DOD INSTRUCTION 6400.11
D
OD INTEGRATED PRIMARY PREVENTION POLICY FOR
PREVENTION WORKFORCE AND LEADERS
Originating Component: Office of the Under Secretary of Defense for Personnel and Readiness
Effective: December 20, 2022
Change 1 Effective: April 4, 2023
Releasability: Cleared for public release. Available on the Directives Division Website
at https://www.esd.whs.mil/DD/.
Approved by: Gilbert R. Cisneros, Jr., Under Secretary of Defense for Personnel and
Readiness
Change 1 Approved by: Gilbert R. Cisneros, Jr., Under Secretary of Defense for Personnel and
Readiness
Purpose: In accordance with the authority in DoD Directive 5124.02 and pursuant to DoD Instruction
(DoDI) 6400.09, DoD Prevention Plan of Action 2.0 (PPoA 2.0), and the March 30, 2022 and
September 22, 2021 Secretary of Defense Memorandums, this issuance:
• Establishes and implements policy, assigns responsibilities, prescribes procedures, and identifies
requirements for addressing primary prevention of harmful behaviors, as defined in the Glossary, in
military communities.
• Establishes roles, requirements, and training and education standards for full-time and part-time
Integrated Primary Prevention (IPP) personnel.
• Establishes learning objectives for leaders to oversee and support prevention activities.
• Provides assessment and evaluation requirements for IPP oversight.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
TABLE OF CONTENTS 2
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 4
1.1. Applicability. .................................................................................................................... 4
1.2. Policy. ............................................................................................................................... 4
1.3. Information Collections. ................................................................................................... 4
1.4. Changes to Existing DoD Policy. ..................................................................................... 5
1.5. Summary of Change 1. ..................................................................................................... 5
SECTION 2: RESPONSIBILITIES ......................................................................................................... 6
2.1. USD(P&R). ....................................................................................................................... 6
2.2. Executive Director, Force Resiliency (EDFR). ................................................................ 6
2.3. Director, Department of Defense Education Activity (DoDEA). ..................................... 7
2.4. Director, DoDHRA. .......................................................................................................... 7
2.5. Assistant Secretary of Defense For Special Operations and Low-Intensity Conflict. ...... 7
2.6. Assistant Secretary of Defense for Health Affairs (ASD(HA)). ....................................... 8
2.7. Director, Defense Health Agency. .................................................................................... 8
2.8. DoD Component Heads. ................................................................................................... 9
2.9. OSD and DoD Component Heads, Excluding the Secretaries of the Military
Departments and Chief, National Guard Bureau (NGB). ................................................... 9
2.10. Secretaries of the Military Departments. ........................................................................ 9
2.11. Chief, NGB. .................................................................................................................. 10
SECTION 3: IPP ROLES AND RESPONSIBILITIES ............................................................................. 11
3.1. Composition. ................................................................................................................... 11
a. IPP Positions. ............................................................................................................... 11
b. Program Specialist Positions........................................................................................ 11
3.2. IPPW and IPP Support Core Activities. ......................................................................... 11
a. Scope. ........................................................................................................................... 11
b. IPP Position Roles and Collaboration with Other Prevention Stakeholders................ 13
3.3. IPP Personnel Duties....................................................................................................... 16
3.4. IPP Program Requirements. ............................................................................................ 16
3.5. IPPW General Competencies. ......................................................................................... 17
3.6. IPP Program Organizational Levels................................................................................ 18
a. Organizational Levels. ................................................................................................. 18
b. Responsibilities and Roles by Level. ........................................................................... 19
3.7. IPP Personnel Career Cycle. ........................................................................................... 21
a. Suitability for Performing IPP Personnel Roles........................................................... 21
b. Training and Education Requirements. ........................................................................ 22
c. Initial Training. ............................................................................................................ 24
d. Ongoing Professional Development. ........................................................................... 24
SECTION 4: EQUIPPING LEADERS FOR IPP ..................................................................................... 26
4.1. Role in Prevention........................................................................................................... 26
4.2. IPP Personnel Oversight. ................................................................................................ 26
4.3. Initial and Ongoing Professional Development. ............................................................. 26
4.4. Prevention Learning Objectives. ..................................................................................... 27
a. Implementation and Support of Prevention Systems. .................................................. 27
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
TABLE OF CONTENTS 3
b. Fostering a Command Culture of Respect. .................................................................. 28
c. Encouraging a Culture of Help-Seeking and Access to Available Resources. ............ 29
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION ............................ 31
5.1. CCA. ............................................................................................................................... 31
a. Participants. .................................................................................................................. 31
b. CCA Activities. ............................................................................................................ 31
c. CCA Due Dates. ........................................................................................................... 32
d. DOCP. .......................................................................................................................... 33
e. Action Plans, Results, and Materials............................................................................ 33
f. Training. ....................................................................................................................... 34
g. Roles and Responsibilities. .......................................................................................... 35
5.2. OSIEs. ............................................................................................................................. 37
5.3. Other Primary Prevention Data Collections. .................................................................. 38
GLOSSARY ..................................................................................................................................... 41
G.1. Acronyms. ...................................................................................................................... 41
G.2. Definitions. ..................................................................................................................... 42
REFERENCES .................................................................................................................................. 48
TABLES
Table 1. Examples of Prevention Activities and Personnel Alignment ....................................... 13
Table 2. DoD IPP Personnel Training and Education System..................................................... 23
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 1: GENERAL ISSUANCE INFORMATION 4
SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY.
This issuance applies to OSD, the Military Departments (including the Coast Guard at all times,
including when it is a Service in the Department of Homeland Security by agreement with that
Department), the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the
Combatant Commands, the Office of Inspector General of the Department of Defense, the
Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD
(referred to collectively in this issuance as the “DoD Components”).
1.2. POLICY.
a. DoD will establish and maintain a robust, enterprise-wide IPP capability with:
(1) A trained and full-time IPP Workforce (IPPW).
(2) Leaders equipped to facilitate prevention activities and use the IPP personnel’s
expertise.
(3) An enduring infrastructure for the collection and application of prevention data,
including:
(a) An accountability structure for administering, receiving, and using command
climate assessment (CCA) information to empower commanders to improve climate.
(b) Guidance for selecting and evaluating installations as part of the on-site
installation evaluation (OSIE) process.
(c) A DoD clearinghouse for primary prevention research that will accelerate
dissemination of research findings and streamline data collection processes.
b. Primary prevention research information collection is deemed to be an official action;
which may include the collection of sexual orientation and transgender information in
accordance with exceptions provided for in the January 28, 2011, Under Secretary of Defense for
Personnel and Readiness (USD(P&R)) Memorandum, and DoDI 1300.28, respectively, and in
compliance with requirements outlined in Paragraph 5.3.c. of this issuance.
1.3. INFORMATION COLLECTIONS.
The Defense Organizational Climate Survey (DEOCS) has been assigned report control symbol
DD-P&R-2338 in accordance with the procedures in Volume 1 of DoD Manual 8910.01. The
expiration date of this information collection is listed on the DoD Information Collections
Website at https://www.esd.whs.mil/Directives/collections_int/.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 1: GENERAL ISSUANCE INFORMATION 5
1.4. CHANGES TO EXISTING DOD POLICY.
This issuance supersedes the statement in the November 20, 2014, USD(P&R) Memorandum
that reads: “Designates the Defense Equal Opportunity Management Institute (DEOMI)
Organizational Climate Survey (DEOCS) as the survey tool for support of the Department of
Defense (DoD) command climate assessment program pursuant to section 572 of the National
Defense Authorization Act (NDAA) for Fiscal Year (FY) 2013, Public Law No. 112-239, as
amended by section 1721 of the NDAA for FY 2014, Public Law No. 113-66; and the Acting
Under Secretary of Defense for Personnel and Readiness memorandum, "Command Climate
Assessments," July 25, 2013.”
1.5. SUMMARY OF CHANGE 1.
The administrative change to this issuance:
a. Removes the statement in Paragraph 1.1. stating this issuance does not apply to National
Guard Service members. The original language was requested by the National Guard in error
during coordination and was intended for a different DoD issuance.
b. Updates references.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 2: RESPONSIBILITIES 6
SECTION 2: RESPONSIBILITIES
2.1. USD(P&R).
In addition to the responsibilities in DoDI 6400.09 and Paragraph 2.9., the USD(P&R):
a. Issues policy governing IPP personnel and provides policy oversight on prevention efforts
implemented pursuant to this issuance.
b. Through the Assistant Secretary of Defense for Manpower and Reserve Affairs and the
Director, Department of Defense Human Resources Activity (DoDHRA), establishes
standardized IPPW position designations to ensure that such designations are informed by DoD
Prevention Workforce Model, maintains accountability of positions, and ensures that positions
directly support IPP efforts across the areas of sexual assault, harassment, suicide, domestic
abuse, child abuse, and retaliation.
c. Develops and maintains a DoD clearinghouse on DoD-sponsored prevention research to
catalog and disseminate, as appropriate, harmful behavior prevention research and evaluation
findings to OSD and DoD Components. The DoD clearinghouse will:
(1) Comply with applicable Federal laws and DoD regulations; and
(2) Ensure all documents received by the clearinghouse are appropriately marked in
accordance with DoDI 5200.48, as applicable.
2.2. EXECUTIVE DIRECTOR, FORCE RESILIENCY (EDFR).
Under the authority, direction, and control of the USD(P&R), in addition to the responsibilities
in DoDI 6400.09, the EDFR:
a. Provides policy oversight on prevention efforts and the development of the IPPW.
b. Establishes, in coordination with the Secretaries of the Military Departments; Chief,
NGB; and Deputy Assistant Secretary of Defense for Civilian Personnel Policy, training and
education standards for IPP personnel and recommends changes to the prevention policy to the
USD(P&R).
c. Tracks and has accountability of the IPPW position designations to ensure that such
designations are informed by DoD Prevention Workforce Model and the positions directly
support IPP efforts across the areas of sexual assault, harassment, suicide, domestic abuse, child
abuse, and retaliation.
d. In collaboration with the Prevention Collaboration Forum (PCF), and in accordance with
DoDI 6400.09 and this issuance:
(1) Oversees and makes policy recommendations to USD(P&R) for the IPP personnel.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 2: RESPONSIBILITIES 7
(2) Oversees CCAs as outlined in Paragraph 5.1.
(3) Conducts OSIEs every other year as outlined in Paragraph 5.2. and provides written
findings and recommendations to the USD(P&R).
