leading petty officer leadership course ... material/lpo guide/lpo_guide.pdfstudent guide a-500-0101...

LEADING PETTY OFFICER

LEADERSHIP COURSE

STUDENT GUIDE

JANUARY 2006

“The Individual assigned the leadership roles and responsibilities for planning and executing divisional functions; to include the professional and personal

growth of those personnel assigned within that division.”

STUDENT GUIDE A-500-0101

LEADING PETTY OFFICER LEADERSHIP COURSE

STUDENT GUIDE

JANUARY 2006

Leading Petty Officer Leadership Course i


Navy Knowledge On-Line (NKO): https://wwwa.nko.navy.mil/portal/index.jhtml

Navy E-Learning available through NKO: https://wwwa.nko.navy.mil/portal/index.jhtml

Navy E-Learning Help Desk/Customer Assistance Center (877) 253-7122 (toll free) or DSN 922-1828

Leading Petty Officer Leadership Course ii

https://wwwa.nko.navy.mil/portal/index.jhtml

https://wwwa.nko.navy.mil/portal/index.jhtml


CHANGE RECORD

Description of Change

Entered By

Date

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THIS PAGE INTENTIONALLY LEFT BLANK

DO NOT WRITE IN STUDENT GUIDE

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SECURITY AWARENESS NOTICE

A-4-9

********************************************************************* * * * * * This course does not contain any classified material. * * * * *

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SAFETY/HAZARD AWARENESS NOTICE

This notice promulgates safety precautions to the staff and trainees of the Naval Leadership Training Program in accordance with responsibilities assigned by the Chief of Naval Education and Training. Trainees may voluntarily request termination of training. Any time the trainee makes a statement such as "I QUIT," or "DOR," (Drop on Request), he or she shall be immediately removed from the training environment and referred to the appropriate division or training officer for administrative action. The trainee must then make a written statement, clearly indicating the desire to DOR. Any time a trainee or instructor has apprehension concerning his or her personal safety or that of another, he or she shall signal for a "Training Time Out" to clarify the situation or procedure and receive or provide additional instruction as appropriate. "Training Time Out" signals, other than verbal, shall be appropriate to the training environment. Instructors are responsible for maintaining situational awareness and shall remain alert to signs of trainee panic, fear, extreme fatigue or exhaustion, or lack of confidence that may impair safe completion of the training exercise, and shall immediately stop the training, identify the problem, and make a determination to continue or discontinue training. Instructors shall be constantly alert to any unusual behavior which may indicate a trainee is experiencing difficulty, and shall immediately take appropriate action to ensure the trainee's safety.

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HOW TO USE YOUR GUIDE This publication has been prepared for your use while under instruction. It is arranged in accordance with the topics taught and is in sequence with those topics. By using the table of contents, you should be able to easily locate the lesson topics. The enclosed course schedule will allow you to follow the course of instruction in a logical manner. Under each topic there may be the following instruction sheets: OUTLINE SHEETS (OS): Provide a listing of major teaching points. The outline is consistent with the outline of the discussion points contained in the instructor guide. It allows you to follow the progress of lesson topics, to take notes as desired, and to retain topic information for future reference. INFORMATION SHEETS (IS): Amplify supplemental information from the reference materials for the course and are included in your reading assignments in preparation for the lessons they support.

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TERMINAL OBJECTIVES

T.O. 1.0 Analyze interpersonal issues and apply responsibility, authority, and accountability concepts to address appropriate actions and reactions by the Leading Petty Officer.

T.O. 2.0 Utilize professional and ethical concepts to analyze behavioral situations to

determine appropriate solutions available to the Leading Petty Officer. T.O. 3.0 Demonstrate how a Leading Petty Officer can exemplify Navy Core Values;

ensure quality of service, and foster Esprit de Corps in the work environment T.O. 4.0 Demonstrate oral communication skills through a formal presentation and

incorporate communication concepts when interacting with personnel. T.O. 5.0 Demonstrate writing skills by generating formal performance evaluations and

award recommendations for personnel, using applicable resources. T.O. 6.0 Demonstrate methods for the Leading Petty Officer to develop personnel using

appropriate staff utilization, mentorship, delegation, individual development plans, and career tracking programs (i.e. 5 Vector Model).

T.O. 7.0 Apply decision-making processes to various situations at the Leading Petty

Officer level. T.O. 8.0 Demonstrate the ability to organize a team, translate a vision into an action plan,

and assign tasks/roles based on qualifications and individual traits. T.O. 9.0 Demonstrate the relationship the Leading Petty Officer has with seniors (Chiefs)

and juniors (Work Center Supervisors) in terms of negotiating and mutual influence.

T.O. 10.0 Demonstrate conflict management modes a Leading Petty Officer can take when

there is a conflict with a Sailor. T.O. 11.0 Utilize problem-solving techniques to address issues that arise during the

development and implementation of a plan. T.O. 12.0 Apply techniques to foster partnerships by maximizing the experience and

resources available within a Leading Petty Officer’s department/division. T.O. 13.0 Implement strategic plans to accomplish the mission, taking into account

resources, time constraints and organizational relationships.

Leading Petty Officer Leadership Course xi


T.O. 14.0 Determine the need for change and the best approach to implement change in the

work center. T.O. 15.0 Determine the impact of key national and international events on the role of the

Leading Petty Officer and Sailors T.O. 16.0 Discuss approaches to handle combat and crisis situations. T.O. 17.0 Generate ways that the Leading Petty Officer can empower personnel by

maximizing individual talents and using techniques that embody the principles of diversity.

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TABLE OF CONTENTS

Part Page

FRONT MATTER Student Name Page .......................................................................................................................... i Change Record............................................................................................................................... iii Security Awareness Notice ..............................................................................................................v Safety/Hazard Awareness Notice ................................................................................................. vii How to Use Your Guide ................................................................................................................ ix Terminal Objectives....................................................................................................................... xi Table of Contents......................................................................................................................... xiii Homework Assignments................................................................................................................xv E-Learning Requirements ........................................................................................................... xvii

COURSE INTRODUCTION OS 0-1 Course Introduction ............................................................................................. 0-3 IS 0-1-1 Work Center Profile............................................................................................. 0-7 IS 0-1-2 5 Vector Model .................................................................................................... 0-8

NAVY LEADERSHIP

OS 1-1 Responsibility, Authority, and Accountability .................................................... 1-4 IS 1-1-1 LEAD Checklist................................................................................................. 1-14 IS 1-1-2 Power Bases ....................................................................................................... 1-15 IS 1-1-3 Followership ...................................................................................................... 1-17 OS 1-2 Professionalism/Ethics....................................................................................... 1-20 IS 1-1-1 Hazing ................................................................................................................ 1-23 OS 1-3 Extra Military Instruction (EMI) ....................................................................... 1-24 OS 1-4 Service Motivation............................................................................................. 1-26

PROFESSIONAL INTERACTIONS

OS 2-1 Oral Communications .......................................................................................... 2-4 IS 2-1-1 Oral Brief Feedback Form ................................................................................. 2-12 OS 2-2 Counseling ......................................................................................................... 2-13 IS 2-2-1 Navy Counseling Categories ............................................................................. 2-17 OS 2-3 Performance Evaluations ................................................................................... 2-22 IS 2-3-1 Written Communications ................................................................................... 2-24 OS 2-4 Conflict Management......................................................................................... 2-26 OS 2-5 Influencing and Negotiating .............................................................................. 2-29

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HUMAN CAPITAL

OS 3-1 Individual Development Plan .............................................................................. 3-4 OS 3-2 Mentorship ........................................................................................................... 3-5 IS 3-2-1 Mentoring Partnership ......................................................................................... 3-8 OS 3-3 Intrinsic and Extrinsic Motivation ....................................................................... 3-9 IS 3-3-1 Reward and Recognition.................................................................................... 3-10 OS 3-4 Electronic Career Information ........................................................................... 3-11 IS 3-4-1 Career Development Board................................................................................ 3-12 OS 3-5 Enlisted Distribution Verification Report (EDVR) ........................................... 3-16

PLANNING

OS 4-1 Planning ............................................................................................................... 4-5 OS 4-2 Decision-Making ................................................................................................. 4-9 IS 4-2-1 Systems Approach ............................................................................................. 4-12 OS 4-3 Continuous Improvement................................................................................... 4-20 OS 4-4 Change Management ......................................................................................... 4-28

MISSION AND VISION

OS 5-1 Vision................................................................................................................... 5-4 IS 5-1-1 CNO Vision and Guidance .................................................................................. 5-5 OS 5-2 Awareness ............................................................................................................ 5-8 OS 5-3 Combat and Crisis................................................................................................ 5-9

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HOMEWORK ASSIGNMENTS DAY ONE

• Read in Student Guide

o Professional Interactions

• Complete in LPOLC Student Classroom Package

o Assignment Sheet 2-1: Brag Sheets • WS01 = YN3 Waller • WS02 = OS2 Armwood • WS03 = AO3 Martin • WS04 = SK3 Casey

DAY TWO


o Human Capital

• Research Assignment (Due Day Four)

o Oral Presentation


o Assignment Sheet 3-1: Individual Development Plan o Assignment Sheet 3-2: Electronic Career Information

• WS01 = PSR • WS02 = ESR • WS03 = ETJ • WS04 = SMART

DAY THREE


o Planning


o Assignment Sheet 4-1: Continuous Improvement

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DAY FOUR

• Read in Student Guide:

o Mission and Vision

• Oral Presentations Due


o Assignment Sheet 5-1: 5 Vector Model • WS01 = Professional Vector • WS02 = Personal Vector • WS03 = Certification and Qualifications Vector • WS04 = Leadership Vector

• Bring in three current event articles (Local, National, and International)

o Identify the following: • Source • Summary • Impact to the Navy and your command

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PRIMARY LEADERSHIP DEVELOPMENT PROGRAM

E-LEARNING REQUIREMENTS

Welcome to the Enlisted Leadership Development Program. You are enrolled in the Primary Leadership Development Program. This program consists of two major areas. The first area is the attendance of the course “Leading Petty Officer Leadership Course”. The second area is the completion of Navy E-Learning requirements through NKO.

Once you have successfully completed both the classroom portion and the Navy E-

Learning requirements portion, then you will have successfully completed the Primary Leadership Development Program. Then and only then will you be allowed to continue on in your leadership progression to the next level of training, the Advanced Leadership Development Program.

Below is a list of required Navy E-Learning for the Primary Leadership Development Program. Log on to NKO and access Navy E-Learning through the NKO portal. You will find both the course number and course title listed below. Course No. Course Title Hours

LEAD 0146 Coaching for Performance 2.5

PD0236 Problem Solving and Decision Making in Groups 2.5

LEAD0135 Establish and Maintain Authority 2.5

LEAD0147 Leading through Change 3.0

9th House Resolving Interpersonal Issues 2.5

COMM0503 The Negotiation Process 2.5

LEAD0148 The Leader as a Model 3.0

MGMT0262 The Personal Approach in Delegation 2.5

MGMT0115 A Manager’s Primer for Ensuring Accountability 3.5

HR0153 Business Ethics 2.0

Total Hours 26.5

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TOPIC SHEET 0-1 COURSE INTRODUCTION

A. INTRODUCTION

Congratulations on your appointment to the Leading Petty Officer Leadership Course. We are currently forging efforts to move toward the future state in this Revolution in Training. The Navy, as a learning organization, is steaming forward by providing Sailors with every opportunity to develop leadership skills through advancements in technology and training. You are part of that process. As a leader you face many challenges but also many gratifications. What are some of the experiences you encounter? This course will include various scenarios and challenges to help you define and hone your leadership skills, so they can be shared with other LPOs and applied to many situations. You will receive training in multiple delivery platforms covering various topics of leadership. You will be challenged physically as well as mentally. The courses that have been selected will present scenarios in industry, military, and fantasy; however, the concepts and principles presented are applicable in any leadership-driven environment.

