position opposes the others.
(d) The dominant concern is usually maximizing one’s own interests.
(e) Distributive strategies include: understanding the point at which your
opponent will walk away from the negotiation and pushing him almost to that
point by manipulation or withholding information.

(2) Integrative. The integrative process uses negotiating meetings to present ideas
and interests and not to present preconceived positions. The negotiating meeting is
used to share ideas, interests, and information. The discovery process then fosters
the development of potential solutions that none of the parties could have likely
developed on their own due to incomplete information. From the potential solutions,
parties then agree on selection criteria to determine which option provides an
agreeable solution. The objective is consensus and satisfaction, not victory. The
integrative negotiator believes the following:

(a) The disputants are joint problem solvers seeking a wise decision.
(b) An understanding of needs will allow resources to be divided and both sides
can win.
(c) The relationship between the parties is critical.
(d) The dominant concern is to maximize joint outcomes.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

(e) Integrative strategies include cooperation, sharing information, and mutual
problem solving.

(3) Distributive bargaining is win/lose while integrative is win/win. The two major
negotiating strategies (distributive and integrative) are mutually exclusive in their
approaches and desired outcomes. However, after you select your initial strategy,
you should consider what triggers might occur which would motivate you to switch
approaches in order to reach a desired outcome. When considering a change in
approach, think about the new set of pros and cons you must consider. Successful
negotiations can involve a mix of both strategies.

e. Additionally, four other perspectives that impact negotiations are time, environment,
self, and nonverbal communication.

(1) Time. Some cultures and individuals see time as a micro-view. It is all about
here and now. Other cultures and individuals see time in a macro-view. Now is a
point that bridges the past with the future. For example: a deadline driven person
may strive for a decision in minutes or hours from an FF member who thinks in
terms of months or years to reach a decision..
(2) Environment. Some cultures believe impact on the environment is directly
attributable to a person and every accident is preventable. Other cultures believe
the environment impacts the person. Accidents just happen and no one could have
done anything about it. One side may be quite ready to commit to something in the
future “knowing” that nothing stands in the way, while the other side may be
reluctant to talk in certainties of the future “knowing” that factors beyond their control
may prevent them from fulfilling their commitments.
(3) Self. In some cultures, when a person makes a mistake, blame can be isolated
to that person. In other cultures, the individual is seen as an element of the group
and so a mistake is made not by the individual but rather the whole group. Thus In
negotiations, one might accept a personal slight to get a goal accomplished, but the
counterpart, representing the group, cannot allow shame to fall on the group.
(4) Nonverbal Communication. Since advisors will often have to work through
interpreters, nonverbal communication is very important. Some cultures respect
people who mean what they say and maintain their composure. Other cultures
respect the eloquence in which something is said or the emotion used to convey it.
Where words may be translated improperly, the advisor or his counterpart can hear
tone and see emotion.

f. Negotiation Roles. When entering a negotiation, it is very important to know the
advisor’s role. There are three major roles associated with negotiation: negotiator,
mediator, and arbitrator. Each role has its own techniques and separate functions.

(1) Negotiator. The negotiator role is the most common advisor role. A negotiation
is the process by which parties exchange commitments or promises to resolve
disagreements and reach settlements. The advisor needs to prepare for each
negotiation or he will be at a significant disadvantage during the negotiation session.
In order to prepare for a negotiation session the advisor should consider the
following:

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

(a) Examine your options.

•

What are you trying to accomplish?

•

How important is it to you?

•

How important is it to them?

•

How much leverage do you have?

•

Who is in the position of power?

•

What if you can’t agree?