(4) Identifies and funds research opportunities in alignment with the Annual IPP
Research Agenda in accordance with Section 549A of Public Law 117-81, also known and
referred to in this issuance as the “National Defense Authorization Act (NDAA) for Fiscal Year
(FY) 2022.”
(5) Establishes standard operating procedures and review processes for the DoD
clearinghouse.
2.3. DIRECTOR, DEPARTMENT OF DEFENSE EDUCATION ACTIVITY (DODEA).
Under the authority, direction, and control of the USD(P&R), through the Assistant Secretary of
Defense for Manpower and Reserve Affairs, and in addition to the responsibilities in
Paragraphs 2.8. and 2.9., the Director, DoDEA oversees and delivers research-based prevention
activities to students and staff in DoDEA schools in accordance with DoDI 6400.09.
2.4. DIRECTOR, DODHRA.
Under the authority, direction, and control of the USD(P&R) and in addition to the
responsibilities in Paragraphs 2.8. and 2.9., the Director, DoDHRA:
a. Collaborates with DoD policy offices and PCF to support the training and professional
development of the IPPW and the implementation of this issuance.
b. Funds DoDHRA-sponsored research in alignment with the Annual IPP Research Agenda.
c. Develops and implements procedures for the review and approval of primary prevention
research and evaluation efforts in accordance with Paragraph 5.3.
d. Assigns roles and responsibilities to fulfill CCA requirements in Paragraph 5.1.g.
e. Develops and implements policies and procedures for sharing, as appropriate, data
maintained by DoDHRA related to primary prevention and evaluation pertaining to harmful
behavior within current relevant policy, laws, and regulations associated with each dataset.
2.5. ASSISTANT SECRETARY OF DEFENSE FOR SPECIAL OPERATIONS AND
LOW-INTENSITY CONFLICT.
The Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict, in
coordination with the Secretaries of the Military Departments, oversees IPP personnel within
United States Special Operations Command in addition to the responsibilities in Paragraph 2.9.
in accordance with this instruction, as applicable.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 2: RESPONSIBILITIES 8
2.6. ASSISTANT SECRETARY OF DEFENSE FOR HEALTH AFFAIRS (ASD(HA)).
Under the authority, direction, and control of the USD(P&R), the ASD(HA) ensures
performance of proper oversight capabilities for subordinate organizations for primary
prevention research.
2.7. DIRECTOR, DEFENSE HEALTH AGENCY.
Under the authority, direction, and control of the USD(P&R), through the ASD(HA); in addition
to the responsibilities in Paragraphs 2.8. and 2.9.; and in collaboration with the EDFR, the
Director, Defense Health Agency:
a. Supports dissemination and information sharing of primary prevention research pertaining
to harmful behaviors. Eliminates duplication of research efforts by:
(1) Including research projects directed through the Annual IPP Research Agenda in
regular interim progress reviews of primary prevention research funded by the Defense Health
Program (DHP).
(2) Inviting members of the PCF to participate in interim progress reviews of DHP-
funded primary prevention research.
(3) Participating in the PCF to ensure ongoing research integration, collaboration, and
information sharing.
(4) Requesting DoD Component status updates, summaries, and outcomes of research
directed through the Annual IPP Research Agenda, as needed.
b. Through the Research and Engineering Directorate, Psychological Health Center of
Excellence:
(1) Maintains a strategic roadmap for IPP research funded by DHP that will:
(a) Incorporate priorities for the Annual IPP Research Agenda.
(b) Be developed in collaboration with the PCF.
(2) Identifies gaps in research in IPP and prioritizes DHP research funding to mitigate
identified gaps.
(3) Provides research findings annually to PCF about all primary prevention research
funded by DHP, no later than the end of each FY.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 2: RESPONSIBILITIES 9
2.8. DOD COMPONENT HEADS.
The DoD Component heads:
a. Develop procedures to implement the requirements of this issuance and ensure their
respective Component’s compliance.
b. Support the establishment or modification of prevention policies in accordance with
PPoA 2.0 and this issuance.
c. Support implementation of prevention systems in accordance with PPoA 2.0, foster a
prevention culture, encourage help-seeking, and ensure access to adequate resources and
development opportunities for all IPP personnel under their respective jurisdiction.
d. Assign roles and responsibilities to fulfill CCA requirements pursuant to Paragraph 5.1.g.
e. Identify and approve ongoing professional development opportunities for the IPPW.
f. Will comply with collective bargaining obligations, as applicable.
2.9. OSD AND DOD COMPONENT HEADS, EXCLUDING THE SECRETARIES OF
THE MILITARY DEPARTMENTS AND CHIEF, NATIONAL GUARD BUREAU (NGB).
The OSD and DoD Component heads, excluding the Secretaries of the Military Departments and
Chief, NGB:
a. Establish or modify policy and procedures to align to and implement this issuance.
b. Support OSD and DoD Component IPP personnel.
c. Assign roles and responsibilities to fulfill CCA requirements pursuant to Paragraph 5.1.g.
d. Fund research in alignment with the Annual IPP Research Agenda.
e. Provide research status updates, summaries, and outcomes about all primary prevention
research pertaining to harmful behaviors funded by non-DHP monies to the DoD clearinghouse
no later than the end of each FY.
f. Upon request, submit training and policies for oversight review to the EDFR.
2.10. SECRETARIES OF THE MILITARY DEPARTMENTS.
In addition to the responsibilities in Paragraph 2.8., the Secretaries of the Military Departments:
a. Establish or modify policy and procedures of their respective Military Departments in
accordance with this issuance.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 2: RESPONSIBILITIES 10
b. Provide research and evaluation status updates, summaries, findings, plans for follow-on
research, and methods to minimize survey burden no later than the end of each FY to the DoD
clearinghouse on all primary prevention research and evaluation pertaining to harmful behaviors
funded by non-DHP monies.
c. Designate a primary prevention research coordinator (PPRC) to support their respective
IPPW as described in Paragraph 3.2.b.(4).
d. Participate in the PCF to ensure ongoing research integration, collaboration, and
information sharing.
e. Establish policies and procedures for the recruitment, professional development, and
retention of the IPPW and the identification and training of IPP Support Personnel.
2.11. CHIEF, NGB.
In addition to the responsibilities in Paragraph 2.8., the Chief, NGB, on behalf of and in
coordination with the Secretaries of the Army and the Air Force:
a. Establishes and modifies National Guard policy and procedures in accordance with this
issuance.
b. Provides research status updates, summaries, and outcomes no later than the end of each
FY to the DoD clearinghouse about all primary prevention research pertaining to harmful
behaviors funded by non-DHP monies.
c. Participates in the PCF to ensure ongoing research integration, collaboration, and
information sharing.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 11
SECTION 3: IPP ROLES AND RESPONSIBILITIES
3.1. COMPOSITION.
This issuance distinguishes between military and civilian positions across the prevention
enterprise which involve prevention activities and IPP positions, which require specific IPP
training and meet requirements outlined in Section 3 of this issuance.
a. IPP Positions.
There are two types of IPP positions: IPPW positions in which personnel perform IPP duties
full-time as members of the IPPW and IPP Support positions in which personnel, who are not
members of the IPPW, perform IPP duties on a part-time or secondary basis.
(1) IPPW.
The IPPW consists of DoD civilian employees or Service members whose primary duties
involve primary prevention of two or more harmful behaviors outside of a clinical setting. IPPW
positions correspond to Levels 3-5 in the DoD Prevention Workforce Model and require
completion of DoD-approved training in accordance with Paragraph 3.7.b.-c.
(2) IPP Support.
IPP Support positions are those in which DoD civilian employees or Service members
perform IPP duties on a less than full-time basis and not as their primary duties. IPP Support
positions correspond to Levels 1 and 2 in the DoD Prevention Workforce Model and require
completion of DoD-approved training in accordance with Paragraph 3.7.b.-c.
b. Program Specialist Positions.
Program Specialist positions are those in which the primary duties of the Service member or
DoD civilian employee involve a harmful behavior remediation program such as suicide
prevention, Military Equal Opportunity (MEO), Family Advocacy Program (FAP), and
substance misuse. Positions with primary duties involving program support may not be
designated or coded as IPPW. Such positions may be designated as IPP Support positions which
correspond to Levels 1 and 2 in the DoD Prevention Workforce Model and require completion of
DoD-approved training.
3.2. IPPW AND IPP SUPPORT CORE ACTIVITIES.
a. Scope.
(1) The scope of work for IPP personnel includes:
(a) The military community.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 12
(b) Research-based primary prevention activities, including:
1. Universal and selected primary prevention activities.
2. Primary prevention efforts that have the potential to reduce the prevalence of
two or more forms of harmful behaviors, including, but not limited to:
a. Sexual assault.
b. Harassment.
c. Retaliation.
d. Suicide.
e. Domestic abuse.
f. Child abuse.
3. Selected primary prevention delivered in a group setting (e.g., classroom
environment, unit environment).
(2) IPP personnel will not:
(a) Work in a clinical setting;
(b) Implement prevention activities with individuals or couples outside of a group
setting; or
(c) Provide clinical treatment as part of their IPP duties.
(3) IPP personnel will engage in IPP, which prioritizes:
(a) Unit- and community-based assessments and activities.
(b) Addressing risk and protective factors across the social ecology.
(c) Sharing information, research, and evaluation findings within relevant policy,
laws, and regulations with a variety of prevention stakeholders.
(d) Emphasizing environmental and contextual factors (e.g., social determinants of
health, pre-military risk factors, and community crime prevention).
(e) Providing encouragement, research-based advisement, and support to leaders in
their efforts to develop healthy climates and protective environments.
(f) Fostering collaboration with DoD and non-DoD agencies and stakeholders, in
accordance with Federal law and DoD regulations, to maximize prevention resources and
services available to the military community.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 13
b. IPP Position Roles and Collaboration with Other Prevention Stakeholders.
IPP personnel will collaborate with program specialists and other stakeholders who work to
prevent or respond to harmful behaviors. See Table 1 for examples of prevention activities and
personnel alignment.