B. ENABLING OBJECTIVES

None

C. STUDENT PREPARATION PRIOR TO THIS TOPIC

Read:

Topic Sheet 0-1: Course Introduction Outline Sheet 0-1: Course Introduction

Information Sheet 0-1-1: Work Center Personnel

Information Sheet 0-1-2: 5 Vector Model

Complete:

There are no assignments for completion prior to this lesson.

D. STUDENT REFERENCES

1. None

Leading Petty Officer Leadership Course SG 0-1 Course Introduction


E. SUPPLEMENTAL REFERENCES

These readings are suggested as additional sources of information. Although not required, you are encouraged to review these readings to broaden your perspective of the lesson.

1. Navy Knowledge Online. https://www.nko.navy.mil

F. STUDENT GUIDE MATERIALS

a. Topic Sheet 0-1: Course Introduction b. Outline Sheet 0-1: Course Introduction

c. Information Sheet 0-1-1: Work Center Personnel d. Information Sheet 0-1-2: 5 Vector Model


https://www.nko.navy.mil/



OUTLINE SHEET 0-1 COURSE INTRODUCTION

1. Introduction

The Course Introduction is an overview of the Leading Petty Officer Leadership Course. It discusses the Navy Leadership Continuum, as well as learning styles and class norms for the course. The instructors and students will introduce themselves.

Course Introduction Administrative matters Personal Introductions Class Norms Course Materials Mission Course overview Adult Learning Principles Leading Petty Officer 5 Vector Model Topic Debrief

2. Administrative Matters

Student concerns on administrative matters should be addressed prior to introducing any course material. This ensures there are no blocks to learning.

3. Personal Introductions

This activity is designed to break the ice. The objective is to help students feel relaxed and to get to know each other.

4. Class Norms

Class norms are a vital part of the instructional process. They provide guidance for the time instructors and students are together.



5. Course Materials

The purpose of the course materials is to provide course information and reading materials and to serve as a leadership and supervisory reference tool on the job.

a. Student Guide

Your Student Guide will contain the reading material for each topic. It’s organized in a logical manner to facilitate reference at anytime, during or following this training. You will receive a CD of its contents.

b. Student Classroom Package

Your Student Classroom Package contains Assignment Sheets to be completed before class and Exercise Sheets and Case Studies to be completed during class.

c. Reference Material

Reference material is provided in the classroom to give you ready access to information that is not in your Student Guide.

6. Mission

This course’s mission supports the Navy’s mission to “be organized, trained, and equipped primarily for prompt and sustained combat incident to operations at sea” by providing the leadership skills necessary to carry out that mission.

7. Course Overview

This course provides training in the areas of values, leadership, communications, Sailor development, managing systems and processes, command development, and mission execution.

Course Overview:

Unit One: Navy Leadership Unit Two: Professional Interactions Unit Three: Human Capital Unit Four: Planning Unit Five Mission & Vision



8. Adult Learning Principles

Course materials are designed to incorporate principles that enhance adult learning.

Adult Learning Principles:

Focused in the immediate time frame rather than future time

Focused on issues that concern you rather than abstract subject matter

Designed to enhance your self-image by placing value on what you have to contribute

Designed to be developmental by providing you with the opportunity to improve your skills as you progress through each unit

a. The course is focused in the immediate time frame rather than future time. What you

learn in this course can be used immediately in this course and in your position as a Leading Petty Officer.

b. The course is focused on issues that concern you. Case analyses, exercises, role-plays,

etc., are based on real situations you have faced, or you may face in the future.

c. The course is designed to enhance your self-image by placing value on what you have to contribute. You should bring your expertise and what you have learned from it into the classroom. You should also apply it to your job. Exercises are designed to enable students to demonstrate knowledge and skills in a variety of ways. Some exercises, such as case study analyses, involve small-group work; others, such as analyzing video vignettes, include full class discussion.

d. The course is developmental, providing you with the opportunity to improve your skills

as you progress through each unit. The challenges in the classroom will increase with each day.

People who excel using this experiential learning style prefer to jump in and see how it feels. They do not want to read about it; they want to experience it. These people learn best from simulations, exercises, and feedback from fellow students.

9. Leading Petty Officer

The Leading Petty Officer is the second leadership position in the Chain of Command, and is responsible for planning and executing divisional functions, to include the professional and personal growth of those personnel assigned within that division.



10. 5 Vector Model (5VM)

The 5 Vector Model is the primary tool for planning and executing your career. It lets you know where you are in your career and what requirements are needed to qualify for a particular assignment or for advancement. Used effectively, it will help you both professionally and personally.



INFORMATION SHEET 0-1-1 WORK CENTER PERSONNEL

A. INTRODUCTION

The following Sailors are some of the personnel at Naval Station Springfield. You will have an opportunity to interact with them through videos and activities throughout this week.

B. INFORMATION

QMC Martin

MRFN Rook, A.

AO3 Martin, H.

SK3 Lanier, T.

SK3 Casey, K.

AMAN Cathcart, C.

CS2 Bright, A

YN3 Sulton, C.



INFORMATION 0-1-2 5 VECTOR MODEL (5VM)

A. INTRODUCTION

The 5 Vector Model is a career roadmap that measures and plots an individual’s career progress and identifies resources to achieve career milestones. Since it is individualized, it will look and work differently for everyone.

B. INFORMATION

The 5 Vector Model consists of:

1. Professional Development Vector - The Professional Development vector involves your current status and future requirements in your primary rating or community. In particular it will list the training requirements for continued progress in a primary career field. This training, wherever appropriate, will be closely correlated to civilian and industry standards. The goal is to both train our people for their current jobs in the Navy, but also make them more employable in the civilian community as well.

2. Personal Development Vector - Personal Development provides the means to

identify and gain the valuable life skills an individual needs to be successful in their personal life. The skills are grouped into six areas. Lifelong learning includes both non-traditional education and college education. Health, wellness and recreation relates to lifelong physical fitness, nutrition and physical and mental well-being. Life skills are those necessary to manage, plan, and balance work and personal life. Financial management skills address finances from the first checking account through retirement planning and investing. Interpersonal skills are those concerning family relations, parenting, anger management, stress management, and emotional awareness. Values addresses development of good character traits, such as core values.

3. Leadership Vector - The Leadership vector is a continuum of leadership

development based on your current assignment, not simply your rank. 4. Certifications and Qualifications Vector - The Certifications and Qualifications

vector focuses on ensuring you receive unit level requirements and related industry certifications that directly relate to job proficiencies.

5. Performance Vector - The performance vector assesses your overall performance

taking into account all vectors. Currently the Naval Personnel Command is developing tools under the Sea Warrior program to enhance the performance assessment and promotion systems that will be accessed through the 5VM.



The career milestones plotted on your vector contains Knowledge, Skills, Abilities, Tools, and any other resources (e.g., classes) that will help you advance. Because the Skills use the same definition the Department of Labor developed, you can see the relationship between jobs in the Navy and Civilian world. Your first step in managing your 5 Vector Model is to determine what classes you need to meet your target job. Take those classes and work towards your qualifications. You can find out more information about the 5 Vector Model on Navy Knowledge Online.


TOPIC SHEET 1-1 NAVY LEADERSHIP

A. INTRODUCTION

Navy Leadership presents three main themes; the first theme presents concepts of responsibility, authority, and accountability and their application to the Leading Petty Officer. The interrelationship between those concepts is also discussed.

The second theme presents leadership challenges on ethics, values, and morals, and distinguishes between Navy Core Values, personal values, and cultural values. These challenges provide examples of unethical behaviors, such as hazing, which require action as the Leading Petty Officer. The last theme targets service motivation at the Leading Petty Officer, Work Center Supervisor, and Chief Petty Officer levels.


Communicate expectations to various groups within your division.

Discuss the impact of holding self responsible for own actions.

Discuss the impact of holding self responsible for personnel’s actions.

Discuss the benefits of taking personal responsibility.

Identify disciplinary methods to address unethical behaviors through appropriate channels.

Discuss methods to monitor and follow-up behavior through appropriate channels.

Assess situations to determine the proper course of action, including referring up the

chain of command.

Discuss established guidelines of EMI to correct discrepancies.

Discuss the impact of assigning EMI when a Sailor does not understand why it was assigned.

Describe how Esprit de Corps is affected by service motivation.

Identify methods to influence others towards Esprit de Corps.

Assess the impact of Navy Core Values on personnel in your division.

Leading Petty Officer Leadership Course SG 1-1 Navy Leadership


C. STUDENT PREPARATION PRIOR TO THIS TOPIC Read in the Student Guide:

Outline Sheet 1-1: Responsibility, Authority, and Accountability

Information Sheet 1-1-1: Power Bases for Leadership

Information Sheet 1-1-2: Followership

Outline Sheet 1-2: Professionalism / Ethics

Information Sheet 1-2-1: Hazing

Outline Sheet 1-3: Extra Military Instruction (EMI)

Outline Sheet 1-4: Service Motivation

Complete Assignments in Workbook:

None D. STUDENT REFERENCES

None E. SUPPLEMENTAL REFERENCES

1. Bass, B.M. (1990). Bass & Stogdill’s Handbook of Leadership: Theory, Research, & Managerial Applications. New York: The Free Press.

2. Hersey, P., Blanchard K.H., & Johnson, D.E. (1996). Management of Organizational

Behavior: Utilizing Human Resources. Upper Saddle River, NJ: Prentice Hall.

3. Latour, Lt. Col. S.M., and Rast, Lt. Col. V.J. (2004). Dynamic Followership: The Prerequisite for Effective Leadership. Air & Space Power Journal, Winter 2004.

4. Montor, K. (Ed.) (1987). Naval Leadership: Voices of Experience. Annapolis, MD:

Naval Institute Press.

5. NAVOP 030/92 Core Values of the United States Navy.

6. U.S. Navy, OPNAVINST 3120.32. (series). Standard Organization and Regulations of the U.S. Navy, (SORN).

7. U.S. Navy, SECNAVINST 1610.10 (1997). Department of the Navy Policy on Hazing.



8. U.S. Navy, U.S. Navy Regulations. (1990).

9. Uniform Code of Military Justice (UCMJ) (2000).


1. Topic Sheet 1-1: Navy Leadership

2. Outline Sheet 1-1: Responsibility, Authority, and Accountability

3. Information Sheet 1-1-1: LEAD Checklist

4. Information Sheet 1-1-2: Power Bases for Leadership

5. Information Sheet 1-1-3: Followership

6. Outline Sheet 1-2: Professionalism/Ethics

7. Information Sheet 1-2-1: Hazing

8. Outline Sheet 1-3: Extra Military Instruction (EMI)

9. Outline Sheet 1-4: Service Motivation



OUTLINE SHEET 1-1 RESPONSIBILITY, AUTHORITY, AND ACCOUNTABILITY

1. Introduction

Through various scenarios, case studies and leadership challenges we will differentiate between responsibility, authority, and accountability and how they apply to a Leading Petty Officer. You may have heard the old adage, "Authority can be delegated, but responsibility cannot." Leadership is ineffective without a successful balance of responsibility, authority, and accountability and as a Leading Petty Officer you will be faced with many challenges and must respond within your scope of authority and maintain accountability within your work center. Without this knowledge it will be difficult for you to accept the challenges placed before you and successfully lead your work center toward mission accomplishment.