(b) Discover the motivations of your counterpart(s). What are their underlying
needs?
(c) List all the scenarios that could satisfy your needs. Add features to these
scenarios that increase the opportunity for all parties involved to be satisfied. List
and prioritize the interests behind your positions. This helps you determine the
“why” behind the “what” (position /solution /demand). Also list what you think the
other party’s interests are behind their potential position(s). At the negotiations,
the information sharing process (discussing your and their interests) is the basis
for the follow-on brainstorming that develops potential solutions that neither of
your could have developed on your own due to the fact that before the meeting,
neither of you had complete information.
(d) The integrative process seeks to generate a solution that is better than any
single party could generate on their own. It is a process that requires trust
between parties to share their information so there can be a productive
brainstorming process. At times, simple compromises can facilitate the
negotiations and help create a win / win outcome. Achieving consensus, not total
agreement or satisfaction, is key. A consensus means that all parties are at least
minimally satisfied. You strive to maximize the benefits (positive) to each party
while minimizing the cost (negatives). This is the hallmark of a skilled negotiator
as it creates an agreement that has an increased chance of being effectively
executed while simultaneously preserving the relationship.
(e) The negotiator represents one side and has a vested interest in the outcome
of the negotiation.

•

If the FF asks the advisor to negotiate for them, they expect the advisor to

have their best interests in mind. The coalition may try to use the advisor to
push their agenda and influence rather than negotiate.

•

It is best to avoid conflict of interest situations. The advisor could lose the

trust of his counterpart if he blindly pushes the coalition agenda.

•

If the FF counterpart desires to take action that is not legally acceptable,

the advisor will probably not be able to use commitment techniques
discussed earlier. He will probably need to use some form of compliant
technique.

•

If the FF counterpart is not violating any laws, the advisor should be

focusing on commitment techniques. Success will not be achieved quickly.
A sample interest based negotiation worksheet is presented in table 14.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

Table 14. Interest-based Negotiation Worksheet

Assessing

the

Negotiation

Context

Your Side

Other Party

Position

(Assumed
best outcome
or solution.)

– What is “our” position?
– Is the position unique to a single
organization or must the scope of the
position include other organizations (other
stakeholders)?
– Is this a new situation or the
continuation of another situation?
– Are there any existing agreements?
– What does your organization/chain of
command/team want to have happen?
– What is the rationale for this position?

– What is the other party’s position(s)?
– Do they present any existing agreement
to support their position?
– Do they see it as a new situation or the
continuation of another situation?
– Is there precedent/tradition?
– What does the other party’s chain of
authority look like? What do you think they
will desire as their “best position”?
– What might be the rationale for this
position?

Interests &
Priorities

(Why do I
want the
outcome
above? How
important is
the interest?)

– List (and prioritize) your interests in this
case. (What is the context/situation/
conditions/environment BEHIND your
position, driving the negotiation?)
1. From your perspective, what are the
overarching issues? What are other
stakeholders’ (if any) overarching issues?
2. From your perspective, what are
issues specific to this region outside of
this individual case (economic, political,
cultural, etc.)?
3. From your perspective, what are
issues specific to this individual case (for
example: SOFA, laws, existing contracts/
agreements, maximize a gain or minimize
a loss, political issues, economics,
tradition, etc.)? Do you see this as an
individual case or part of a larger
situation?
4. Identify your stakeholders. What are
the stakeholder’s positions and interests?
What are their relationships with the other
parties and with each other? Who has
power, why and how can it be affected?
5. Are there any interrelations between
issues? (For example, if I execute an
action because of this case, what will the
effect be on my relationship with other
parts of their government? Might other
parties [i.e., stakeholders] relationships
change? How and why?)

– List (and prioritize) what the other party’s
interests are. (What is the context/
situation/conditions/environment BEHIND
their position driving the negotiation?)
1. From their perspective, what are the
overarching issues? What do they think
ours might be? (Avoid mirror imaging,
strive to put issues in their context.)
2. From their perspective, what are issues
specific to this region (and/or other
interested parties with power) outside of
this individual case (economic, political,
cultural, etc.)? What are their issues?
Why might they be interested in the
negotiations?
3. From their perspective, what are issues
specific to this individual case? What
might their perceptions be of ours? Does
the other party see this as an individual
case or part of a larger situation?
4. Identify their potential stakeholders.
What are their positions and interests?
What are their relationships with your
parties and with each other? Who has
power; why and how can it be affected?
5. What does the other party see as the
interrelations between issues? (For
example, if they execute an action because
of this case, what might the effect be on
other elements of their relationship with
your stakeholders?)