Table 1. Examples of Prevention Activities and Personnel Alignment
Prevention Activity
Personnel Leading
Effort
Explanation
Healthy relationship training
for prevention of harmful
behaviors, such as training
groups of entry-l
evel Service
members
IPP personnel
1
Non-clinical prevention effort that addresses
two or more forms of harmful behavior
Healthy relationship training
for an individual, a couple, or a
family
Program specialists in
the FAP, clinical
personnel, or other
personnel such as
chaplains
Delivered to individuals or couples, may
consist of clinical intervention and may
include targeted parenting education
Advising leadership on local
alcohol policy
IPPW
Non-clinical prevention effort that addresses
two or more forms of harmful behavior
Advising leadership on alcohol
treatment options for at-risk
Service members
Clinical personnel
2
Clinical intervention
Lethal means safety education
and training for groups
IPP personnel
Non-clinical prevention effort that addresses
two or more forms of harmful behavior
Assisting leadership in
interpreting data on incidents
of harmful behavior
IPPW
Non-clinical prevention effort that helps
leaders engage in data-informed actions
Preventing problematic sexual
behavior in children or youth
Program specialists or
clinical personnel
Prevention effort targeting a single harmful
behavior, may include clinical intervention
1
IPP Support and IPPW personnel may engage in these efforts.
2
Clinical personnel are Service members or DoD civilian personnel who engage in clinical interventions (e.g.,
diagnose patients, administer medical treatments, deliver individual counseling or therapy) to improve health or
well-being and reduce harmful behaviors. Clinical personnel may also collaborate and consult with the IPP
personnel for primary prevention planning, implementation, and evaluation.
(1) Program Specialists.
(a) Program Specialists, in consultation with IPP personnel, provide training (e.g.,
annual and leadership training) aligned with their program or area of responsibility.
(b) Program Specialists lead secondary and tertiary prevention efforts, including
response efforts.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 14
(2) IPPW.
IPPW Personnel:
(a) Identify and integrate data, research, and evaluation findings from various sources
within relevant policy, laws, and regulations.
(b) Develop or administer IPP activities.
(c) Use data to conduct community needs assessments, select IPP activities, and
evaluate activities in accordance with PPoA 2.0.
(d) Interpret CCA results and advising commanders and leaders on development and
implementation of CCA action plans.
(3) IPPW Collaboration with Prevention Stakeholders.
(a) The IPPW will build rapport and sustain peer relationships with prevention
stakeholders to ensure there is proactive communication and collaboration among all parties.
Program specialists and prevention stakeholders include, but are not limited to, Sexual Assault
Prevention and Response (SAPR) personnel, FAP personnel, suicide prevention personnel, MEO
personnel, Equal Employee Opportunity personnel, chaplains, law enforcement, health care
providers, and training facilitators. The IPPW will advise and support ongoing prevention
efforts while modernizing the content, delivery, and dosage of prevention education. Leaders
overseeing the IPPW will be the decision-making authority on IPP activities to ensure cross-
functional collaboration is successful and aligned with the guidance in this issuance.
(b) DoD Component staffing of the IPPW and the distribution of prevention
responsibilities will be informed by the Prevention Workforce Model.
(c) The IPPW will collaborate with other stakeholders to achieve prevention goals
and outcomes. Examples of collaboration include but are not limited to:
1. Advising or collaborating on the content and delivery of ongoing training and
education (e.g., refining the delivery or dosage of an existing education program to improve its
outcomes). IPPW may help identify methods to reduce training fatigue and support program
specialists in achieving their program goals.
2. Strategizing on how to develop and deliver new education (e.g., retaliation
prevention) or program materials (e.g., maximizing the research-based content of education
materials). The IPPW can also help identify local prevention needs or compare universal versus
selected primary prevention activities.
3. Ensuring visibility and leadership support for program specialists’ ongoing
efforts and program needs. IPP personnel will engage in larger collaborative forums and
strengthen support for prevention on behalf of their peers and colleagues.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 15
(4) Research Oversight.
The Military Departments and the NGB each will appoint a PPRC. The Department of
the Navy and the Department of the Air Force will also appoint PPRC for the Marine Corps,
Navy, Air Force, and Space Force, respectively.
(a) The PPRC will collaborate with IPP personnel and:
1. Provide oversight, guidance, and assistance with obtaining research approvals
from commanders, supervisors, and other relevant stakeholders, including approvals pursuant to
Office of Management and Budget (OMB), Chapter 35 of Title 44, United States Code,
clearance, and the Human Research Protection Program.
2. Obtain legal reviews and advice on research from supporting legal office(s).
3. Provide oversight, guidance, and assistance with obtaining access to data
needed for prevention research and evaluation.
4. Pursuant to DoDI 3216.02, DoDI 5400.11, DoDI 8910.01, DoDI 1100.13, and
other applicable policies, obtain appropriate reviews, approvals, and advice from supporting
DoD privacy, information collection, and survey offices, and OMB, as applicable.
5. Obtain privacy reviews and advice from supporting privacy office(s) and
survey office(s).
6. Pursuant to DoDI 3216.02, determine if information collection or surveillance
activities require human subject protections.
7. Designate researchers permitted to access sensitive DoD data (e.g.,
confidential survey datasets), in accordance with guidelines established by DoDHRA and in
accordance with DoD regulations governing access to sensitive information; DoDIs 5400.11,
8910.01, 1100.13, and 3216.02.
8. As needed, collaborate with OSD and DoD Component research agencies,
institutions, or offices to align ongoing research efforts and IPP activities.
(b) The PPRC should have:
1. Level 4 prevention training (see Table 2 for description of Level 4 training).
2. Expertise in planning research, conducting evaluation, and fielding data
collections.
3. Communication with the Office of the USD(P&R) offices responsible for
research oversight, approvals, and development of the Annual IPP Research Agenda.
4. Experience collaborating with leaders and researchers.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 16
3.3. IPP PERSONNEL DUTIES.
Duties and responsibilities for IPP positions include:
a. Collaborating with program specialists and other prevention stakeholders at all levels.
b. Educating leaders on primary prevention and enhancing their overall prevention
knowledge in accordance with Paragraph 4.4. The IPP personnel must brief leaders on their
prevention responsibilities within 60 days of leaders assuming a new supervisory, command, or
leadership position.
c. Ensuring data, information, research, and evaluation findings are shared across
stakeholders for primary prevention planning and evaluation, in compliance with relevant policy,
laws, and regulations.
d. Conducting, at a minimum, an annual review of primary prevention activities within their
area of responsibility to ensure they are data-driven and not duplicative.
e. Helping leaders establish a culture of prevention characterized by:
(1) Fostering community norms that encourage healthy decision-making, empathy,
communication, bystander intervention, and help-seeking pursuant to Sections 4 and 5 of
DoDI 6400.09.
(2) Cultivating inclusivity, connectedness, dignity, and respect.
(3) Enhancing equity, rights, and engagement by:
(a) Identifying solutions for populations disproportionately impacted by harmful acts
and climate issues that contribute to the problem.
(b) Adapting prevention plans, processes, and trainings as necessary to minimize
inequalities and disparities.
3.4. IPP PROGRAM REQUIREMENTS.
DoD Components will establish an IPP Program with IPPW at all levels of the enterprise.
a. The composition of the IPPW will be informed by the DoD Prevention Workforce Model
and the IPP Program will formally integrate the primary prevention of harmful behaviors.
b. The IPP Program will:
(1) Design primary prevention activities to form research-based, comprehensive IPP
plans.
(a) Work with other prevention stakeholders to develop comprehensive IPP plans.
The plans will:
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 17
1. Be informed by data and findings from all CCAs at each echelon, including
Change of Command CCAs, Annual CCAs, and any Defense Organizational Climate Pulse
(DOCPs); and other prevention research and evaluation findings within their organization.
2. Define the population the plan includes and at what echelon (e.g., installation,
vessel, wing, battalion, office).
3. Include targeted actions at each echelon encompassed by the plan, including
actions for specific commanders or leaders at each echelon in accordance with
Paragraph 5.1.e.(1).
(b) The IPPW will create and update the comprehensive IPP plans for their area of
responsibility and track their implementation over time. This includes:
1. Submitting plans to the DEOCS portal annually by January 31, beginning in
2024.
2. Submitting updated plans describing implementation progress and new
information (e.g., findings from new Change of Command CCAs, new DOCPs, research, and
evaluations) to the DEOCS portal annually by July 31, beginning in 2024. Plans must note the
dates of CCA review sessions with commanders or leaders in accordance with
Paragraph 5.1.e.(1)(c).
3. Using the standardized format and process for submitting plans in accordance
with Paragraph 5.1.g.(3)(h).
(2) Advise commanders and leaders at all levels on all aspects of the prevention process
and prevention system.
(3) Collaborate, in accordance with Federal law and regulations, with partners internal
and external to the military to maximize prevention capabilities and reduce factors that
contribute to harmful behaviors.
(4) Leverage existing data and collect new data, as appropriate, to conduct community
needs assessments and inform a comprehensive IPP plan.
(5) Plan, select, implement, and evaluate primary prevention activities.
3.5. IPPW GENERAL COMPETENCIES.
a. Members of the IPPW will demonstrate the ability to:
(1) Explain to program specialists, prevention stakeholders, key policy-makers, the
military community, and leaders how harmful behaviors constitute a public health problem.
(2) Explain how to reduce harmful outcomes to program specialists, prevention
stakeholders, key policy-makers, the military community, and leaders.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 18
(3) Adapt and apply prevention science to the military environment.
(4) Access, interpret, use, and present data on harmful behaviors and the factors that
contribute to those behaviors, including unit and community needs and assets.
(5) Select, plan, and implement IPP activities.
(6) Understand the importance of and methods to evaluate IPP activities in accordance
with PPoA 2.0.
(7) Build and manage an IPP program.
(8) Disseminate information to and collaborate with the military community, program
specialists, prevention stakeholders, key policy-makers, and leaders.
(9) Build the prevention capacity of the military community through outreach and
education.
(10) Stimulate change through primary prevention activities in accordance with
PPoA 2.0.
(11) Use interpersonal skills to cultivate strong collaborative relationships and build IPP
networks of prevention stakeholders.
(12) Develop and strengthen competencies as a prevention professional over time.
b. Members of the IPPW whose work involves children, youth, and families will
demonstrate:
(1) Awareness and understanding of the impact of trauma, including exposure to harmful
behaviors by others, across the developmental spectrum of children and youth to adulthood.
(2) Awareness and understanding of risk and protective factors associated with child
abuse as described in Paragraph 5.5.b. of DoDI 6400.09.
(3) Awareness of enterprise-wide resources and programs that support children, youth,
and family well-being.
3.6. IPP PROGRAM ORGANIZATIONAL LEVELS.
a. Organizational Levels.