2. Responsibility

“Success on any major scale requires you to accept responsibility...In the final analysis, the one quality that all successful people have is the ability to take on responsibility.” (Michael Korda, Leadership Now, Leading Thoughts, www.leadershipnow.com/responsibilityquotes.html downloaded May 23, 2005)

The basic concept of responsibility is standard in most situations, but in the military has deeper meaning.

Leading Petty Officers have roles that come with unique responsibilities. The command SORM will designate what the responsibilities of an LPO entail, but the information below will provide a general framework. Responsibilities are based on rules, regulations, and the very proud tradition of Navy petty officers.

a. Types of responsibility

The Leading Petty Officer's responsibilities include leadership responsibilities as well as personal responsibilities.

(1) Leadership

The responsibility of leadership may be viewed as "that for which one is answerable; a duty or trust" and includes the ability to meet obligations or act without senior authority or guidance. It may be responsibility delegated to the petty officer or inherent in a billet, primary or collateral duty, watch station, or may be directly related to being a Navy Petty Officer.


http://www.leadershipnow.com/responsibilityquotes.html


(a) Responsibilities for Sailors

Normally, we think of the petty officer being responsible for all assigned

tasks and all matters dealing with their Sailors. These are responsibilities for which the chain of command delegates and holds petty officers responsible.

(b) Responsibilities to Sailors

Leaders responsibilities to their Sailors are:

• Lead by example • Set the standards – the goal is to set the standard high enough so our

Sailors have to work hard to reach them, but they should also be attainable as well.

• Communicate the standards − What is expected of them? What tools do they have to attain the

standards? (Training, materials, etc.) − How do they use the tools to reach the standard? (Guidelines,

instruction, etc.) − What are the consequences of meeting the standards or failing to

meet them? (Awards, increased responsibility, extra training, EMI, etc.)

There are also responsibilities the Navy, as an organization, and Navy leaders, in particular, have to their Sailors. These are things Sailors deserve and should expect from their leaders, both their immediate superiors and the entire Navy chain of command. Leading Petty Officers have these responsibilities to their Sailors and deserve, and should expect, the same from their chain of command.

(2) Personal

All members of the Navy have the immediate responsibility to perform their assigned tasks and duties to the best of their ability and to conform to the standards of the service. This includes the moral obligation to do what is right.

b. Responsibilities to the chain of command

Leading Petty Officers have many responsibilities to the chain of command. They include:

• Good followership

• Performance of assigned duties and tasks to the best of their ability



• Effective leadership and management of Sailors

• Well-being of Sailors

• Correct behavior of Sailors

3. Authority

As with responsibility, authority has a deeper meaning in the military environment. The SORN definition of authority reads, “Authority is the power to command, enforce laws, exact obedience, determine, or judge.” In the civilian context, leaders can give orders and employees determine if they will comply or quit their jobs. Sailors do not have that choice. Orders must be followed.

Authority:

Authority is the legitimate power of leaders to control and direct the subordinates under them and cause subordinates to react to their commands, if in fact those commands are within the scope of the leader’s position.

(Montor, et al 1987, p. 485)

Authority can be broadly described as the freedom granted by seniors to allow individuals to command or influence the behavior, thoughts, or opinions of others. (Naval Leadership: Voices of Experience) a. Types of authority within the Navy

(1) Authority within the command

The basis of authority is the SORN, which states, "the specific authority to direct the actions of assigned personnel is vested in officers and petty officers within the chain of command as a function of general authority of rank or rating or as a result of organizational authority which emanates from assignment to specific billets within the organization. Authority is granted to individuals within the Navy only in the fulfillment of assigned duties and commensurate with their responsibilities and accountability."

(2) General Authority

General authority stems from the requirement to maintain good order and discipline with all matters that affect the efficiency of the command.



(3) Organizational Authority

As defined by the SORN, “Organizational authority derives from billets assigned to officers and petty officers within the organization.”

b. Universal types of authority

(1) Legal authority

Legal authority is set forth in Navy Regulations and the Uniform Code of Military Justice (UCMJ) and ensures orders are backed by the punitive articles that provide punishment for insubordinate conduct or failure to obey a lawful order.

(2) Earned authority

Earned authority grows out of the respect a leader commands. It stems from leadership qualities that make others obey, even if no law requires them to do so.

(3) Moral authority

Moral authority is the authority that makes a person step in and take over when an emergency arises and action is required. Good leaders will take action even though the emergency is not technically their responsibility. Moral authority is a matter of individual conscience that cannot be written into law.

c. Exercise of authority

(1) Good order and discipline

The exercise of authority is by the issuance of orders. Orders must be lawful, as Sailors are only charged to obey lawful orders. The duties, responsibilities, and authority of the Leading Petty Officer are to: (a) Assign specific personnel.

(b) Assign qualified personnel to supervise or monitor those assigned as

necessary.

(c) Assign additional personnel who are not qualified or need training and experience to assist those qualified assigned personnel.



(2) Delegation of authority

The SORN states, "Authority should be delegated to the lowest level of competence commensurate with the subordinate's assigned responsibility and capabilities." The delegation of authority does not mean the delegation of responsibility. Article 1022 of U.S. Navy Regulations states that if a person delegates authority, they shall not be relieved from any responsibility imposed upon them, and that they shall ensure the delegated authority is properly exercised and their orders and instructions are properly executed.

Delegation:

"Strange as it sounds, great leaders gain authority by giving it away." (VADM James Stockdale)

(3) Limitations on authority

The exercise of authority is by the issuance of orders. Orders must be lawful, as Sailors are only charged to obey lawful orders. "All persons in the naval service are required to obey readily and strictly, and to execute promptly, the lawful orders of their superiors." (Article 1132, U.S. Navy Regulations) The SORN states, "Organizational authority beyond that necessary to fulfill assigned duties and responsibilities should not be delegated. Authority should never be delegated beyond the lowest level of competence and may be limited by command." The UCMJ also sets certain limits on certain types of authority and limits on delegation, such as who can impose NJP, who can authorize search and seizure, etc. Article 1023 of U.S. Navy Regulations addresses abuse of authority and forbids persons in authority from injuring their subordinates by tyrannical or capricious conduct or by abusive language.

4. Accountability

"The leader must be accountable 'period’! I think that accountability is something that we have gotten away from in the last few years. We tend not to make decisions on our own, we do it by committee, and when you do it by committee, then no one person is accountable. The leader must be accountable for actions and decisions made, regardless of their outcome, and meet personal commitments promptly and fully. I couldn't stress this more." (MCPON Sanders)

Accountability:

Required to render account: ANSWERABLE. (Webster's)



The concept of accountability does not change in the military environment. However, because of the deeper meanings of responsibility and authority, accountability in the military environment may be seen as cold and harsh. It is not. It is what accountability has to be for responsibility and authority to be able to take on the deeper meanings already discussed.

a. Concept of accountability

Members of the Navy are held strictly accountable for their actions, both on and off duty. The SORN describes accountability as "the obligation of an individual to render an account of the proper discharge of his or her responsibilities" and that "this accounting is made to the person to whom the individual reports." It also states, "An individual assigned both responsibility and authority also accepts a commensurate accountability, which is the requirement that he or she answer to his or her superior for his or her success or failure in the execution of his or her duties."

b. Principles of accountability

The SORN (Article 141.6) includes the following as principles of accountability, in connection with general and organizational authority:

(1) Each individual, regardless of rank or position, is fully accountable for their

own actions, or failure to act when required.

(2) Leaders and supervisors have a duty to assign clear lines of authority and responsibility, reaching to the individual level, for all activity within their organization.

(3) Leaders and supervisors have a duty to provide their Sailors the resources and

supervision necessary to enable them to meet their prescribed responsibilities.

(4) Leaders and supervisors have a duty to hold their Sailors accountable and to initiate appropriate corrective, administrative, disciplinary, or judicial action when individuals fail to meet their responsibilities.

c. Types of personal accountability

Based on the accepted definition of accountability, every member of the Navy will be held accountable for the things for which they are responsible. This most commonly includes military duties and responsibilities, but also includes accountability for their personal actions.



(1) Legal accountability

Members are held legally accountable in all matters, whether governed by the Uniformed Code of Military Justice or by applicable federal, state, and local laws.

(2) Financial accountability

Members are held accountable in their financial dealings, whether they are in relation to the government and the Navy or in financial matters outside the Navy.

d. Accountability and Delegation

The principles of delegation recognize leaders at all levels must be ultimately accountable for the performance of their organization, even if they have charged Sailors with immediate responsibility and authority for managing certain functions. Keep seniors advised concerning all actions, including mistakes or when necessary action has not been taken.

5. Standards of conduct

Every member of the Navy is held accountable for maintaining a certain standard of conduct or behavior. These standards are established by rules, regulations, customs, and traditions and are based on the Navy's Core Values and accepted standards of ethical behavior.

a. Methods of maintaining accountability

Maintaining accountability should be viewed as a process including assigning responsibility (for task accomplishment or behavioral standards), delegating authority as necessary, monitoring (supervising) to ensure completion or compliance, and providing appropriate feedback. Feedback may be positive and include positive discipline, rewards or recognition for success. Feedback may also be negative, which may include several informal methods of discipline. If this process fails, formal punishment may be necessary. The biggest key to maintaining accountability is good leadership.

(1) Positive Discipline

Positive discipline is the development of that state of mind in which individuals endeavor to do the right thing, with or without specific instruction.



Discipline:

“A well-disciplined organization is one whose members work with enthusiasm, willingness, and zest as individuals and as a group to fulfill the mission of the organization with expectation of success. Lack of discipline results in loss of smooth, determined operating action and combat efficiency.” (ADM Arleigh Burke)

(2) Counseling

Counseling is an excellent method to maintain accountability through effective feedback. This can and should be used for both positive and negative situations, and may be informal or formal counseling.

(3) Non-punitive corrective measures

(a) Extra Military Instruction (EMI)

EMI is defined as instruction in a phase of military duty in which an individual is deficient. EMI is intended to correct that deficiency. It is an administrative measure and must not be used as a substitute for punitive action appropriate under the UCMJ.

(b) Withholding of privileges

Temporary withholding of privileges is authorized as another administrative corrective measure to correct infractions of military regulation or performance deficiencies when punitive action does not appear appropriate. Note: Final authority to withhold a privilege, however temporary, must rest with the level of authority empowered to grant that privilege (SORN, 142.2.b.(1)).

(c) Extension of working hours

Depriving Sailors of normal liberty as a punishment is illegal unless the punishment is imposed at NJP or court-martial. However, it is the responsibility of the leader to ensure certain tasks are performed and certain work is accomplished in a timely manner. It is not a punishment when persons are required to work outside normal working hours to accomplish the essential task. If working extended hours becomes routine, the chain of command should investigate the cause.



(4) Formal methods of maintaining accountability

Formal proceedings are usually initiated using the Report and Disposition of Offense(s) (Report Chit). At this point, the UCMJ and the Manual for Courts-Martial (MCM) direct the processes and rights of the accused for courts-martial. If you have any questions concerning procedures and policy, contact the Command Legal Officer or the Navy Legal Service Office.

(a) Professional Review Board (PRB)

A Professional Review Board (PRB) is used by some commands as a part of the administrative process for handling report chits. The PRB usually consists of a panel of senior enlisted members of the command who review cases after the Leading Petty Officer’s chain of command has investigated the report. The PRB then makes recommendations to the Executive Officer (XO) prior to the Executive Officer's Inquiry (XOI) as to the disposition of the case.