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

Interests &
Priorities

(continued)

6. What does your side want the situation
to be AFTER the negotiations conclude?
(What is/are the long-term interest(s))?
Do all stakeholders share the same long-
term goal?

6. What do you think they want the
situation to be AFTER the negotiations
conclude? (What is/are their perceptions of
long-term interest(s))?

Best
Alternative
to a
Negotiated
Agreement
(BATNA)

(What can I
do if I don’t
reach an
agreement
with the other
party?)

BATNA: an action that may be pursued by
your side without any consultation or
agreement by the other party.
– Determine your options if you “leave the
table” that you can execute unilaterally?
– Within each option, what is /are the
desired response(s) from the other party?
– Within each option, what action by the
other party might trigger this event?
– Within each option, how might your
stakeholders respond?
– Within each option, what are some
possible consequences that are
undesirable to your position?
– Within each option, how will executing
the option affect your long-term
relationship with the other party? With
your stakeholders?
– Within each option, how much does the
other party know about the option? How
much power/ability do they have to
weaken your BATNA options?

A BATNA may be pursued by the other
party without any consultation or
agreement by you.
– Determine the other party’s options if
they “leave the table” that they can execute
unilaterally?
– Within each option, what is/are the
desired response(s) they might desire from
you?
– Can they impact a stakeholder that can
exert influence on your BATNA?
– Within each option, what action by you
might trigger this event?
– Within each option, how might their
stakeholders respond? How might your
stakeholders respond?
– Within each option, what are some
possible consequences that are
undesirable to their position? To their
stakeholder’s position? To your position?
To your stakeholder’s position?
– Within each option, how will executing
the option affect their long-term relationship
with you? With your stakeholders?
– Within each option, how much do you
know of the details? How much
power/ability do you have to weaken their
BATNA options?

Agenda for
the
meeting

— What is the most appropriate approach, presenting your “full proposal” or going
“issue at a time”? Consider:
– Broaden/narrow the scope: Should you add or subtract issues from the table to
help to create a common interest?
– Are there automatic de-railers? How might you avoid them?
– What will your opening statement be in the “first 90 seconds”? What do you expect
the other party’s “first 90 seconds” to be?
– Who should go first? What should go first? An easy issue (trust building?) or a hard
issue?

(2) Mediator. An advisor may find himself in the position of mediator. In Western
Culture, a mediator is defined as one who is not known to either party, has an
impartial stance in any outcome of the mediation, and has no decision-making
authority. In many other cultures, a mediator is a known respected person who
sometime has a stake in the outcome and at times has decision-making authority.
Before embarking in the role of a mediator, ensure you understand the cultural

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

expectations and adjust as needed. As a minimum, you must be seen as an honest
broker, able to understand all aspects of the argument and guiding the disputing
parties to their own solution with a minimum of direction on your part. Table 15
outlines some potential mediator roles. As a reminder, these roles must be
compared to the local cultural norms and adjusted as needed.

Table 15. Mediator Roles

Role

Function

Outcome

Characteristics

When to Use

Facilitator

You are not a
player.

No influence.
Their decision, their
outcome.

Focus on process.

Participants will agree
on their own.

Formulator

You coach
both players.

Indirect influence.
They think your solution
was their idea.

Focus split between
process and results.

Participants need help
to agree.

Manipulator You are a

player.

Direct influence.
They know you are
trying to get them to
agree.

Focus on results.

Participants will not
agree without external
pressure or incentives.

(a) Facilitator Tactics.

•

Make yourself available to meet with each party as they desire or as you

need to.

•

Only share information with one party that the other party allows you to

share.

•

Arrange for interaction.

•

Clarify the situation.

•

Supply missing information.

•

Transmit messages between parties.

•

Ensure all interests are discussed.

(b) Formulator Tactics.

•

Make yourself available to meet with each party as they desire or as you

need to.

•

Only share information with one party that the other party allows you to

share.