The IPP Program is grouped into three organizational levels: strategic, operational, and
tactical (see the Prevention Workforce Model for descriptions of positions within each
organizational level). Positions within different levels require different competencies.
DoDI 6400.11, December 20, 2022
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SECTION 3: IPP ROLES AND RESPONSIBILITIES 19
(1) Strategic Level.
The IPP Program will synthesize data and research, translate findings into policy and
guidance, and provide tools and technical assistance to the IPPW at the operational level.
(2) Operational Level.
The IPP Program will apply the strategic guidance to their sphere of influence and
provide tools and technical assistance to the IPPW at the tactical level to facilitate the execution
of the strategic guidance.
(3) Tactical Level.
The IPP Program will require collaboration and facilitation skills as well as the ability to
apply the strategic guidance, tools, and technical assistance to their organization.
b. Responsibilities and Roles by Level.
(1) At the strategic level, the IPPW will:
(a) Identify and collaborate with IPP Support Personnel to fulfill IPP requirements.
(b) Conduct primary prevention research and review existing data and evidence.
(c) Develop a comprehensive IPP plan for their component that addresses DoD
Component culture and organizational structure to include:
1. Implementation considerations for the three organizational levels.
2. Resource considerations to provide and sustain all prevention system and
process elements in accordance with PPoA 2.0.
(d) Collect and analyze data on the implementation and evaluation of primary
prevention activities across their component.
(e) Translate evaluation findings and propose policy recommendations as applicable.
(f) Use research findings to prioritize primary prevention efforts and gauge resource
needs.
(g) Conduct community needs assessments across their component.
(h) Prioritize needs across their component and propose data-informed actions to
leadership.
(i) Publish guidance on research-based trainings.
(j) Provide tools and technical assistance to IPP personnel at the operational level,
including examples of research-based prevention activities.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 20
(k) Translate strategic policy for operational and tactical level personnel.
(2) At the operational level, the IPPW will:
(a) Identify and collaborate with IPP Support Personnel to fulfill IPP requirements.
(b) Apply strategic guidance to their areas of responsibility.
(c) Provide tools and technical assistance to IPP personnel at the tactical level,
including examples of research-based prevention activities.
(d) Use research findings to prioritize prevention efforts and gauge resource needs.
(e) Develop and monitor prevention program activities and budgets.
(f) Determine and pursue resources to meet community needs identified by tactical
level IPP personnel.
(g) Advise operational level leadership.
(3) At the tactical level, the IPPW will:
(a) Identify and collaborate with IPP Support Personnel to fulfill IPP requirements.
(b) Engage and educate different program specialists and leaders on what primary
prevention is and their roles in primary prevention.
(c) Identify prevention activities that may positively impact the climate or reduce the
prevalence of harmful behaviors, and advocate for implementation of such activities with leaders
and other prevention stakeholders.
(d) Conduct regular community needs assessments in accordance with PPoA 2.0.
(e) Identify, adapt, implement, and evaluate research-based prevention activities
effectively and in collaboration, as appropriate, with individual(s) or entities responsible for
prevention programming and other relevant oversight entities in accordance with Federal laws
and applicable regulations.
(f) Collect, analyze, and interpret research and evaluation findings to prioritize
primary prevention efforts and gauge resource needs.
(g) Advise tactical level leadership on the needs of the military community and
promote research-based decisions.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 21
3.7. IPP PERSONNEL CAREER CYCLE.
a. Suitability for Performing IPP Personnel Roles.
(1) Service members are subject to the background check requirements of DoDI 5200.02
and Enclosure 3 of DoDI 1402.05.
(2) Suitability and fitness determinations for civilian employees subject to this issuance
will follow the guidance of:
(a) Volume 731 of DoDI 1400.25 for appropriated fund employees.
(b) Volume 1403 of DoDI 1400.25 for non-appropriated fund employees.
(3) All IPPW applicants must verify they do not have any of the following automatic
disqualifying conditions:
(a) A conviction of a crime of sexual assault or other sex-related offenses listed in
Chapter 47 of Title 10, United States Code, also known and referred to in this issuance as the
“Uniform Code of Military Justice” (UCMJ).
(b) A disqualifying conviction of:
1. Domestic violence as defined in DoDI 6400.06;
2. Child abuse; or
3. Any violent crime listed under the UCMJ.
(c) A conviction of a State or Federal crime, of sexual assault or other sex-related
offenses, or equivalent convictions as described in Paragraph 3.7.a.
(d) A conviction of a State or Federal law equivalent to the disqualifying conditions
in Paragraph 3.7.a.(4).
(e) A conviction of any attempts to commit acts referenced in Paragraph 3.7.a.(3)(b)
punishable under the law.
(f) A requirement to be registered as a sex offender.
(g) Any violent criminal behavior determined by the commander, supervisor, or other
appointing authority to be inconsistent with IPP roles and responsibilities.
(4) Before conducting prevention activities with children, youth, and families, IPP
personnel must:
(a) Obtain favorable completion of a Child Care National Agency Check with
Inquiries background check pursuant to DoDI 1402.05. If roles and responsibilities change after
initial certification to include children, youth, or families, personnel must notify the relevant
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 22
credentialing organization and ensure a Child Care National Agency Check with Inquiries
background check is completed.
(b) Understand and follow State and Federal mandated reporter requirements for
incidents of abuse or neglect involving children.
(c) Verify they do not have any of the following presumptive disqualifying
conditions in accordance with DoDI 1402.05:
1. A FAP record indicating that the individual met criteria for child abuse or
neglect or civil adjudication that the individual committed child abuse or neglect.
2. Evidence of an act or acts by the individual that tend to indicate poor
judgment, unreliability, or untrustworthiness in providing childcare services.
(5) Officials charged with making determinations pursuant to this instruction must
include in the record a written justification for any favorable determination made where
background check findings or evidence of conditions outlined in Paragraph 3.7.a.(4)(b) are
identified.
b. Training and Education Requirements.
(1) IPP personnel are required to complete initial training, consisting of DoD-approved
training courses. DoD uses a five-level education and training system. Table 2 defines the roles
and responsibilities for each level. IPP personnel will obtain and maintain the appropriate level
of education for their role and setting.
(2) IPP Support Personnel occupy Levels 1 and 2 in Table 2. The IPP Support Personnel
must complete a portion of the DoD-approved knowledge training courses before engaging in
IPP activities as determined by the DoD Component (see Table 2 for role requirements).
(3) EDFR, through the PCF, will:
(a) Develop and annually review training and education requirements.
(b) Oversee the process through which IPP personnel apply for and maintain
documentation of meeting the training and education requirements.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 23
Table 2. DoD IPP Personnel Training and Education System
IPP Support Personnel
IPPW
Level 1
Level 2
Level 3
Level 4
Level 5
Role
Implementation
Prevention
Prevention
Prevention lead
Prevention
support
support
specialist
program manager
Responsibilities
Training or
Supports
Leads planning,
Oversees
Oversees and
facilitating planning, implementation, planning, makes decisions
implementation, and evaluation implementation, regarding
or evaluation of of at least 2 and evaluation prevention
prevention prevention of all prevention activities; oversees
activities disciplines (e.g., activities at the identification,
suicide, sexual local level selection, and
assault, evaluation of
substance prevention
misuse, activities across
community multiple locations
crime)
Preparation
Training to
DoD-approved
DoD-approved
DoD-approved
DoD-approved
Required deliver training (e.g., training specific training, and 30 training and
prevention DoD SPARX to prevention hours of experience in
activities and Knowledge activities being continuing military setting,
DoD-approved Training Parts 1 delivered, and education and 30 hours of
training (e.g., and 2)
1
20 hours of annually continuing
DoD SPARX continuing education annually
Knowledge education
Training Part annually
1)
1
Selection
Facilitation
Prevention
Specialized
Advanced,
Advanced,
Consideration skills, interest experience and prevention specialized specialized
in prevention education in education and prevention prevention
social sciences, experience education and education and
public health, or (bachelor’s experience experience applied
criminal justice degree or higher (master’s in military settings
in prevention- degree or higher (master’s degree
related field in prevention- or higher in
preferred) related field prevention-related
preferred)
field preferred)
Roles these
Train or
Provide support
Use data to
Oversee
Plan, implement,
Individuals will facilitate as needed for plan, planning, and evaluate
be able to specific prevention implement, and implementation, prevention
Perform prevention evaluate and evaluation activities;
activities prevention of prevention empowered to
activities for activities; advise leaders
their prevention ensure about which
discipline consistent prevention
messaging activities to start
across and stop
prevention
activities or
1
As of Octo
(4 hours) an
discipline;
acceptable
adaptations for
prevention
activities
ber 2022, DoD-approved trainings consist of the DoD SPARX Knowledge Training; Part 1
d Part 2 (60 hours).
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 24
c. Initial Training.
(1) Level 1 personnel are only required to complete a portion of the approved training
(e.g., DoD SPARX Knowledge Training Part One). DoD components will provide
documentation of Level 1 personnel training completion.
(2) EDFR will track metrics on the completion of training of IPP personnel Levels 2-5 in
accordance with Paragraph 3.7.b.(3).
d. Ongoing Professional Development.
EDFR in accordance with Paragraph 3.7.b.(3) will develop standards for professional
development opportunities, as applicable.
(1) IPP Support Personnel, Levels 1 and 2. No requirements for ongoing professional
development or continuing education.
(2) IPPW, Level 3. 20 hours of continuing prevention education annually.
(a) Maximum of 10 hours of approved Service-specific or component-specific
training may be counted towards the 20-hour training requirement.
(b) Minimum of 5 hours must be dedicated towards program evaluation or social
science research methods. Example topics include:
1. Program evaluation design and methods, including logic model development
and implementation.
2. Experimental or quasi-experimental design (e.g., randomized controlled trials,
pre- and post-designs, retrospective pre- and post-designs).
3. Quantitative, qualitative, and mixed method data collection strategies (e.g.,
using surveys, focus groups, interviews, participant observations).
4. Translational sciences and development of public health interventions.
5. Data management and analysis (e.g., longitudinal design and analysis).
(3) IPPW, Levels 4 and 5. 30 hours of continuing prevention education annually.
(a) Maximum of 15 hours of approved Service-specific or component-specific
training may be counted towards the 30-hour training requirement.
(b) Maximum of 10 hours of prevention research (including public health, health
equity, and community health research) and report writing may be counted towards the annual
continuing education requirements.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 3: IPP ROLES AND RESPONSIBILITIES 25
(c) Minimum of 5 hours must be dedicated to training or coursework in leadership
development (e.g., leading a diverse team, ethics, decision-making, strategic communication,
mentorship, coaching skills, or team building).