(b) Non-Judicial Punishment (NJP)

NJP or Captain's Mast is the lowest form of punishment in the Navy. It is presided over by the Commanding Officer (CO) following an extensive investigation by the chain of command. It is then referred to the CO by the XO (normally after a formal Executive Officer's Inquiry or XOI). The Division Chief and Division Officer must thoroughly investigate the circumstances of the offense and be prepared at XOI and Captain's Mast to shed all possible light on the incident. The Leading Petty Officer may be required to attend the proceedings and be asked for an estimate of the person's performance or a recommendation regarding punishment. In recommending or awarding punishment, the objective should always be improved performance.

The Leading Petty Officer will most likely be tasked with ensuring the individual is squared away and ready for XOI, Captain's Mast or court-martial. This will include proper grooming and the appropriate uniform.

(c) Judicial proceedings (courts-martial)

In the event a Sailor has committed an offense serious enough to warrant punishment beyond NJP, charges will be referred to some type of judicial proceeding (courts-martial). The work center supervisor may be called as a witness (possibly as a character witness) for any of these proceedings.



(d) Punishment

Punishment is often incorrectly used as a synonym for discipline. Punishment follows a failure of discipline. A perfectly disciplined Navy organization would have no trials by court-martial or NJPs. Punishment is solely the responsibility of the CO and cannot be delegated, since it can only be legally awarded by the CO or by a legally convened court-martial. No officer except the CO has any authority to inflict punishment on any person he is assigned to control.

6. Relationship among responsibility, authority, and accountability

The SORN states that authority is granted to individuals within the Navy only in the fulfillment of assigned duties and commensurate with their responsibilities and accountability. It also states that an individual assigned both responsibility and authority also accepts a commensurate accountability, which is the requirement that they answer to their superior for their success or failure in the execution of their duties. The three sides of the triad are indivisibly connected. Responsibility without authority and accountability, authority without responsibility and accountability, and accountability without responsibility and authority would each create an unworkable situation for the leader. Leading Petty Officers are granted the authority necessary to perform their duties and are held accountable for their performance.

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INFORMATION SHEET 1-1-1 LEAD CHECKLIST

A. INTRODUCTION

While you may have your own problem-solving technique, the LEAD Checklist presented here is used throughout the Leading Petty Officer Leadership Course. It consolidates some factors a leader should consider in order to address any issues that arise. The four step process is illustrated below.

B. INFORMATION

LEAD Checklist is: L – Locate the issue. What is the problem? E – Evaluate whether action is required? Does the problem need to be addressed or will it resolve itself? A – Authority If the problem needs to be addressed, do you have the authority to take action? D – Determine the best course of action. Considering the pros/cons and implications, identify possible plans and determine the

best approach.



INFORMATION SHEET 1-1-2 POWER BASES FOR LEADERSHIP

A. INTRODUCTION

Leadership is accomplished by the power one can exert over others. Consequently, no study of leadership can ignore the concept of power, also called influence. A key issue in the concept of power is that power is “attributed” by others to the leader. Attribution is a common phenomenon of human social interaction: I may be intelligent, but if others do not attribute intelligence to me, I am not considered smart. No matter how much I claim to be intelligent, it is only when others think I am intelligent, that I am valued for my input. This means that, to a great extent, power exists in a follower’s perception. To paraphrase, power, like beauty, is in the eyes of the beholder. The question then becomes, “How does a leader develop personal skills and abilities and communicate them in such a way that Sailors attribute power to that leader?”

B. INFORMATION

Many leadership studies have focused on the source of power, or “power bases.” French and Raven’s model is the most commonly cited, and it identifies five power bases: expert, referent, coercive, reward, and legitimate (Bass, 1990, p. 231). Hersey and Blanchard added information and connection power to these five, so their model includes seven overlapping power bases. In the simplest sense of power, we can speak of power over subordinates (reward them or punish them) and power with subordinates (knowledge and social acceptance) (Hersey, Blanchard, & Johnson, 1996, pp.217-218). To keep things relatively simple, we will examine only four power bases: expert, referent, legitimate, and coercive.

a. Expert power is derived from being perceived as one with considerable experience that makes you an expert in your rating and in your knowledge of the work center and the larger command. This experience is valuable because it helps subordinates do their jobs well. We may not like the person who knows how to defuse the bomb, or fix the computer, or perform the surgery, but we will respect them and learn from them. When promotions increase a leader’s span of control and responsibility, they also increase the need for expertise beyond technical skills. Leaders must know about the command’s mission, naval history and tradition, and the availability of programs and services to assist Sailors with personal and professional development.

b. Referent power is based on the desire of followers to identify with their leaders and be

accepted by them. Referent power makes a Sailor feel valued for their contributions, personally accepted, and important. An improved image increases your referent power. Charisma, charm, and courage improve your image. The ability to motivate and inspire Sailors is derived from referent power. Giving Sailors a sense of belonging and importance provides important social rewards necessary to build a strong work center. Unfortunately, referent power can be used to create “favorites” or “cliques” that deny certain personnel access to the preferred group. This is a negative use of referent power and is detrimental to



work center effectiveness. Good leaders develop skills in motivating and rewarding all of their Sailors, not just their favorites.

c. The Navy confers legitimate power, which is the power that comes with the authority of

your rate and position in the chain of command. Legitimate power increases with increased responsibility, and true legitimate power comes from fulfilling your responsibilities well. An individual with legitimate power can use organizational incentives to reward or punish those individuals within his or her control. It is important how legitimate power is earned. Legitimate power is weak if the individual is not attributed either referent or expert power, e.g., if the individual is perceived by followers to have been granted legitimate power based on some criteria other than personal qualifications. Remember power is attributed: if Sailors do not perceive the leader as qualified, they will not attribute power. In many cases, newly appointed leaders need to “prove themselves” to subordinates before referent and expert power can enhance their legitimate power.

d. Coercive Power is the perceived ability to provide punishment or consequences for not

performing. Being too supportive with people who are not performing can be perceived as rewarding lack of performance. Followers need to know if they do not respond, there may be consequences. These consequences may be cost, sanctions (a form of reprimand), cut in pay (through reduction-in-rate), transfer, and/or job reassignment, or even discharge. Managers can often lose this power by not following through with their sanctions and not differentiating the use of sanctions based on performance. If people feel they will be punished regardless of their performance, coercive power has little impact.



INFORMATION SHEET 1-1-3 FOLLOWERSHIP

A. INTRODUCTION

While this course is designed to improve your leadership and management skills as Leading Petty Officers, it is also important you understand the importance of being good followers. Followership is the one element all leaders and effective leadership depend on.

“Valuing followers and their development is the first step toward cultivating effective transformational leaders – people capable of motivating followers to achieve mission requirements in the absence of hygienic or transactional rewards (i.e., immediate payoffs for visible products). This shift away from transactional leadership demands that we begin developing and sustaining transformational followership to enhance transformational leadership. A dynamic followership program should produce individuals who, when the moment arrives, seamlessly transition to lead effectively while simultaneously fulfilling their follower rules in support of their superiors.” (Latour and Rast, 2005)

Professionalism in followership is as important to the Navy as professionalism in leadership. Much of the information provided in this Information Sheet is based on an article by Sergeant First Class Michael Woodward in Infantry magazine. The concepts are just as applicable to the Sailors of today as they were to infantry soldiers in 1975.

B. INFORMATION

1. Followership can be defined as a process in which subordinates recognize their responsibility to comply with orders of leaders and take appropriate action consistent with the situation to carry out those orders to the best of their ability. In the absence of orders, they estimate the proper action required to contribute to mission performance and take that action. Inherent in this definition is a high degree of self-discipline. The follower must have a personal commitment to the successful completion of the command's mission. The most effective followers are those who accept the necessity for compliance and are committed to placing the needs of the unit above their own needs.

2. An effective follower needs more than self-discipline. Competence is a requirement and

requires continual self-development, which may take the form of training or education. Note that, in this course, we will discuss Sailor development as a responsibility of leadership as well as the follower's responsibility for self-development.

3. The responsibilities given by leaders to the followers must be realistic. Followers must

be held accountable for the end result of their responsibilities, but should be given as much latitude as possible in accomplishing those responsibilities. Of course, responsibility implies more than just doing what is required—it includes an obligation to serve and perform in the best manner possible for that individual follower.



4. Dedication is a commitment to a system of values or ideal. It is the vehicle of self-discipline, competence, responsibility, and professionalism; it is the follower's guideline. For the professional follower, it is a firm belief in the nation, the Navy, the command, its mission, and their role. In the Navy, this may involve putting one's life in danger for that dedication.

5. Any organization, military or otherwise, must have followers. To succeed in whatever

purpose it has, the group's followers must function effectively. The one major difference between the military services and other organizations is the consequence of failure. Depending upon the size of the organization and the importance of the mission, a failure of followership can lead to unnecessary casualties, failure of a particular mission, the loss of a battle, or, at its worst, the loss of a war. Therefore, followership cannot be ignored. It needs to be nurtured and fostered as much as leadership. Leaders are useless without followers, marginally effective with apathetic followers, and most effective when the followers are as professional in their attitude toward followership as the leaders are about leadership.

6. Followers who have the same sense of mission accomplishment as their leaders, who are

aware of and actively participate in the art of followership, make leadership possible. When followers actively contribute, are aware of their function, and take personal pride in the art of followership, then the joint purpose of leadership and followership—higher levels of mission accomplishment—is achieved effectively.

7. Guidelines for followers:

a. Know yourself and seek self-improvement.

b. Be technically and tactically proficient.

c. Comply with orders and initiate appropriate actions in the absence of orders.

d. Develop a sense of responsibility and take responsibility for your actions.

e. Make sound and timely decisions or recommendations.

f. Set the example for others.

g. Be familiar with your leaders and their jobs, and anticipate their requirements.

h. Keep your leaders informed.

i. Understand the task and ethically accomplish it.

j. Be a team member.



8. Followers are potential leaders. Ambition to be a leader and proven leadership ability lead the way from followership to leadership, and the most effective follower is that individual whose goal is future leadership. Followership does not guarantee success from any group, but when combined with effective leadership, it prepares your command and the Navy to be ready for any mission assigned by higher authority.



OUTLINE SHEET 1-2 PROFESSIONALISM / ETHICS

1. Introduction

In this topic, the Navy’s Core Values are covered with emphasis on the need for professionalism and ethics based on personal character and integrity. Also discussed are problems that can occur when the core values are not followed, such as hazing.

2. Navy Core Values

The Navy's core values of honor, courage, and commitment are instilled in the oath that every person who enters the service takes:

Honor – “I will bear true faith and allegiance…”

“Accordingly, we will: abide by an uncompromising code of integrity, taking responsibility for our actions and keeping our word; fulfill or exceed our legal and ethical responsibilities in our public and personal lives twenty four hours a day” (NAVOP 030/92, p.1).

Courage – “I will support and defend…” “Courage is the value that gives us the moral and mental strength to do what is right even in the face of personal or professional adversity” (NAVOP 030/92, p.2).