•

Control the pace, formality, and physical environment of the meetings.

•

Highlight common interests.

•

Help parties save face.

•

Keep process focused on the issues.

•

Make substitutive proposals.

•

Suggest concessions parties could make.

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

•

Make yourself available to meet with each party as they desire or as you

need to.

•

Only share information with one party that the other party allows you to

share.

•

Keep parties at the table.

•

Change parties expectations.

•

Highlight costs of non-agreement.

•

Reward concessions.

•

Promise resources.

•

Threaten the withdrawal of resources.

•

Offer to verify compliance.

•

Threaten to withdraw mediation.

(3) Arbitrator. The FF may try to put the advisor in the position of arbitrator.
Arbitration is the process by which disputing parties submit their differences to the
judgment of an impartial source selected by mutual consent or statutory provision.
The advisor is in trouble when they are looking for him to make a decision between
two FF positions. If a win/win solution can be found, the advisor will improve his
rapport with both parties but a win/lose situation will alienate one or both groups. If
the FF is constantly seeking decisions from the advisor, the advisor should reassess
his level of involvement to avoid the arbitrator role.

g. Confrontation Preference and Expected Outcomes. Negotiators will have one of
three preferences for confrontation: avoidance, collaboration, or competition. Those
that prefer avoidance will consider accommodation as a viable means to resolve an
issue. A negotiator that prefers collaboration considers compromise as the preferred
outcome while the competitor wants to win. Intentionally losing in a negotiation to avoid
confrontation seems counterintuitive; however it tends to protect the current
relationship. Collaboration requires a mutual respect of the existing relationship, while
competition is generally indifferent. For example: consider the situation where one
friend wants to go fishing and another to a baseball game. The avoidance preference
would be to value the friendship, give in, and go to the game. But if that person was
inclined to collaboration, they might suggest, taking a radio on the fishing trip. If they
were inclined to competition, they would be going fishing with or without their friend. It
would be fairly easy to take advantage of a negotiator that prefers to avoid
confrontation. At the same time, expecting to be able to compromise with a highly
competitive negotiator may become a point of frustration. For the competitor, winning
may be more important than the deal itself. Some of the characteristics associated with
each type of negotiation perspective or start position are listed in table 16.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

Table 16. Negotiation Perspectives/Positions

Positional

Soft/Avoidance

Positional

Hard/Competition

Principled/Collaborative

Participants are friends.

Participants are hostile.

Participants are problem solvers.

Goal is agreement.

Goal is victory.

Goal is mutually advantageous option.

Make concessions to reach
agreement.

Demand concessions to agree.

Separate the people from the problem.

Be soft on person and
problem.

Be hard on person and
problem.

Be soft on the person and hard on the
problem.

Trust others.

Distrust others.

Manage risk.

Change your position easily.

Stand firm.

Focus on interests not positions.

Make offers.

Make threats.

Explore interests.

Disclose your bottom line.

Mislead as to your bottom line.

Avoid having a bottom line.

Accept losses to reach
agreement.

Demand gains as the price for
agreement.

Invent options for mutual gain.

Insist on agreement.

Insist on your position.

Insist on using objective criteria.

Avoid contest of wills.

Try to win contest of will.

Result based on standards
independent of will.

Yield to pressure.

Apply pressure.

Yield to reason.

h. Negotiation Focus. Defining whether the negotiation is a win/win situation is not as
simple as which side gained the most tangible material from the negotiation. Military
negotiators often focus primarily on physical outcomes where as diplomats focus on
relationships. Every negotiation will vary on which factor is more important. Just as a
car dealer may accept less profit on individual services, he gains overall, if the customer
returns because the customer trusts the dealer.

8. Developing Skills

a. Advising Levels. Every advisor is required to developing skills for: teaching,
coaching, and advising. The advisor will make an initial assessment of the FF unit’s
proficiency, in order to start with the appropriate developing skill. Figure 9 illustrates the
appropriate level of advice that corresponds to the FF unit’s capabilities.