(4) Professional development topics for personnel whose work involves children, youth,
and families include:
(a) A minimum of 5 hours of initial education dedicated to effects of trauma,
including exposure to adult harmful behaviors, in children, youth and adults, and current risk and
protective factors associated with family maltreatment.
(b) An annual review of Federal and State mandated child abuse or neglect reporting
requirements, policies, and processes to ensure proper adherence.
(5) Limitations.
(a) Activities that are not educational in nature will not count toward continuing
education requirements (e.g., participating in a run or walk event, volunteering at an awareness
table or booth).
(b) Instructing or administering prevention training courses will not qualify for
continuing education.
(c) Virtual education, training, and courses must be delivered by an accredited
institution of higher learning, Federal or State government, or a professional organization in a
social science, criminal justice, criminology, public health, community health, or related field.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 4: EQUIPPING LEADERS FOR IPP 26
SECTION 4: EQUIPPING LEADERS FOR IPP
4.1. ROLE IN PREVENTION.
For prevention activities to be effective, leaders must:
a. Analyze the environment in which they operate to determine how to prevent harmful
behaviors.
b. Promote and demonstrate positive character and leadership development.
c. Communicate prevention as a priority.
d. Create a respectful command climate where everyone can voice concerns without fear of
retaliation.
4.2. IPP PERSONNEL OVERSIGHT.
Leaders overseeing their IPP personnel will:
a. Ensure their IPP personnel are fully integrated into the organization.
(1) Ensure suitability of personnel recruited for the IPP positions under their jurisdiction
in accordance with Paragraph 3.7.a.
(2) Document compliance with training and continuing education requirements of their
IPP personnel in accordance with Paragraphs 3.7.c.-d.
b. Ensure their IPP personnel have access to adequate resources, funding, and professional
development opportunities and authority to plan, implement, and evaluate prevention activities
commensurate with their responsibilities.
c. Ensure formal mechanisms exist to allow for routine bi-directional exchange of feedback
and information between all levels of prevention personnel and leadership (e.g., community of
practice group, conference calls among command teams).
4.3. INITIAL AND ONGOING PROFESSIONAL DEVELOPMENT.
a. Initial and ongoing professional development of leaders will include the learning
objectives described in Paragraph 4.4. Professional military education (PME) and other
appropriate leadership development opportunities will provide progressively advanced levels of
learning that prepare individuals to lead and support IPP. Each individual’s PME on IPP may
occur by modifying existing PME, as appropriate, and will be:
(1) Tailored to their command and leadership requirements.
DoDI 6400.11, December 20, 2022
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SECTION 4: EQUIPPING LEADERS FOR IPP 27
(2) Appropriate to their rank or grade.
(3) Commensurate with their level of responsibility, as determined by their DoD
Component. This includes formal and informal training specific for:
(a) General and flag officers and Senior Executive Service equivalents.
(b) Commanders at all levels.
(c) Officers of all ranks.
(d) Senior enlisted leaders.
(e) Non-commissioned officers in supervisory positions.
(f) Basic military training instructors.
(g) Drill instructors or sergeants.
(h) Recruiters.
(i) Reserve Officer Training Corps and Service Academy staff.
b. Additional education modules may be tailored for commanders entering specific
operational environments or transitions, such as pre-deployment and post-deployment.
c. Initial and ongoing professional development for civilian employees in supervisory
positions will include learning objectives in Paragraph 4.4.
4.4. PREVENTION LEARNING OBJECTIVES.
a. Implementation and Support of Prevention Systems.
Leaders must:
(1) Learn and apply fundamental concepts needed to effectively oversee and support
prevention. These concepts include the ability to:
(a) Understand fundamental public health prevention principles and definitions.
(b) Provide examples of what works to prevent harmful behaviors (e.g., quality
implementation of prevention activities to maximize the effectiveness).
(2) Develop and leverage collaborative relationships to facilitate prevention. This
includes the ability to understand:
(a) The benefit of collaboration with other prevention stakeholders.
DoDI 6400.11, December 20, 2022
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(b) Healthy interpersonal skills and emotional intelligence are needed for high-
performing teams and mission readiness.
(3) Create and maintain a culture of prevention by:
(a) Recognizing and mitigating risk factors and encouraging protective factors to
prevent harmful behaviors.
(b) Understanding one’s role as a leader in creating an organizational climate that
supports prevention of harmful behavior.
(c) Understanding how the organizational core values reinforce social norms that
prevent harmful behaviors.
(d) Identifying and leveraging influential leaders, Service members, and DoD
civilian employees to promote prevention messaging that creates enthusiasm around prevention
in the target population.
(e) Promoting opportunities for program specialists and other prevention
stakeholders to participate in prevention activities and research.
(f) Monitoring and addressing military community resistance to prevention activities.
(g) Recognizing that prevention requires sustained engagement.
(4) Support implementation of research-based prevention activities. This includes the
ability to:
(a) Understand and reinforce the importance of continuing education requirements
for the IPPW.
(b) Understand the importance of using data, research and evaluation findings when
integrating prevention activities into a comprehensive IPP plan and evaluating outcomes.
(c) Communicate and reinforce the importance of using data, research, and
evaluation findings to guide prevention decision-making.
b. Fostering a Command Culture of Respect.
Leaders must:
(1) Maintain a healthy and professional organizational climate of respect. This includes:
(a) Understanding how to promote positive behaviors, model healthy skills, and
encourage healthy decision-making.
(b) Creating a command climate where dignity and respect are valued.
DoDI 6400.11, December 20, 2022
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(2) Apply leadership roles and responsibilities to enhance prevention of harmful
behaviors. This includes:
(a) Monitoring command climate related efforts and behaviors and considering them
in performance evaluations.
(b) Understanding the purpose and basic requirements of CCAs and how to use
results to inform actions to improve command climate.
(c) Clearly communicating the expectations for benchmarks, roles, and
responsibilities for improving and maintaining healthy command climates to subordinates.
(3) Foster inclusion and equity for diverse social groups. This includes:
(a) Understanding and implementing DoD prevention guidance and policy as it
pertains to selected primary prevention.
(b) Identifying solutions for populations disproportionately impacted by harmful
behaviors and addressing the climate issues contributing to the problem.
(c) Adapting prevention plans, processes, and trainings as necessary to minimize
inequalities and disparities.
c. Encouraging a Culture of Help-Seeking and Access to Available Resources.
Leaders must:
(1) Understand how trauma can impact individual wellbeing and workplace climate.
This includes the ability to describe the consequences of harmful behaviors and trauma and how
they affect work performance and readiness.
(2) Promote help-seeking behaviors and encourage resilience. This includes:
(a) Fostering an environment that reduces social stigma and promotes help-seeking
before harmful behaviors occur.
(b) Matching resilience activities to diverse individuals’ needs, depending on the
situation.
(c) Being knowledgeable about available military resources and how to access the
resources while supporting privacy. Having awareness of and access to personnel who can
advise on:
1. Federal, State, and local resources.
2. Clinical and non-clinical services.
3. Referral processes.
DoDI 6400.11, December 20, 2022
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SECTION 4: EQUIPPING LEADERS FOR IPP 30
4. Limits of confidentially depending on resource.
(d) Referring subordinates and peers to appropriate resources when at risk for
harmful behaviors.
(e) Establishing a command climate in which individuals can seek help and report
harmful behaviors without fear of retaliation in accordance with DoD 7050.06, DoDI 1350.02,
DoDI 1020.03, Volume 1 of DoDI 6495.02, and DoDI 6400.09.
(3) Respond appropriately to Service members exhibiting harmful behaviors. This
includes:
(a) Taking appropriate action when individuals engage in prohibited abuse or harm,
and safeguarding individuals as appropriate.
(b) Knowing when to seek additional guidance or input from other resources.
(c) Providing referrals to helping services for those exhibiting harmful behaviors or
warning signs of harmful behaviors.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 31
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA
COLLECTION
5.1. CCA.
CCAs primarily serve as an organizational development tool to help commanders and leaders
build positive organizational climates. CCAs allow unit commanders and organizational leaders
to identify areas for improvement and take appropriate actions to address these challenges within
their organization. CCAs also allow decision makers at the strategic level to direct resources to
the units, organizations, or locations that are most in need of prevention support.
a. Participants.
(1) Commanders of military units and civilian organizational leaders must conduct CCAs
at the echelon or level of command specified by their respective OSD and DoD Component
heads, in accordance with Paragraph 5.1.g.(4)(b).
(2) Unit member participation in a CCA must be voluntary.
(3) All Service members and civilian employees in the command or organization must
have the opportunity to participate. Civilian or military foreign nationals may participate in a
CCA, subject to DoDHRA approval. Contractor personnel may not participate in the CCA.
(4) Individuals who are on detail or otherwise temporarily assigned should be included in
the CCA for the organization in which they are currently performing their duties.
(5) Each Service member and civilian employee must be assessed at only one echelon
for each assessment period (e.g., a Service member must be assessed at either the company
echelon or battalion echelon, not both).
b. CCA Activities.
In accordance with Section 572(a)(3) of FY 2013 NDAA, members of the Armed Forces
must be provided with an opportunity to express their opinions regarding the command’s
response to allegations of sexual assault and sexual harassment. CCAs provide this and
additional opportunities to systematically gather information concerning an organization’s
climate.
(1) Annual CCA activities must include administration of a DEOCS.
(2) Change of Command CCA activities should not include a DEOCS, provided one has
been administered to the organization in the last year.
(3) To form a more comprehensive and actionable picture of command climate, all CCA
activities will include consideration of multiple sources of information about risk and protective
factors for sexual assault and sexual harassment, and other harmful behaviors as determined by
the Secretary of Defense, within the unit, such as administrative records, reports, interview data,
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 32
focus group data, or other existing data, in addition to current and previous DEOCS and DOCP
results.
(4) Consistent with Section 572(a)(3) of the FY 2013 NDAA, commanders of military
units and civilian organizational leaders must conduct a CCA within 90 days after assuming
command or leadership of an organization and annually thereafter. During a Change of
Command CCA, unit commanders and organizational leaders must review the unit or
organization’s most recent Annual CCA and assess the previous commander or leader’s progress
in implementing the relevant actions in the comprehensive IPP plan, as well as consider other
sources of data about command climate and the risk and protective factors for sexual assault and
sexual harassment and other harmful behaviors as determined by the Secretary of Defense.