Commitment – “I will obey the orders…”

“Accordingly, we will be committed to positive change and constant improvement. The day-to-day duty of every Navy man and woman is to work together as a team to improve the quality of our work, our people, and ourselves.” (NAVOP 030/92, p. 2). This commitment to positive change and constant improvement provides an important building block in the foundation of leadership-by-example, and is independent of rank, rate, and job assignment. Each of the Navy's three Core Values has elements that make it the Navy's system of values.

a. Aligning Value Systems to Navy Core Values

(1) Values Alignment

(a) Values alignment is important to leaders because of its potential to influence

workplace attitudes, behaviors, and outputs. Without some degree of values alignment, the best we can hope for is compliance, not commitment.



(b) Value congruence or alignment occurs when individuals express positive feelings upon encountering others who exhibit values similar to their own. When values differ, conflicts over goals and the means to achieve them may result.

(c) As a leader, you must align your value system with the Navy’s value system, and

you must also work to align the values of your people. (d) Since leaders cannot directly observe others’ values, they can work at values

alignment without knowing what the other person's values are by practicing the behaviors listed below.

(e) The cornerstone of our future will be the character of each service member, from

the newest recruit or civilian employee to our senior leadership (NAVOP 030/92).

(2) Personal Integrity

(a) Personal integrity is about “walking-the-walk and talking-the-talk”—meaning, an individual lives consistently with their principles. Personal integrity for Navy personnel is about demonstrating the principles espoused by the core values.

(b) Personal integrity involves weighing the balance of our personal convictions and

values along with the charge before us as leaders and representatives of the United States Navy. Personal integrity often requires an individual to put aside personal preferences and natural tendencies and take the high road.

(c) Personal integrity requires paying a price. It is often much easier to go along with

the crowd, take the easy way out, turn your back, look the other way, or not rock the boat. But in the long run, standing for your personal integrity brings the personal satisfaction of knowing you stood for that which is more enduring.

(d) An individual’s personal integrity will be tested, often repeatedly. Anyone who

chooses to be a leader will face more tests of personal integrity. This is why it is important to know what your guidelines are, to know what your values and principles are.

b. Accountability for Unethical Behavior

Leaders and subordinates must understand members of the military are called to a higher standard. Every Sailor’s apparent system of values must be compared to the Navy’s Core Values. Where misalignments exist, leaders must take action to bring the Sailor’s system of values into alignment with the Navy’s Core Values. Leaders must ensure those who do not uphold the higher standards of ethical behavior are held accountable. Because individuals come to the Navy with a variety of personal morals, values, beliefs, and principles, it is necessary to have some standard to hold everyone accountable. Within the parameters of Navy standards, there is room for widely differing individual



values. However, a behavioral standard must be maintained in order for there to be order, fairness, and justice.



INFORMATION SHEET 1-2-1 HAZING

A. INTRODUCTION

Hazing is an issue every military member regardless of their rank or position shall not tolerate and must make every effort to stop. As an LPO, you should address and correct in your work center and in other environments where an incident includes military members. Hazing not only contravenes navy core values and esprit de corps, but it can do physical and psychological harm to the intended victims. Any members who were actively involved, or aware of a hazing incident will be subject to the appropriate administrative or punitive action as prescribed under the UCMJ. Awareness of the work center climate and the interactions of your personnel is one of the best resources you can use to ensure hazing is stopped before it's started.

B. HAZING POLICY

The Department of the Navy’s Policy On Hazing is specified in SECNAVINST 1610.2A, which may be located at http://neds.daps.dla.mil/Directives/table40.html by selecting the “SECNAV 1610.2A” link from the table.



OUTLINE SHEET 1-3 EXTRA MILITARY INSTRUCTION (EMI)

1. Introduction

As a Leading Petty Officer, it is important to know the specific application of extra military instruction, in terms of your authority and the scope of EMI to correct deficiencies.

2. EMI

a. Definition - EMI is instruction in a phase of military duty in which an individual is deficient and is intended to correct that deficiency.

(1) EMI is an administrative measure authorized under Part II, MCM (Rules for Courts-

Martial (R.C.M.) 306(c)(2)) and Part V, MCM, 1984 as a bonafide training measure intended to improve efficiency of a command or unit and must, therefore, be genuinely intended as such. It must not be used as a substitute for punitive action appropriate under the UCMJ.

(2) EMI assigned must be logically related to the deficiency to be corrected.

b. Implementation.

EMI within the Navy shall be implemented, when required, within the following limitations:

(1) EMI will not normally be assigned for more than 2 hours per day. (2) EMI may be assigned at a reasonable time outside normal working hours. (3) EMI will not be conducted over a period that is longer than necessary to correct the

performance deficiency. (4) EMI should not be assigned on member's Sabbath. (5) EMI will not be used as a method of depriving normal liberty. A member who is

otherwise entitled to liberty may commence normal liberty upon completion of EMI.

c. Authority.

Authority to assign EMI to be performed during working hours is not limited to any particular rank or rate. It is an inherent part of that authority over Sailors, which is vested in officers and petty officers in connection with duties and responsibilities assigned to them.



(1) Authority to assign EMI to be performed after working hours rests with the

commanding officer or officer in charge but may be delegated to Officers and Petty Officers in connection with duties and responsibilities assigned to them.

(2) Administration of EMI within the Navy shall be monitored by superiors in the chain

of command as part of their normal supervisory duties. Authority should not be delegated below the lowest level of competence.

(3) Authority to assign EMI during working hours may be withdrawn by any superior if

warranted.

(4) Authority to assign EMI after working hours may be withdrawn as provided in delegation of authority of the Commanding Officer or Officer in Charge.

(5) Duties and responsibilities should also be withdrawn if withdrawal of authority is

considered appropriate.

(6) Delegation of authority to assign EMI outside of working hours to responsible Officers and Senior Petty Officers is encouraged. Ordinarily such authority should not be delegated below the Chief Petty Officer level. However, it is emphasized that delegation is the prerogative of the Commanding Officer and they are expected to exercise their independent judgment in determining the appropriate level, based on the situation prevailing in their command.



OUTLINE SHEET 1-4 SERVICE MOTIVATION

1. Introduction

This topic addresses how a Leading Petty Officer affects, and is affected by feedback, opportunity, morale, and motivation at the levels of Work Center Supervisor, Leading Petty Officer, and Chief Petty Officer. The four elements all influence Esprit de Corps, which in turn impacts the service motivation of all involved. Esprit de Corp is a common spirit of camaraderie, enthusiasm, and devotion to a cause among the members of a group.

2. Service Motivation

Teamwork and communication are necessary for these circles to interact properly. Communication is required for things like feedback and opportunity to work effectively. Teamwork is needed for things like morale and motivation to work effectively. Both teamwork and communication are two-way streets—meaning that each needs to work up and down the chain of command.

Reading from left to right, the circles represent the Work Center Supervisor, Leading Petty Officer, and Chief Petty Officer. This discussion is based on the center circle of the LPO.

a. When the Chief’s motivation is lacking, it will affect the LPO’s ability to provide

productive feedback up the chain. This is because if the upper chain of command is not motivated, it will not show signs of wanting their juniors to succeed. When juniors do not see signs of the Chiefs wanting them to succeed, the juniors will be less likely to provide positive feedback within the communication process.

b. When the Chief’s morale is lacking, it will adversely affect the LPO’s ability to provide

productive opportunity to the upper chain of command. The reason is that when the



upper chain of command’s morale is bad, there is no desire to help anybody. Therefore, people get into a “woe is me” mentality, and no matter what opportunities come their way, they fail to take advantage of them. So when the upper chain of command’s morale is bad, they are not promoting the possibility for the LPO to come up with opportunities for solutions to problems.

c. When the LPO’s morale is low, problems occur that are similar to when the Chief’s

morale is low. When the LPO’s morale is low, it will adversely affect the Work Center Supervisor’s ability to provide productive opportunity up the chain of command. If the LPO has low morale, there is no desire to help anybody. LPOs get into a “woe is me” mentality, and fail to take advantage of opportunities that do arise.

d. When the LPO’s motivation is low, problems occur that are similar to when the Chief’s

motivation is low. When the LPO’s motivation is lacking, it will affect the Work Center Supervisor’s ability to provide productive feedback up the chain. This is because if the upper chain of command is not motivated, it will not show signs of wanting their juniors to succeed. When juniors do not see evidence of LPO s wanting them to succeed, juniors will be less likely to provide positive feedback to help the process.

e. When the LPO notices a lack of feedback from the Work Center Supervisor, there are

issues that need to be addressed. Keep in mind the internal motivation of the Work Center Supervisor and what makes the Work Center Supervisor want to do a good job is mostly beyond the control of the LPO. However, the LPO can impact the external motivational factors. So when the LPO notices a lack of feedback by the Work Center Supervisor, the LPO can examine the situation and provide a more motivating atmosphere to help compensate for the situation. This is just one possible alternative for the LPO to consider when trying to get better feedback from a Work Center Supervisor.

f. When the LPO notices a lack in opportunities for the Work Center Supervisor, there are

similar issues that need to be addressed. Keeping in mind the varying internal and external factors that motivate a person, sometimes just offering an opportunity to someone to better themselves with a school or specific training may not be enough. The LPO needs to be aware that how they present the situation is just as important as presenting the situation itself. When the LPO increases their morale, it creates a positive atmosphere—the work environment is good and the feelings are good—regarding the job and the team. When the LPO increases their morale, it creates the sense the opportunity being offered at the Work Center Supervisor level has more meaning. That in turn will allow the Work Center Supervisor to perform their tasks better both up and down the chain of command.



TOPIC SHEET 2-1 PROFESSIONAL INTERACTIONS

A. INTRODUCTION

The ability to convey your thoughts clearly, both orally and in writing, will help you as a Leading Petty Officer maintain professional interactions with the people you work with, and help you develop your Sailors.


Discuss requirements for delivering a brief.

Apply communication techniques to maintain open lines of communication.

Describe how Sailors’ welfare issues can be resolved using proper resources and programs.

Develop a counseling strategy.

Demonstrate an effective counseling session.

List useful resources for written communications.

Discuss techniques for effectively communicating ideas when writing correspondence.

Discuss quantitative and non-quantitative factors and their impact on performance

evaluations.

Develop standards to evaluate the performance of personnel to determine opportunities for development.

Identify conflict management modes.

Apply negotiation techniques to influence others.


Outline Sheet 2-1: Oral Communication

Outline Sheet 2-2: Counseling

Information Sheet 2-2-1: Navy Counseling Categories

Leading Petty Officer Leadership Course SG 2-1 Professional Interactions


Outline Sheet 2-3: Performance Evaluation

Information Sheet 2-3-1: Written Communication

Outline Sheet 2-4: Conflict Management

Outline Sheet 2-5: Influencing and Negotiating Complete Assignments in Workbook:

Assignment Sheet 2-1: Brag Sheets D. STUDENT REFERENCES

1. None E. SUPPLEMENTAL REFERENCES

1. Baker, John. 1998. How to Negotiate. Iowa State University. 2. Creativity and Leadership. (n.d.) Center for Service Leadership. Retrieved 4/11/05 from

http://www.gmu.edu/student/csl/creativity.html. 3. Covey, Stephen R. 1991. Principle-Centered Leadership. New York, NY : Fireside.

4. Decker, B. 1966. The Art of Communicating. Menlo Park, CA: Crisp Publications.

5. Shenk, Robert. 1997 The Naval Institute Guide to Naval Writing. Annapolis, Maryland:

U.S. Naval Institute.