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

Figure 9. Appropriate Advising Level

b. Teach, Coach, Advise. Advisor teams have limited positional power and depend
upon personal influence in order to positively affect FF efforts via teach, coach, or
advise. Advisor team members often work with people of higher rank or grade than
themselves. Advisors should remain cognizant of FF unit experience and capabilities to
carefully choose opportunities for injecting or imparting knowledge. FF units are
normally agreeable to advisor teams who teach unobtrusively. Advisors who are subtle
in their approach to teaching, coaching, and advising are highly valued by FF units.
Advisors who make FF personnel feel they are teaching themselves are often the most
effective.

(1) Teaching. Teaching includes training and education. Methods of teaching can
include classroom lectures, seminars, exercises, or simulations.
(2) Coaching. Coaching refers to guiding someone through a set of tasks to
enhance capabilities already present. Those being coached may or may not realize
their potential. The coach helps them understand their current level of performance
and instructs them on how to reach the next level of knowledge and skill. Coaching
requires identification of short and long term goals and devising plans to achieve
those goals. The coach discusses strengths and weaknesses with the person to
sustain improvement. Coaches use the following guidelines:

(a) Focus goals.
(b) Clarify the leader’s self-awareness.
(c) Uncover potential.
(d) Eliminate developmental barriers.

10 September 2009 FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76

(e) Develop action plans and commitment.
(f) Follow up.

(3) Advising. Advisors have experience in their advising areas but are not required
to have similar backgrounds.

(a) Advisors provide expert opinion, advice, or counsel by focusing on both
personal development (interpersonal and communication skills) and professional
development (technical and tactical knowledge) to develop mutual trust and
respect.
(b) Advisor relationships are not based on superior to subordinate relationships.
(c) Figure 10 shows how teach, coach, advise aligns with corresponding FF
tasks of learn, practice, execute. As FF masters one skill, the advisor can move
on to other skills and initiate the process again for new skills. If they require
additional teaching or coaching the advisor can focus them on one part of the
cycle. Eventually, the teaching and coaching should decrease, and the majority
of the advisor’s time will be spent as an advisor providing an expert second
opinion.

Figure 10. Advisor Cycle

(d) Every advisor has to be a trainer, but not all trainers can perform the more
demanding task of advising. Training occurs in a controlled environment with the
trainer frequently following a fixed program of instruction in order to improve unit
skills, whereas advising often requires the advisor to develop a training program
and then coach or advise the unit under actual circumstances where the
outcomes are real. The advisor works to improve the performance of the unit in
real time as the mission is executed. In order to be effective, personnel selected
as advisors need to have both experience as an SME and interpersonal skills.

FM 3-07.10 / MCRP 3-33.8A / NTTP 3-07.5 / AFTTP 3-2.76 10 September 2009

9. Collective Advisor Skills

a. Collective Skills. Once the advisor team is formed, they must practice their unit
combat and survival skills tasks and organize to cover normal functions associated with
any team to include member duties and responsibilities. As with individual advisor
skills, some are refined prior to deployment and others are learned in country. See
figure 11 for collective advisor skills.

Figure 11. Collective Advisor Skills

b. Training Foreign Forces.

(1) Training Concept. Training varies according to the FF requirements, force
composition, and US/foreign agreements. The goal of the advisor mission is to
enable FF counterparts to eventually conduct all instruction and training without
assistance from US personnel. Initially, US personnel may find themselves
conducting all the instruction through interpreters. Advisor teams will need to use a
“train the trainer” concept in order to prepare the FF to be self-sufficient.

(a) Advisors must prepare to be the primary instructors.
(b) Advisors should use the “building block” approach or the “crawl/walk/run”
approach for developing FF capabilities. The key is to develop effective
procedures FF leaders will accept and maintain. Success will breed success.
(c) The advisor should quickly establish capable FF personnel as primary
instructors. This builds rapport, credibility, and friendship.
(d) Advisors use training to build FF leader credibility. Advisors train the leaders
and let them lead. They coach and assist the leaders in training their personnel.

Military reference books and manuals (2009-2023, Volume 2) - page 37