(5) The Annual CCA occurs during an annual DEOCS fielding window in accordance
with Paragraph 5.1.c.(2). The DEOCS is the detailed, standardized survey used to obtain an in-
depth understanding of command climate.
(6) If a Change of Command CCA occurs during the Annual CCA, commanders of
military units and civilian organizational leaders should conduct a single CCA that fulfills both
Change of Command CCA and Annual CCA requirements.
(7) Commanders and leaders may conduct a DOCP survey during a Change of
Command CCA or between Annual CCAs to obtain additional data (see Paragraph 5.1.d. for
DOCP requirements).
(a) The IPPW will:
1. Advise commanders or leaders on collecting additional CCA data.
2. Provide guidance and help design and implement scientific methods for
analysis.
3. Help unit commanders or organizational leaders holistically interpret findings
across all data sources.
(b) To minimize burden on unit members, unit commanders and organizational
leaders may only conduct new data collections if the information to be collected is not
duplicative of information already available, in accordance with DoDI 8910.01, or otherwise
required by law. The determination of the need for new data and the data collection process
must be conducted in close coordination with the designated IPPW staff and the PPRC to ensure
appropriate policies, procedures, and best practices related to research, evaluation, and data
collection are followed. The new collection must comply with law and policy, including DoDI
8910.01 and DoDI 1100.13, as applicable.
c. CCA Due Dates.
(1) Unit commanders and organizational leaders must conduct a Change in Command
CCA within 90 days after assumption of command or office.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 33
(2) Unit commanders and organizational leaders must conduct an Annual CCA, which
includes administering a DEOCS between August 1 and November 30 and beginning no later
than October 31.
d. DOCP.
The DOCP is a brief survey tool with flexible content that may be used as part of the Change
in Command CCA or between Annual CCAs to provide timely feedback to unit commanders and
organizational leaders.
(1) Unit commanders or organizational leaders may field a DOCP voluntarily for any
reason or may be directed by their leadership to administer a DOCP as needed.
(2) Unit commanders and organizational leaders may choose the questions of the DOCP
from a bank of questions maintained by DoDHRA.
(3) To minimize survey fatigue, a DOCP must not be administered:
(a) More than once a year.
(b) Within the 90 days before or after a DEOCS.
(4) A DOCP is the only approved survey tool to measure command climate between
CCAs. A DEOCS cannot be used other than for a Change in Command CCA or Annual CCA.
(5) All requirements related to the DOCP described in Paragraph 5.1.d. will be effective
as of October 1, 2023.
e. Action Plans, Results, and Materials.
(1) Designated IPPW staff must incorporate the results of Change in Command CCAs,
Annual CCAs, and any DOCPs in the appropriate comprehensive IPP plan pursuant to
Paragraph 3.4.b.
(a) At a minimum, comprehensive IPP plans must:
1. Describe strengths and areas for improvement.
2. Indicate which data sources were considered (e.g., DEOCS, DOCP, records,
reports, interview data, focus group data, other existing survey data).
3. Identify recommendations for implementation by unit commanders and
organizational leaders at each echelon as appropriate.
4. Obtain approval from appropriate leader overseeing the plan development.
(b) If any DEOCS factors do not meet the scoring benchmarks specified by EDFR,
the comprehensive IPP plan must specifically outline how those will be addressed. However,
DoDI 6400.11, December 20, 2022
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SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 34
actions outlined in the comprehensive IPP plan need not be constrained to only areas that do not
meet scoring benchmarks. Actions may address multiple DEOCS factors simultaneously.
(c) The designated IPPW staff must have CCA review sessions with unit
commanders or organizational leaders within 60 calendar days of the close of the DEOCS or
next drill period (for Annual CCAs) or within 120 calendar days after a commander or leader
assumes command or office or next drill period (for Change in Command CCAs) to review the
results of the CCA and collaborate on potential actions to improve or sustain their climate. IPPW
staff must record the dates of the review sessions with the unit commander or organizational
leader in the comprehensive IPP plan.
(2) After a Change in Command CCA and the Annual CCA, unit commanders and
organizational leaders must, within 30 calendar days of the CCA review session (as described in
Paragraph 5.1.e.(1)(c)) or next drill period, share the current CCA results with their unit or
organization members; next higher level of command or leadership; and any subordinate
commanders or leaders. The CCA results will include:
(a) DEOCS results (for Annual CCAs).
(b) Insights from other data that was considered.
(c) Identified actions from the comprehensive integrated action plan.
(3) DoDHRA will collaborate with the CCA working group to establish procedures for
granting personnel access to CCA results and comprehensive IPP plans. At minimum, EDFR,
the IPPW, CCA administrative representative, current and incoming unit commanders or
organizational leaders, and next higher level of command must be able to access current and past
aggregated, de-identified CCA results, and comprehensive IPP plans for the units or
organizations under their purview.
(4) Data and materials associated with a CCA must be retained as follows:
(a) Unit-level DEOCS and DOCP results, comments, and action plans must be
retained by DoDHRA and available to authorized users within the DEOCS portal for up to 5
years.
(b) Unit commanders and organizational leaders must retain additional materials
related to their CCA in accordance with their DoD Component’s applicable data retention
policies.
f. Training.
(1) Training on the policies, procedures, and processes associated with a CCA will be
provided via a module of the PCF-approved training (e.g., DoD SPARX Training), effective
October 1, 2023.
DoDI 6400.11, December 20, 2022
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SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 35
(2) Personnel who will be administering or consulting on CCAs (including CCA
administrative representatives described in Paragraph 5.1.g.(4)(c) and the designated IPPW staff
described in Paragraph 5.1.g.(4)(d)) must take the CCA module of the PCF-approved training.
(3) Unit commanders and organizational leaders do not need to complete the CCA
training; only the designated CCA administrative representative needs to do so. However,
commanders and leaders should have a basic understanding of CCAs, as described in
Paragraph 4.4.b.(2)(b).
g. Roles and Responsibilities.
(1) Unit commanders and organizational leaders will ensure CCAs are completed in
accordance with Paragraphs 5.1.a.-e.
(2) In collaboration with the PCF, the EDFR will:
(a) Establish scoring benchmarks for DEOCS factors using either criterion or
normative approaches or a combination of both, assess benchmarks annually, and update as
needed.
(b) Identify and oversee development of appropriate informational resources for
responding to identified climate issues.
(c) No less than twice annually, provide climate briefings summarizing the status of
command climate across the DoD to the Deputy Secretary of Defense to enhance visibility of
climate and harmful behaviors across the DoD.
(3) DoDHRA will:
(a) In coordination with the PCF, develop, administer, and analyze the DEOCS and
DOCP, as well as collaborate with the CCA working group to ensure survey accessibility.
(b) Ensure DEOCS and DOCP results and comprehensive IPP plans are accessible to
authorized users via the DEOCS portal to unit commanders or civilian organizational leaders,
next higher level of command, and other authorized personnel within 14 calendar days of the
DEOCS or DOCP closing date or the comprehensive IPP plan upload date.
(c) Develop how-to guides and information aids for administering a DEOCS and a
DOCP and understanding results.
(d) Develop CCA training.
(e) Provide a virtual platform that will:
1. Enable unit commanders and organizational leaders to request and administer a
DEOCS or a DOCP.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 36
2. Allow unit commanders and organizational leaders, designated IPPW staff,
designated CCA administrative representatives, and other personnel as determined in
collaboration with the PCF and CCA working group to see and review aggregated, de-identified
DEOCS and DOCP results for the units or organizations under their purview.
3. Link users to appropriate information resources and personnel for help with
interpreting data and prioritizing courses of action.
4. Allow users responsible for tracking CCA compliance for their component,
determined in collaboration with the CCA working group and the PCF, to see and review which
commanders, leaders, and IPPW staff have:
a. Completed a DEOCS, including the dates DEOCS were completed and
reported reasons for units or organizations that completed a DEOCS outside the standard fielding
windows specified in Paragraphs 5.1.c.(1) and 5.1.c.(2);
b. Completed a DOCP; and,
c. Uploaded a comprehensive IPP plan.
(f) Establish a working group, in coordination with the EDFR, to advise and make
recommendations to the USD(P&R) related to CCAs, including the DEOCS and DOCP.
(g) Establish procedures and parameters regarding data sharing for DEOCS, DOCP,
and other CCA data, to be reviewed every 2 years by the PCF and the CCA working group.
(h) In coordination with the PCF, develop a standardized format and process for
submitting and reviewing comprehensive integrated action plans within the DEOCS portal as
described in Paragraphs 3.4.b.(1)(b) and 5.1.e.(1).
(4) OSD and DoD Components:
(a) Establish policies, procedures, and parameters to ensure military commanders and
civilian organizational leaders complete Change in Command and Annual CCA requirements as
described in Paragraphs 5.1.a.-e. Policies, procedures, and parameters must ensure participants
have sufficient time to complete surveys, include strategies for increasing sample sizes and
increasing survey accessibility, and ensure required CCA review sessions with commanders are
conducted.
(b) Define and enforce the echelon or level of command at which CCAs must be
administered so that it is standard across the DoD Component. Specification of the echelon or
level of command must consider survey suppression rules and average response rates to ensure
the number of survey respondents will be high enough for the unit to receive results reports and
ensure that each unit or organization member is only included in one CCA.
(c) Designate representatives to assist with administrative duties related to CCAs,
including administration of the DEOCS or DOCP and gathering of additional data, as described
in Paragraph 5.1.b.(3). These CCA administration representatives can be IPP Support Personnel,
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 37
prevention stakeholders, or other program specialists other than the IPPW (e.g., Equal
Opportunity Advisors, Command Climate Specialists, etc.), who have completed the CCA
training. However, military commanders and organizational civilian leaders are ultimately
responsible for meeting CCA requirements.
(d) Designate IPPW staff to help unit commanders and organizational leaders decide
what additional data are needed as described in Paragraph 5.1.b.(3), interpret CCA results,
identify areas for improvement, and implement appropriate and effective responsive actions as
described in Paragraph 5.1.e.(1). The IPPW should conduct interpretation and action planning
collaboratively with other program specialists and prevention stakeholders, in accordance with
Paragraph 3.2.b. If a component does not have any IPPW staff, other personnel with expertise in
prevention of harmful behaviors or social science research or evaluation methods will be
designated by the appropriate official to perform these CCA duties.