6. U.S. Navy, NAVEDTRA 11121, Educational Services Officer. F. STUDENT GUIDE MATERIALS

1. Topic Sheet 2-1: Professional Interactions

2. Outline Sheet 2-1: Oral Communication

3. Outline Sheet 2-2: Counseling

4. Information Sheet 2-2-1: Navy Counseling Categories

5. Outline Sheet 2-3: Performance Evaluation

6. Information Sheet 2-3-1: Written Communication


http://www.gmu.edu/student/csl/creativity.html


7. Outline Sheet 2-4: Conflict Management

8. Outline Sheet 2-5: Influencing and Negotiating



OUTLINE SHEET 2-1 ORAL COMMUNICATION

1. Introduction

Oral communication skills are essential for a leader. The content covered here will provide guidance on how to prepare and deliver a brief, but is also helpful in becoming a better communicator.

2. Elements of Effective Communication

The principles of effective communications serve both one-on-one and public speaking. There are nine behavioral skills that form the key elements of interpersonal communication.

a. Eye Communication

Your eyes are the only part of your central nervous system that directly connects with another person. For instance, staring at someone for more than 10 seconds suggests involvement, intimacy, or intimidation. In public speaking, we are interested only in involvement. To be more effective, hold eye contact with each of your audience members for about three seconds. Also beware of eye-dart and slow-blink. Eye dart conveys nervousness and makes the listener feel uncomfortable. Slow blink conveys the message: “I really do not want to be here.” When addressing a group, such as your division at morning quarters, hold your eye contact for about three seconds with an individual because people around them will feel you are involving them directly in your speech.

b. Posture and Movement

Stand tall. Lean forward with knees slightly flexed. When you are speaking and you are confident, your message comes across effectively. This helps offset distracting effects, e.g., rocking, bouncing, etc. Proper movement projects confidence. Movement adds to your energy, reflects confidence, and adds variety to your communication. This is not to be confused with rocking and pacing. This will help you to connect with the group you are addressing.

c. Gestures/Facial Expressions

To be effective at interpersonal communication, you should have your hands and arms relaxed and natural when at rest. You should gesture naturally when animated and enthusiastic. You should learn to smile under pressure.

• How do you look? Find out how you look to others when you are under pressure.

You can get this through feedback from other people or by video taping yourself.



• Find your nervous gestures. What do you do with your hands when you are speaking and do not have anything to hold on to?

• Very few people exaggerate their gestures or facial expressions. Try to

exaggerate your positive gestures. Do not worry about overdoing it. • Smiling – which third describes you? One third of people have open, smiling

faces; 1/3 of people have neutral faces; and 1/3 have serious and intense faces. Find out which 1/3 you are in and work on developing a smiling face when you communicate. When it is appropriate, a smile conveys warmth and sincerity.

• Remember the personality factor. People will buy your ideas and be persuaded

much more readily if they like you. Interpersonal communication means connecting with another person on an emotional level, not just an intellectual level. If you want friends, you have to be friendly.

d. Dress and Appearance

We form immediate and vivid impressions of people during the first five seconds we see them. Experts estimate that it takes another five minutes to add 50 percent more impressions (negative or positive) to the impression we made in the first five seconds. These first impressions are long lasting.

• Wear your uniform with pride and look sharp. Solicit feedback on your personal

appearance, starting with your peers and friends. • Dress appropriately at social functions. Your appearance should be appropriate to

the company you are in, your position, and the social situation. • Never underestimate the impact your appearance makes. The effect of your initial

appearance on others is far greater than you think. Your personal appearance is an upward manifestation of your ability to set and maintain a standard.

e. Voice and Vocal Variety

Your voice transmits energy. Use a tape recorder to record your voice to become aware of how much or how little energy you transmit to others.

• Your vocal tone and quality can count for the majority of your message. If people

cannot see you (i.e., telephone, radio, 1MC) the majority of believability comes from intonation and resonance.

• Do not read speeches. Use notes and outlines of main ideas when you speak.

This will allow you to let your mind spontaneously select words and maintain contact with your audience.



f. Language, Pauses, and Non-words

• Direct language. Language is made of both words and non-words. People communicate most effectively when they are able to select the right words. An example of a non-word is “huh.”

• Pause. A pause is better than a non-word. Use this technique to solicit feedback.

Practicing and receiving feedback will assist you in recognizing how natural you appear when you pause.

• Non-words. Replace non-words with pauses. “Umm,” “O.K.,” “you know,”

“well,” “and,” etc., are not only sloppy, but also distracting when repeated as a habit. Pauses are an integral part of language. Do not be afraid to use a pause for emphasis. Replacing non-words with pauses makes your language stronger.

g. Listener Involvement

The more involved your listener is, the more you can convince and persuade that person of your message. Decker (The Art of Communicating, 1966) identifies nine techniques for involving listeners. These techniques are divided into three areas:

• Style

Drama. Create a strong opening by announcing a serious problem or making a startling statement. Develop a sense of drama by telling a moving story. Bring it to life by being as descriptive as possible. Eye communication. Survey your listeners, constantly ensuring they are watching you. Try to gauge reactions of your audience by using proper eye contact. Movement. Purposeful movement transmits a sense of energy and keeps the audience focused on you. Visual aids. If possible, use visual aids. This adds to the stimulation and reinforces learning.

• Interaction

Questions. There are three types of questions that help obtain a deeper level of involvement:

Rhetorical questions. Use these when you do not have time to actually discuss an issue but want to make them think.

Calling for a show of hands in response to a question (voting). This gets your listeners involved and gives you a quiet way to gauge reactions.



Asking for volunteers to answer questions. Even though only one person gets up, the energy level of the group will increase.

Demonstrations. A demonstration, by yourself or a volunteer, adds variety to the way information is presented. A good example of this is role-playing. Gimmicks. Have fun with your listeners. Get them involved, but always stay in control of the session. Keep things appropriate for your organization and your listeners as well. Use creativity while keeping things in good taste.

• Content

Interest. Be sensitive to short attention spans. Remember that we exist in the sound bite era. Before you speak, ask yourself, “How will I benefit my listeners?” Make sure your information is current, appropriate, and delivered in a dynamic fashion. Humor. Make your humor appropriate to your listeners and relevant to your point. Be professional.

h. Humor

Humor, properly used, adds to the attraction of the content and helps hold interest.

• Using humor. Humor is one of the most important skills for effective

interpersonal communication. • Do not tell jokes. Only a very few people tell jokes well, and you are taking a risk

that the jokes may not be politically correct. • Do tell stories and anecdotes and remember to smile. There is much to be gained

in telling humorous stories, anecdotes, or incidents. Everyone has a humorous story, and the fact that it is personal adds to the comfort level of delivery and the warmth of the talk. Remember, people prefer to look at a smiling face.

i. The Natural Self

Be authentic. Be yourself in all communication circumstances, understanding and using your natural strengths, and building communication weaknesses into strengths. You must do a self-assessment.

• Acknowledge your strengths and your weaknesses. Once you have acknowledged

your natural strengths and weaknesses, work on both of them. • Convert your weaknesses into strengths. Establish a routine in which you polish

and perfect your strengths and turn your weaknesses into strengths.



3. Oral Briefs

An additional administrative duty you may have as an LPO is to prepare a brief. Military briefs differ from public speaking in several ways. Typically, military briefs are relatively short and to the point. Since the audience is a “command audience,” attention-getting devices are normally not needed.

a. Purpose

The primary purpose of a brief is to inform, but it also may have other purposes; first, to ensure the listener’s understanding of a particular mission, operation, or concept; second, to enable the listener to perform a specific procedure; and third, to provide the listener with information on which to base decisions. Often, several people participate in a brief. In a briefing for an operational plan, for instance, one group may cover the administrative, tactical, logistical, and operational phases, and another group may explain the mission. To enable the listeners to grasp all this information as a unit, each briefer must give only the essential information in as few words and as few minutes as completeness and clarity will permit.

b. Types

The two major types of oral briefs are formal and informal. A daily, informal brief of the members of your work center will require a different approach and degree of preparation than a formal brief of your XO.

c. Techniques

(1) Preparation

Formal briefs usually allow a period for preparation. In this preparation, consider the:

• Purpose (to inform, persuade, or both) • Nature of the audience • Complexity of the topic • Characteristics of the briefing space • Requirement for practice and feedback.

In preparing to brief others, you must analyze the data, choose the significant facts, and organize them carefully. Your explanation should be simple, precise, and factual. Jokes and anecdotes rarely have a place in a brief. If you are able, however, you may occasionally use humor to help you make a point or clarify a problem. Assume the listeners are ready for a serious talk ─ they want to hear the vital information on a specific subject presented as clearly as possible. When you give a brief, you are likely to face a captive audience. Analyze the rank and experience of the people you are to brief, and try to determine what your best



approach will be. You cannot always say what your listeners want to hear, but you can try to speak in the manner they will most easily understand, which is necessary in a good brief.

(2) Organization

As a member of the Navy, you need to be adept at stating your ideas accurately, briefly, and clearly. Logical organization of your material will help your listeners understand it. When organizing the introduction, body, and conclusion of the brief, keep the purpose of the communication in mind. The purpose could be to give your listeners an understanding of a certain mission, operation, or concept. Alternatively, the purpose could be to enable them to perform a specific procedure. In either case, organize your material as you would for a speech. On the other hand, if the purpose is to provide your listeners with information on which to base decisions, a problem-solving plan to organization can be most effective. (a) Introduction

Since your listeners need and want to know about your subject, you will not need time-consuming, attention-getting devices. If another speaker introduces you and your subject, you need only give a quick overview of the subject and proceed immediately to the main points. If you are not introduced, you might simply say, “Good morning. I’m Petty Officer Jones; I’ll be briefing you on _____________.” You should state the point clearly and concisely at the beginning of your brief so that your audience knows what they are listening to and what they can expect from the rest of your brief.

(b) Body

You must amplify the point you are trying to make or the area you are trying to cover. You should support that point. You must bring the audience enough information to inform them or to help them make a decision, whatever the purpose of your presentation happens to be. The information for the body of your brief requires careful consideration from the standpoint of content as well as delivery. If possible, present only the facts. Your facts should be provable, and you should have the proof with you in case your listeners ask for it. Because you must be brief, you may have to omit many details from your talk. This can cause you to oversimplify a difficult subject. One way to avoid over-simplification is to prepare a folder of “documentation” for your listeners to refer to after you finish the brief. In your opening remarks, tell them it is available. You gain in several ways from



letting your listeners know at the outset that they will have access to complete information on your subject.

1) First, your listeners are more apt to accept the validity of your

information because they know they can check your evidence.

2) Second, they are less likely to ask needless questions or to interrupt for other reasons.

3) Third, they will go along with very simple visual aids because they know they can get information that is more detailed if they need it.

Another way is to prepare “backup” slides that present detailed information on specific issues. If questions are asked, you will be ready and will increase the confidence your audience has in you. If certain facts are not available and you must make an assumption, identify the assumption, say that it is necessary, and continue. If your listeners wish to challenge the assumption, they can do so during the question-and-answer period, at which time you should be able to explain your rationale. Normally, you do not interpret the information in your brief. Present the facts and let your listeners draw the conclusions. Such phrases as “In my opinion,” “I think,” and “I take this to mean” are generally signs that the briefer is going beyond the mere presentation of information and is interpreting the meaning of the information. Emotional appeals have no place in a brief. Your listeners will be justified in doubting your objectivity if your presentation is charged with emotion. This does not mean that your delivery should be dry and lifeless ─ rather, quite the contrary. Because you must present pertinent information and nothing more, you should strive for an animated and interesting delivery. Visual aids can help you show quickly and clearly many things that you would have trouble putting into words. One glance at a map would show your listeners more about air bases in Communist China than 15 minutes of words alone. Practice the brief with your visual aids until you can use them smoothly. They should be an integral part of your presentation. If you do not practice your brief, such simple acts as uncovering or recovering a chart can cause awkward breaks in a brief.

(c) Conclusion

You must end your brief appropriately. The conclusion should bring the brief together in a concise manner; reviewing the topic but keeping it short. This part of a brief should be short but positive. Summarize your main points if you feel it is necessary. Since a question-and-answer period usually follows a brief, one concluding sentence might be “Ladies and gentlemen, are there any questions?”



If a question period is not to follow, you might simply say, “Ladies and gentlemen, this concludes my brief.” Know your subject forward and backward. You will face challenges no matter how rational you are. As an experienced speechwriter might say, “Nothing is more embarrassing than to have some know-it-all in the back of the room raise a hand and ask a question that succeeds in wresting control of the subject matter from you.”



OUTLINE SHEET 2-2 COUNSELING

1. Introduction

Your Sailors’ performance and welfare are integral to your success as a leader. Conducting counseling is a means to address any concerns or issues your Sailors may have. This topic will introduce characteristic of an effective counselor, as well as steps to take for an effective counseling session.

2. Characteristics of Effective Counselors An effective counselor combines several traits to be successful.

a. Desire to help others An effective counselor displays a sincere interest in people. Successful counselors also know their limits, are aware of referral sources, and are willing to make necessary referrals as necessary.

b. Patience

Effective counselors remain in control in an atmosphere of excitement, discontent, or hostility, and they manifest self-control when provoked.

c. Emotionally Stable

It is important for effective counselors to maintain a calm demeanor.

d. Courteous Generally, effective counselors are polite and courteous. However, there may be specific examples where confrontation is necessary for counseling to be effective.

e. Non-judgmental It is important that an effective counselor does not convey his/her personal standards.

f. Empathetic

An effective counselor needs to be empathetic. This involves the ability of seeing a situation from where the Sailor being counseled sees it. The counselor does not pass judgment against the Sailor being counseled for personal views, but addresses wrong ideas and attitudes firmly, fairly, and dispassionately.



g. Active listener

Active listening or effective listening skills are critical to be an effective counselor. The counselor listens to what is said as well as what is implied by observing tones and reaction.

3. Steps for an Effective Counseling Session

a. Prepare

Preparation for a counseling session is necessary to observe and adequately document behavior. Gather as much information as possible about the problem and the Sailor being counseled. Talk to peers, other people in the chain of command, and check any available records. Part of your preparation is to review counseling records, if any exist, on the Sailor being counseled. Consider where you want to be at the end of the session. Determine the purpose of the counseling session. Preparation is the key to successful counseling. Sometimes planning may not be possible, such as when a Sailor asks for help or when we give a pat on the back for an on-the-spot observation. In such situations, counselors who know their people, their people’s responsibilities, and can mentally prepare, can respond to their needs.

b. Initiate the Session

The counselor needs to initiate the session.

• Indicate that you want to talk with the Sailor being counseled. In some instances, the Sailor being counseled may initiate the session.

• Choose an appropriate place to meet.

Be aware of the CO’s counseling policy before conducting cross-gender or closed-door counseling. Ensure consistency when selecting the counseling location. If there is concern about cross-gender or closed-door counseling, consult the Equal Opportunity program specialist and command directives.

• Agree on a time to meet.

Whether by memo, telephone, or face-to-face, stress the importance of maintaining the Sailor’s dignity and keeping private issues private to the extent possible (confidentiality).



Belittling the Sailor being counseled in front of shipmates or showing little respect for feelings will hinder your counseling attempts.

c. Create Suitable Conditions

• Ensure physical comfort, if possible (e.g., chairs, coffee, or other things to help put

the Sailor being counseled at ease).

• Guarantee confidentiality within your legal and ethical bounds. Do not joke with anyone about the counseling session.

• Be attentive to what the Sailor being counseled is saying.

• Consider what you will do to eliminate interruptions.

d. Explore and Understand the Real Situation

• State the reason for the meeting. In a career counseling session, the Sailor being counseled may often initiate the meeting. If so, the Sailor being counseled should state the reason for the meeting.

• State your concerns regarding the Sailor being counseled. (Include your observations of the Sailor’s behavior.)

• Elicit relevant information from the Sailor being counseled. Be sure to use open-ended questions.

• Discuss the situation fully so you both understand it. Ask clarifying questions to determine how well the Sailor being counseled understands the discussion.

e. Define Goals and Develop a Plan

Move toward the ideal (where the Sailor being counseled would like to be or should be). The Sailor being counseled needs to state the goal. In order to move toward the goal the following steps should be taken.

• Have the Sailor being counseled verbalize the ideal state (goal). Stating the goal

demonstrates that the Sailor being counseled is taking responsibility for solving the problem and demonstrates your positive expectations of the Sailor being counseled concerning his or her own ability to solve the problem.

• State your realistic expectations about the Sailor being counseled.

• Identify blocks to problem resolution that are created by an external source, such as

the Navy, family members, etc.



• Identify blocks to problem resolution that are created by the Sailor being counseled.

• Identify potential sources of help.

• Outline options for action steps; assist the individual and make the individual take responsibility.

• Encourage the Sailor being counseled to make a commitment to action steps that

support the goal. You may even ask, “How committed are you to this action plan?”

• State your positive expectations about the Sailor being counseled. Determine the measures to identify progress toward the goal.

f. Monitor and Follow-up

• Agree on who is responsible for monitoring measurable change – the counselor, the

Sailor being counseled, or others in the chain.

• Agree on what will be done if the planned action steps are not implemented. By whom? When? Also, discuss what the Sailor being counseled should do if there are problems in implementing the action plan.

• Agree on a time and place for the follow-up session(s). Mention what the agenda for the next meeting will include.

g. Document

The heart of a successful counseling program is good documentation. This applies to both positive and corrective counseling experiences. NAVPERS 1616/25 (5-90), Record of Enlisted Counseling is an excellent form to document the counseling session. This form can be used for a variety of counseling purposes and helps to structure the documentation of the session.



INFORMATION SHEET 2-2-1 NAVY COUNSELING CATEGORIES

A. INTRODUCTION

There are four general types of counseling sessions. These include personal, career, performance, and disciplinary.

B. INFORMATION

1. Personal

Personal counseling is necessary when a Sailor has difficulty coping with situations, either on or off the job. Personal problems may be financial, legal, educational, moral, or religious. They may also include rank and promotion, job assignment, or any problem involving the individual’s well being. Supervisors need to be concerned about a member’s personal life because personal problems frequently affect work performance. Supervisors who know their people can more effectively work with their personal problems.

Purpose Personal counseling is used to help an individual reach a solution to a personal problem. Available Resources Navy Fleet and Family Support Centers, www.persnet.navy.mil/pers66/index.htm offers a wide range of command programs for service members and their families. Some of the programs offered are listed below.

• Information and Referral – These services include information about NFSC

programs and services, community agencies and resources available in both the military and civilian communities. Volunteer opportunities are also available for active and retired military and family members.

• Relocation Assistance – Relocation Services help service members and families

deal with the stress of moving by providing education, information, and individual assistance.

• Exceptional Family Member Program (EFMP) – The EFMP ensures military

family members with special needs are able to receive required services wherever they are assigned.

• Personal Financial Management – This program assists active duty military and

family members to enable them to manage finances effectively and avoid debt.


http://www.persnet.navy.mil/pers66/index.htm


• Employment Assistance – These programs and services assist transitioning and retiring military personnel in building employment skills. Services are also available for family members seeking employment assistance.

• Parenting Workshops/Stress Management – These prevention and enrichment

programs are designed for individuals, couples, and families. • Counseling – Clinical counseling services are available for individuals, couples,

and groups. • Volunteer Opportunities – Consider volunteering with your Navy Family Service

Center.

Navy Marine Corps Relief Society, www.nmcrs.org, exists to help those eligible, to cope with unusual financial needs, and to continue living within their means. To do this, counseling, loans, grants, various services, and referral to other community resources are available. There are no fees for such help. Depending on the circumstances of the need, financial assistance can be provided in the form of an interest-free loan, a grant, or a combination loan and grant. The form of financial assistance is determined by analyzing the individual's budget that is prepared with the help of one of the Society's trained budget counselors or interviewers.

The American Red Cross, www.redcross.org, is uniquely equipped to provide an exclusive worldwide communications and support network that serves as a lifeline between military service members and their families. For the American Sailor and his or her family, the Red Cross is the connection to home, relaying urgent information ─ a family crisis, a death in the family, a financial emergency, or a joyous birth.

The Department of Veterans Affairs (VA), www.va.gov, is a worldwide resource that provides information on VA programs, veterans’ benefits, VA facilities worldwide, and VA medical automation software. The VA serves several major constituencies, including the veteran and his/her dependents, Veterans Service Organizations, the military, the public, and VA employees around the world.

The Naval Personnel Command has set up a Quality of Life Mall on its Web site, (www.persnet.navy.mil/). Other services the Naval Personnel Command provides are easily linked, such as the Navy Family Ombudsman Program, Navy Wifeline Association, etc.

For information on:

• Burial at sea, visit www.history.navy.mil/faqs/faq85-1.htm#anchor148456. • Deaths and funerals, see U.S. Navy Regulations, Chapter 12, Section 10,

neds.nebt.daps.mil/regs.htm. • Decedent Affairs, see NAVMEDCOMINST 5360.1 (series), Decedent Affairs

Manual, navymedicine.med.navy.mil/instructions/external/5360-1.pdf.



Impact or Outcome

Since personal counseling is used to help an individual reach a solution to a personal problem, the resolution to this type of problem would lead to a happier person in general, and to a happier more content Sailor on-the-job. Clearly personal problems can lead to problems at work, and having a support system to aid in the resolution of personal problems leads to a better work environment in general.

2. Career

Career counseling is an important component of Sailor development. Career counseling is called for when a Sailor is making a significant decision concerning career change, seeking options or ideas to plan career paths, or considering further education or training. A supervisor is responsible to ensure a Sailor has all the appropriate assistance and guidance to fully consider all aspects of the career decision.

Purpose

Career counseling is used to help an individual make decisions about career changes, career paths, education, and training. Available Resources For information on career counseling, see:

• Your Command Career Counselor. • Your Command Retention Team. • NAVPERS 15878, Retention Team Manual, available: www.npc.navy.mil • NAVPERS 15909, Enlisted Transfer Manual available: www.npc.navy.mil • The BUPERS Web site at www.npc.navy.mil • The CNET Web site at www.cnet.navy.mil. • The CANTRAC Web site at

https://cetarsweb.cnet.navy.mil/pls.cetars/main.action?V_LOC=home For information on the Naval Reserves, see www.navres.navy.mil/navresfor/. Impact or Outcome Having career counseling available to Sailors enables them to define their career options and paths. When guided in a positive manner this career counseling and guidance can lead to well-trained personnel, and a higher level of retention.


https://cetarsweb.cnet.navy.mil/pls.cetars/main.action?V_LOC=home


3. Performance

Performance counseling is conducted to help Sailors achieve and sustain a high level of performance. Counseling is appropriate for the individual who is not performing at a level consistent with unit or command standards as well as the individual who is performing in an average or above average manner. Performance counseling can also be positive and involve setting goals for personal and professional development. Mid-term counseling and scheduled counseling are major focuses of the Navy’s performance evaluation system. Counseling shall be performed at the midpoint of each evaluation cycle and when the fitness or evaluation report is signed.

Purpose

The purpose of performance counseling is to enhance professional growth, encourage professional development, and improve communication among all command members.