(e) Develop how-to guides and information aids for conducting CCA activities
described in Paragraph 5.1.b.
(f) Ensure unit commanders or organizational leaders share aggregated, de-identified
CCA results with unit or organization members and commanders or leaders up and down the
chain of command or leadership as described in Paragraph 5.1.e.(2).
(g) Ensure any personnel designated with CCA responsibilities complete the CCA
training as described in Paragraph 5.1.f.
(h) Provide a statement in the required unit commander or organizational leaders
performance evaluation or annual fitness report annotating whether the unit commander or
organizational leader met the requirements for a CCA specified in Paragraphs 5.1.a.-e. in a
timely manner and whether the unit commander or organizational leader implemented their
actions identified in the comprehensive IPP plan described in Paragraph 5.1.e.(1).
(i) Report the status of OSD or DoD Component unit commanders’ and
organizational leaders’ compliance with the CCA requirements on an annual basis to the EDFR,
including the number of units or leaders who did not complete their CCA or completed their
CCA outside of the standard fielding windows specified in Paragraphs 5.1.c.(1) and 5.1.c.(2) and
the reasons for noncompletion or completion outside the standard fielding windows.
(j) Designate a representative to serve on a CCA working group to advise and make
recommendations related to CCAs, including the DEOCS and DOCP.
5.2. OSIES.
The Office of the USD(P&R) will conduct OSIEs every other year in accordance with the March
30, 2022 Secretary of Defense Memorandum. OSIE site visit teams will:
a. Complete site visitor training.
b. Assess climate and prevention capabilities using standardized metrics.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 38
c. Include a Military Department or NGB representative who:
(1) Has Military Department or National Guard technical and operational expertise.
(2) Is not a member of the policy or program office associated with the harmful
behaviors being evaluated at any echelon within the Military Department or National Guard.
d. Include a point of contact at the site to support OSIE activities and provide local context.
e. Provide local feedback within 45 calendar days to OSIE site leadership and Military
Department or NGB leadership on identified gaps and areas for improvement.
f. Summarize findings and recommendations in site profiles for inclusion in the biennial
OSIE report to the USD(P&R).
g. Operate in accordance with EDFR-approved OSIE facilitation documents.
h. Schedule OSIEs in collaboration with a Military Department or the NGB to afford
predictability at the unit level.
5.3. OTHER PRIMARY PREVENTION DATA COLLECTIONS.
The following resources and guidance are provided to streamline approval of data collection
requests and maintain ethical research practices for prevention research and evaluation
conducted with the military community.
a. The collection of data concerning transgender related data for survey-based prevention
research does not require written approval from the USD(P&R) in accordance with DoDI
1300.28 when such data collection complies with the criteria as outlined in Paragraph 5.3.c. of
this issuance.
b. The collection of data concerning sexual orientation for survey-based prevention research
is an official action that does not require separate approval from the USD(P&R) when such data
collection complies with the criteria as outlined in Paragraph 5.3.c. of this issuance.
c. Sexual orientation and transgender related information, as referenced in Paragraphs 5.3.a.
and 5.3.b., respectively, may only be collected when the following conditions are met:
(1) It is being collected for the limited purpose of survey-based prevention research to
inform primary prevention as defined in DoDI 6400.09.
(2) Uses DoD-approved item language in accordance with this Paragraph 5.3.d. of this
issuance.
(3) Follows policies outlined in DoDIs 8910.01, 1100.13, and 3216.02.
(4) It is reviewed as part of existing OSD or DoD Component survey, data collection,
and human subject protection approval processes.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 39
(5) The data collected are aggregated in such a manner that the responses related to
sexual orientation and transgender related data identity will not correlate to any individual
identifier (e.g., email).
d. DoDHRA, with contributions from the PCF, will identify and maintain a standard item
bank pre-reviewed by relevant oversight entities to ensure the questions meet Federal survey
standards and are in compliance with Federal law, regulations, and DoD policies.
(1) The item bank will include a set of pre-reviewed empirically validated survey items
on sensitive or high-visibility topics, including:
(a) Sexual orientation and gender identity.
(b) Incidents of harmful behaviors.
(c) Safe storage of firearms.
(d) Other sensitive or high-visibility topics of public interest, as determined by DoD,
including the DoD Paperwork Reduction Act Clearance Officer, and in consultation with OMB,
as appropriate.
(2) If prevention researchers or other prevention stakeholders conducting DoD-
sponsored research or evaluation with the military community want items to be added to the item
bank to streamline future data collections, they may submit them on a quarterly basis to
DoDHRA for review.
(3) If prevention researchers or evaluators conducting DoD-sponsored research or
evaluation with the military community seek to use questions other than the standard item bank
questions on these topics, those items will be reviewed as part of existing OSD or DoD
Component survey, data collection, and human subject protection approval processes, including
DoDI 3216.02.
(4) Use of items from the standard item bank does not replace or supplant the normal
data collection approval processes required by the OMB; DoDIs 8910.01, 1100.13, and 3216.02;
or other OSD or DoD Component survey, data collection, or human research protection
authorities. Prevention researchers and evaluators conducting DoD-sponsored research or
evaluation with the military community must consult their PPRC to determine which approvals
are required.
(5) Prevention results and findings should not provide a measure of total force or
Service-wide sexual assault and sexual harassment prevalence estimates except when using
reported estimates from one of the prevalence surveys approved by the USD(P&R), including the
Workplace Gender Relation Surveys.
(6) Minimum requirements for using standard items from the item bank listed in
Paragraph 5.3.a. include:
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
SECTION 5: ASSESSMENT, EVALUATION OVERSIGHT, AND DATA COLLECTION 40
(a) The project must have a certificate of confidentiality in accordance with
Section 241(d) of Title 42, United States Code. Pursuant to DoDI 3216.02:
1. Information acquired under a pledge of confidentiality must be used
exclusively for statistical purposes and may not be disclosed in identifiable form for any other
purpose, except with the informed consent of the respondent for the release of their own data.
2. A certificate of confidentiality prohibits disclosing or providing information
created or compiled for purposes of research in any Federal, State, or local civil, criminal,
administrative, legislative, or other proceeding.
3. Any exceptions to the certificate of confidentiality must be listed in all
informed consent documents.
(b) Prevention researchers and evaluators conducting research with the military
community on behalf of DoD or supported by DoD, should use an anonymous design and
comply with the requirements set forth in DoDI 3216.02. Researchers and evaluators may use a
confidential research design if an anonymous design is not possible, but methods for protecting
participants’ confidentiality must be in place (e.g., separating responses and identifying variables
in separate files and using neutral third parties to link to additional data sources when necessary).
(c) Data should be stored and handled confidentially and safeguarded in accordance
with DoDIs 8910.01, 1100.13, and 3216.02, as applicable.
(d) Participants should be provided informed consent materials before participation
that clearly describe the purpose of the project, how the data will be used, who will see their
responses and in what format, any limits to their confidentiality, and any risks and benefits of
participation in the project.
(e) Participation in the project must be voluntary and discreet. Participants must be
able to skip any individual question.
(f) When using either anonymous or confidential designs, participants should not be
able to be identified by any single demographic variable or combination of demographic
variables in presentation of data or results and public-use datasets.
(g) The project must follow all other requirements for conducting research with
human subjects as outlined in DoDI 3216.02.
(h) Pursuant to Section 20341 of Title 34, United States Code, questions about child
abuse are not permitted.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 41
GLOSSARY
G.1. ACRONYMS.
A
CRONYM
M
EANING
ASD(HA)
Assistant Secretary of Defense for Health Affairs
CCA
command climate assessment
DEOCS
Defense Organizational Climate Survey
DHP
Defense Health Program
DOCP
Defense Organizational Climate Pulse
DoDEA
Department of Defense Education Activity
DoDHRA
Department of Defense Human Resources Activity
DoDI
DoD instruction
EDFR
Executive Director, Force Resiliency
FAP
Family Advocacy Program
FY
fiscal year
IPP
integrated primary prevention
IPPW
Integrated Primary Prevention Workforce
MEO
Military Equal Opportunity
NDAA
National Defense Authorization Act
NGB
National Guard Bureau
OMB
Office of Management and Budget
OSIE
on-site installation evaluation
PCF
Prevention Collaboration Forum
PME
professional military education
PPoA
Prevention Plan of Action (DoD)
PPRC
primary prevention research coordinator
SAPR
Sexual Assault Prevention and Response
UCMJ
Uniform Code of Military Justice
USD(P&R)
Under Secretary of Defense for Personnel and Readiness
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 42
G.2. DEFINITIONS.
Unless otherwise noted, these terms and their definitions are for the purpose of this issuance.
T
ERM
D
EFINITION
action plan
A document describing actions, timelines, and
responsibilities for responding to the results of the
DEOCS, DOCP and additional data sources.
Annual Integrated Primary
Prevention Research Agenda
A research agenda that strengthens the DoD’s primary
prevention research portfolio by prioritizing research
topics, ensuring collaboration across sectors and
organizations, and reducing duplication of effort.
Section 549A of the NDAA for FY 2022 mandates an
annual prevention research agenda.
annual CCA
The CCA conducted by unit commanders and
organizational leaders during the annual CCA fielding
window. Annual CCA activities include administration
of a DEOCS.
CCA
A systematic procedure used to gather information on
an organization’s climate and respond to identified
issues. CCA activities include consideration of DEOCS
and other data (e.g., interview data, focus group data,
observations, records, reports, and existing survey data).
change in command CCA
The CCA conducted by unit commanders after
assumption of command and organizational leaders
after a change of office.
child
Defined in DoDI 6400.01.
child abuse
Defined in DoDI 6400.01.
climate
The collection of shared attitudes and perceptions of
people within an organization or unit. In the military
context, it often reflects the efforts of leaders to build
cohesion or trust among their personnel.
clinical intervention
Defined in Volume 1 of DoDM 6400.01.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 43
T
ERM
D
EFINITION
clinical personnel
Service members or DoD civilian personnel who engage
in clinical interventions (e.g., diagnose patients,
administer medical treatments, deliver individual
counseling or therapy) to improve health or well-being.
collaboration
Working together towards a common goal or purpose.
Can refer to a wide range of practices and activities,
including networking (i.e., exchanging information for
mutual benefit), coordinating (i.e., altering activities to
achieve a common purpose), cooperation (i.e., sharing
responsibilities, resources, or expertise), and integrating
activities over time (i.e., merging prevention operations,
administrative structures, and budgets).
community-based assessments
Process for collecting information on the needs and
resources of the military community.
community needs assessment
Conducted as a part of a community-based assessment
to systematically identify and understand prevalence of
harmful behaviors and health and wellness needs of a
community.
connectedness
Defined in DoDI 6400.09.
culture of prevention
A culture characterized by:
(1) Fostering a community of practice that
encourages healthy habits, empathy, communication,
and help-seeking; and cultivating the values of
inclusivity, connectedness, dignity, and respect while
enhancing access, equity, rights, and engagement.
(2) Identifying populations disproportionately
impacted by harmful acts and climate issues that
contribute to the problem.
(3) Adapting prevention plans, processes, and
trainings as necessary to reduce or eliminate disparities.
data-informed actions
Defined in DoDI 6400.09.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 44
T
ERM
D
EFINITION
DOCP
A brief survey tool with flexible content that may be
used between the Change in Command CCA and
Annual CCA to provide timely feedback to unit
commanders and organizational leaders.
DoD clearinghouse
Designated Department-level capability that will
coordinate, collect, maintain, catalog, and disseminate,
as appropriate, DoD-sponsored prevention research and
evaluation findings to OSD and DoD Components.
domestic abuse
Defined in DoDI 6400.06.
evaluation
The systematic collection and analysis of information
and data (quantitative and qualitative) to assess
outcomes and impact of prevention activities for
continuous quality improvement.
harassment
Defined in DoDI 1020.03.
harmful behaviors
Self-directed harm and prohibited abuse and harm,
including sexual assault, harassment, retaliation,
suicide, domestic abuse, and child abuse.
health equity
The attainment of the highest level of health for all
people. Health equity is achieved when every person
can attain their full health potential, and no one is
disadvantaged of achieving this potential because of
social position or other socially determined
circumstances.
intervention
Defined in DoDI 6400.09.
IPP
Defined in DoDI 6400.09.
IPP personnel
DoD civilian employees or Service members who
engage in IPP activities and whose positions require
completion of specific IPP training and other DoD IPP
program requirements.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 45
T
ERM
D
EFINITION
IPP support personnel
DoD civilian employees or Service members whose
positions involve IPP support duties on a part-time or
secondary basis and require completion of specific IPP
training and other DoD-program requirements (See
Table 2).
IPPW
DoD civilian employees or Service members whose
primary duties and responsibilities involve the IPP of
two or more harmful behaviors outside of a clinical
setting and whose positions require completion of
specific IPP training and other IPP program
requirements. (See Table 2).
leader
Military leader as defined in DoDI 6400.09.
lethal means
Defined in DoDI 6400.09.
military community
Defined in DoDI 6400.09.
mixed method data collection
Data collection strategies that employ both qualitative
and quantitative methods.
non-clinical prevention effort
Prevention activities that do not provide direct
diagnosis, treatment, or clinical care for individuals who
are at risk for or exposed to harmful behaviors.
OSIE
An on-the-ground assessment of an installation’s
prevention capabilities that provides early detection of
risk factors and develops protective factors so leaders
can take action and enhance prevention.
PCF
Defined in DoDI 6400.09.
prevention activities
Defined in DoDI 6400.09.
prevention personnel
Defined in DoDI 6400.09.
primary prevention
Defined in DoDI 6400.09.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 46
T
ERM
D
EFINITION
primary prevention research
Clinical and non-clinical research conducted with an
ultimate goal of reducing or stopping harmful
behaviors.
prevention stakeholders
Defined in DoDI 6400.09.
program specialists
Service members or DoD civilian personnel whose
official duties align to a specific program that addresses
harmful behaviors. Examples of such programs include
FAPs, suicide prevention programs, SAPR programs,
MEO programs, equal employment opportunity
programs, prevention assistance and response programs,
military law enforcement crime prevention programs,
and programs targeting substance misuse.
prohibited abuse or harm
Defined in DoDI 6400.09.
protective factors
Defined in DoDI 6400.09.
research
Defined in DoDI 3216.02.
research-based
See definition of “research-based prevention policies,
programs, and practices” in DoDI 6400.09.
retaliation
Defined in DoD Retaliation Prevention and Response
Strategy, Appendix B.
retaliation prevention
Defined in DoD Retaliation Prevention and Response
Strategy, Issue Area 5, “Creating a Culture of Intolerant
of Retaliation.”
risk factors
Defined in DoDI 6400.09.
SAPR personnel
Service members or DoD civilians who support the
SAPR program.
SAPR program
Defined in DoD Directive 6495.01.
secondary prevention
Immediate response(s) to incidents of harm or abuse.
selected primary prevention
Primary prevention efforts focused on individuals or
groups at risk for harmful behaviors.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
GLOSSARY 47
T
ERM
D
EFINITION
sexual assault
Defined in Volume 1 of DoDI 6495.02.
social determinants of health
Environmental conditions where people work, live, and
play that affect a range of quality of life outcomes and
risks.
social ecology
A social ecological model of relationships between
people and their environment. A social ecology
considers the complex interaction between individual,
interpersonal, organizational, and societal factors on
health and well-being.
suicide
Defined in DoDI 6490.16.
tertiary prevention
Long-term response activities after incidents of harm or
abuse have occurred to mitigate the lasting
consequences of the harm or abuse and prevent future
harm, re-victimization, or recidivism.
translational sciences
The field of study focused on understanding the
scientific and operational principles underlying the
process of turning observations from a research setting
(e.g., evidence gathered from a laboratory, clinic, or
field experiment) into interventions that improve the
health of individuals and the public (e.g., prevention
policies, programs, or practices).
universal primary prevention
Prevention that takes place before a harmful act occurs.
It involves programs and strategies designed to reduce
the factors that put people at risk for experiencing
harmful behaviors. It also encourages the factors that
protect or buffer people from harmful behaviors.
Prevention efforts focused on a population without
regard to variance in individual risk.
violent crime
Offenses that involve force or threat of force on another
person. Examples include, but are not limited to,
assault, manslaughter, domestic violence, robbery,
sexual assault, and murder. Violent crimes are charged
pursuant to Articles in the UCMJ.
youth
Defined in DoDI 6060.04.
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
REFERENCES 48
REFERENCES
DoD Retaliation Prevention and Response Strategy, “Creating a Culture of Intolerant of
Retaliation,” April 2016
DoD Directive 5124.02, “Under Secretary of Defense for Personnel and Readiness
(USD(P&R)),” June 23, 2008
DoD Directive 6495.01, “Sexual Assault Prevention and Response (SAPR) Program,”
January 23, 2012, as amended
DoD Directive 7050.06, “Military Whistleblower Protection,” April 17, 2015, as amended
DoD Instruction 1020.03, “Harassment Prevention and Response in the Armed Forces,”
February 8, 2018, as amended
DoD Instruction 1100.13, “DoD Surveys,” January 15, 2015, as amended
DoD Instruction 1300.28, “In-Service Transition for Transgender Service Members,”
April 30, 2021, as amended
DoD Instruction 1350.02, “DoD Military Equal Opportunity Program,” September 4, 2020,
as amended
DoD Instruction 1400.25, Volume 731, “DoD Civilian Personnel Management System:
Suitability and Fitness Adjudication For Civilian Employees,” August 24, 2012
DoD Instruction 1400.25, Volume 1403, “DoD Civilian Personnel Management System:
Nonappropriated Fund (NAF) Employment,” March 20, 2015
DoD Instruction 1402.05, “Background Checks on Individuals in DoD Child Care Services
Programs,” September 11, 2015, as amended
DoD Instruction 3216.02, “Protection of Human Subjects and Adherence to Ethical Standards in
DoD-Conducted and -Supported Research,” April 15, 2020, as amended
DoD Instruction 5200.02, “DoD Personnel Security Program (PSP),” March 21, 2014,
as amended
DoD Instruction 5200.48, “Controlled Unclassified Information (CUI),” March 6, 2020
DoD Instruction, 5400.11, “DoD Privacy and Civil Liberties Programs,” January 29, 2019,
as amended
DoD Instruction 6060.04, “Youth Services (YS) Policy,” December 4, 2019
DoD Instruction 6400.01, “Family Advocacy Program (FAP),” May 1, 2019
DoD Instruction 6400.06, “DoD Coordinated Community Response to Domestic Abuse
Involving DoD Military and Certain Affiliated Personnel,” December 15, 2021, as amended
DoD Instruction 6400.09, “DoD Policy on Integrated Primary Prevention of Self-Directed Harm
and Prohibited Abuse or Harm,” September 11, 2020
DoD Instruction 6490.16, “Defense Suicide Prevention Program,” November 6, 2017,
as amended
DoD Instruction 6495.02, Volume 1, “Sexual Assault Prevention and Response: Program
Procedures,” March 28, 2013, as amended
DoD Instruction 8910.01, “DoD Implementation of the Paperwork Reduction Act,”
December 5, 2022
DoDI 6400.11, December 20, 2022
Change 1, April 4, 2023
REFERENCES 49
DoD Manual 6400.01, Volume 1, “Family Advocacy Program (FAP): FAP Standards,”
July 22, 2019
DoD Manual 8910.01, Volume 1, “DoD Information Collections Manual: Procedures for DoD
Internal Information Collections,” June 30, 2014, as amended
DoD Prevention Plan of Action 2.0, May 27, 2022
DoD Prevention Workforce Model, June 1, 2022
Under Secretary of Defense for Personnel and Readiness Memorandum, “Defense Equal
Opportunity Management Institute Organizational Climate Survey Usage and Data Sharing,”
November 20, 2014
Secretary of Defense Memorandum, “Commencing DoD Actions and Implementation to
Address Sexual Assault and Sexual Harassment in the Military,” September 22, 2021
Secretary of Defense Memorandum, “DoD Actions to Address Findings and Recommendations
of the 2021 On-Site Installation Evaluations,” March 30, 2022
Public Law 112-239, Section 572(a)(3), “The National Defense Authorization Act for Fiscal
Year 2013,” January 2, 2013, as amended
Public Law 117-81, Section 549A, “The National Defense Authorization Act for Fiscal Year
2022,” December 27, 2021
Under Secretary of Defense for Personnel and Readiness Memorandum, “Repeal of Don’t Ask
Don’t Tell and Future Impact on Policy,” January 28, 2011
United States Code, Title 10, Chapter 47 (also known as the “Uniform Code of Military Justice”)
United States Code, Title 34, Section 20341
United States Code, Title 42, Section 241
United States Code, Title 44, Chapter 35