Available Resources

For information on performance see BUPERSINST 1610.10A, Navy Performance Evaluation and Counseling System, or the BUPERS web site at www.npc.navy.mil. Performance evaluations will be discussed in more detail in Topic 3-4, Performance Evaluation.

Impact or Outcome

Performance counseling serves as a means for small corrections and guided improvement as well as identifying growth areas. It helps ensure quality work and is an appropriate setting in which to identify retraining needs. It is the perfect place for professional goals to be identified and mentoring relationships established. The outcome of performance counseling can serve as improvement in average or below average performers, as well as guidance and identification of growth areas in above average personnel. This ultimately affects the work center in improved performance of its entire staff.

4. Disciplinary

Disciplinary counseling is conducted when an individual has violated a specific order or regulation. Disciplinary counseling is directive and one-way guidance. It should include a discussion of the violation and necessary changes in performance or behavior. It may also include discussion of the options available to the individual within the chain of command. Emphasis should still be focused on retaining the Sailor being counseled as a full, productive member of the work center.



Purpose

Disciplinary counseling is used to help an individual understand the seriousness of violating a specific order or regulation, and to ensure this type of violation will not occur in the future.

Available Resources

Resources may include those up the chain of command as well as the Equal Opportunity (EO) program specialist, Personnel, LCPO, and Command Master Chief. In addition, personal counseling may be appropriate. For information on:

• Standards of Conduct, see U.S. Navy Regulations, Chapter 11,

neds.nebt.daps.mil/regs/htm.

• Uniform Regulations, see http://buperscd.technology.navy.mil/bup_updt/508/unireg/uregMenu.html

• JAGINST 5800.7 (series), Manual of the Judge Advocate General (JAGMAN).

• The Uniformed Code of Military Justice may also be helpful.

Impact or Outcome

Disciplinary counseling ultimately is intended to correct and improve an individual’s performance. It is generally directed to a specific incident, or set of behaviors. Often the work center would be affected adversely by any behaviors requiring disciplinary counseling. Clearly, improvement after such a counseling session would affect the work center in a positive manner.


http://neds.nebt.daps.mil/regs/htm

http://buperscd.technology.navy.mil/bup_updt/508/unireg/uregMenu.html


OUTLINE SHEET 2-3 PERFORMANCE EVALUATION

1. Introduction

For the LPO, a common type of written communication is the performance evaluation. Performance evaluations are also an opportunity to apply performance-counseling skills such as the evaluation process and feedback.

2. Performance Evaluations

a. Factors that Impact Performance Evaluation

Factors that impact performance evaluation generally fall into two categories: quantitative and non-quantitative.

(1) Quantitative Factors

“Figures, numbers, percentages, dollars, ratios, grades – whatever you can quantify might conceivably be more meaningful to a selection board sweating hard to judge one person against another fairly. Figures and graphics are hard to dispute and sometimes seem to be more objective than descriptive statements. Seek them and make use of them, within reason, and with good knowledge of their likely effect (Shenk, 1997, p. 166).”

(2) Non-quantitative Factors

“Details regarding nonquantifiable achievements are equally useful and usually more plentiful. Accomplishments affecting the primary mission are perhaps most significant, and the variations of actual achievements require description. Adjectives without supporting details are weak, so support the accolades with facts (Shenk, 1997, p. 167).”

b. Documentation

Routine documentation is the key to a successful evaluation program. It provides the basis for a realistic appraisal that reflects a Sailor’s performance. Documentation involves positive as well as negative performance.

The Privacy Act of 1974 places limitations on files that may be maintained on individuals. Personal notes or records (such as wheel books) may be kept as memory aids regarding performance, conduct, and development of persons supervised, and are not prohibited as long as:

• They are kept and maintained only for the personal use of the supervisor who

wrote them.



• They are not circulated to anyone else. • They are not under the control of, or required by, the Navy. • They are kept or destroyed as the supervisor who wrote them sees fit. • The information is safeguarded and protected to preclude unauthorized disclosure. • They are not regarded as a “secret file” and are used openly as memory aids when

discussing a member’s performance and general counseling.

c. Using Standards-Based Evaluation

The evaluation report creates an objective record of performance on which official actions may be based. Evaluation preparation has several important components; the mid-term counseling, the brag sheet, and the written EVAL.

Superior commands pay special attention to establishing, communicating, and enforcing standards. They are concerned about job performance standards, knowing how well they perform affects safety, accomplishing their mission, and ultimately the security of our country. In superior commands:

• Standards are clear and consistent.

• Standards are realistic and high.

• Standards are continuously monitored.

• Positive and negative feedback is frequently given.

• Performance problems are handled quickly and appropriately.

• All levels participate in enforcing standards.

d. BUPERINST 1610.10A

This instruction provides guidance in performance evaluations. Refer to it as you research the following for the LPOLC:

• Individual Trait Average • Summary Group Average • Promotion Recommendation • Block 51.



INFORMATION SHEET 2-3-1 WRITTEN COMMUNICATION

A. INTRODUCTION

Even if writing is not significant a part of the job, every Sailor needs to be able to write well. Advancements and increased responsibilities require greater versatility in writing. You should improve your writing skills to ensure your message is properly transmitted. Your credibility as a leader depends on your ability to communicate effectively.

B. WRITTEN COMMUNICATION CONCEPTS

1. The Writer’s Triangle

As in navigation, good writers look for fixed points of reference from which to plot their positions and ideal headings. The classic writer’s triangle is:

“By knowing your audience, your subject, and yourself, you can gauge your position with respect to any written communication (Shenk, 1997, p.5).”

Writer

Audience Subject

(a) Audience – The originator’s attention to the audience or recipient(s) can affect the routing or attention of correspondence. What is the rank, position, or billet you are addressing? Is the person senior, junior, or at the same level in the organization? How important is the boss of the person you are writing to? Personality – be aware of background and preferences. For example, unless the reader is an aviator, avoid aviation phrases and terminology. Writing style and use of acronyms and jargon should be tailored to the audience, and closely monitored when writing to non-military audiences.

(b) Subject considerations – Readers tend to read the entire document if the subject directly affects their lives; i.e., pay. Other subjects may not hold the reader’s interest beyond the first two paragraphs, so the point must be made quickly. Knowing the subject and the way readers usually treat a document is valuable. In long documents, headings help alert readers to key information. Writing technical material requires great patience and detail. Space considerations in briefings or



messages require word economy and discipline. Use of examples, statistics, and graphics may be appropriate to support a position.

(c) In knowing yourself, writers should always remember who they are and the self-image they want to project in the correspondence. Deference and respect are always good qualities in writing to seniors, but this is sometimes forgotten when juniors write to selection boards, criticizing their seniors or the service to explain problems or low marks. Act to be believed and respected whenever you write or speak. Know what your writing sounds like, and make use of that knowledge to get your message across.

(d) One other perspective of writing, not included in the writer’s triangle, is writing for “the boss.” Frequently, you may be drafting written correspondence or documents for someone else’s signature. Writing for seniors can require considerable adjustment. Advice can include: Keep the facts in, and leave the adverbs out; give the senior more than needed; solicit feedback from your senior; learn the senior's key phrases; obtain samples of previous CO/XO correspondence to use as examples.

2. Purpose of Naval Correspondence

The major purpose of written communications is to establish a formal chain of command, authority, procedures, tactics, and historical record. While most Sailors should be familiar with memorandums and Naval letters, Naval correspondence includes documents that serve virtually all the administrative functions of the Navy.



OUTLINE SHEET 2-4 CONFLICT MANAGEMENT

1. Introduction

Webster’s New World Dictionary provides synonyms for conflict that include “fight,” “struggle,” and “contention” and defines it as a “sharp disagreement or opposition of interests, ideas, etc.” The very nature of the LPO position guarantees that conflict will be a part of his or her work experience. In general, all organizations, including the Navy are becoming much more interested in understanding the causes and impacts of workplace conflict.

2. Sources of Conflict

Workplace conflict is inevitable. Conflict exists in our work lives for several reasons: there is competition for limited resources; we experience role conflict from competing demands or expectations; there are personality clashes; or we have to cope with aggressive personalities. One way of categorizing the many sources of conflict we experience is in terms of external factors, internal factors, and the behavior of others (Schermerhorn 1994). External factors are those factors that surround the work group and impact all members equally. Examples are poorly functioning equipment, time constraints, and badly designed policies or procedures. Any or all can contribute to workplace conflict. Internal factors exist within work center personnel and include dissimilar values, biases, fear of the unfamiliar, unrealistic expectations, and inflexibility. These factors are major sources of conflict between individuals who work together toward a common goal (a work center team). The behavior of others that we perceive as annoying or irritating can be a source of interpersonal conflict. Failure to listen, disrespectfulness, judgmental comments, repeated excuses, clash of styles, offensive language or personal hygiene are all potential sources of conflict to individuals who work or live together.

3. Conflict Management Modes

Conflict management modes or conflict management styles refer to the different approaches that people use when they find themselves in a conflict situation. Individuals view conflict differently. Some see conflict as something to be avoided at all costs. This may be because these individuals have experienced the destructive effects of conflict, or their personality types are not comfortable with confrontation or disagreement with others. Some individuals see all conflicts as something to be dominated ─ winning at all costs. Other individuals recognize which conflicts are important to win, which are to be negotiated, and which are not important at all. Ideally, a leader will become the third type of individual, one who manages conflict to enhance the work center and reduces the negative destructive effects of conflict.



The most common model for determining conflict management style is based on the balance between satisfying your own concerns (assertiveness) and satisfying the concerns of others (cooperativeness). Each of us has a preferred style of dealing with conflict, but individual approaches to conflict can change, based on the stakes involved in winning or losing. For example, a mild-mannered person who normally shuns conflict may become confrontational if his or her family is threatened. The following matrix identifies the five most common conflict management styles (adapted from Thomas 1992 and Hersey 1996).

HIGH

ACCOMODATION

Win-Win Collaboration

AcLose-Lose Avoidance

ASSE

RT

IVE

NE

SS

LOW

Compromise

WinComp

a. Win-Lose/Competition - refers to the type of person who own needs met and does not care much about other’s needhigh in recognizing one’s own needs (assertiveness) and l(accommodation). This competitive approach is appropriand losers). Since the winner gets all and the loser gets nappropriate when the feelings and concerns of both partieFeeling like a loser is not a positive emotion. When an inin conflict with a higher-powered individual, he or she wifeeling like a loser by escaping from the situation – eitherexample, leaving the Navy, or diverting most of his or heareas of their life.

b. Lose-Win/Accommodation - These are the types of peopl

they want without speaking their minds. They typically d

Leading Petty Officer Leadership Course Professional Interactions

Lose-Win commodation

-Lose etition

HIGH

only worries about having their s or concerns. This quadrant is

ow in recognizing other’s needs ate in sporting events (winners othing, this approach is not s need to be considered. dividual has low power and is ll most probably choose to stop literally or figuratively. For r creative energy into other

e who always give others what o not talk about their own needs

SG 2-26


or what is important to them. Relationships are more important to them than their own goals. They do not like to hurt anyone’s feelings, want to be liked and accepted, and prefer to make everyone happy. They prefer to give in rather than face a confrontation or anger. When the stakes are low, this is an appropriate style. If I would be happy either at the beach or in the mountains, and my spouse really wants to go to the beach for vacation, the accommodation approach makes him or her happy and me happy. However, when this approach is used consistently, accommodators become doormats.

c. Lose-Lose/Avoidance - Avoiders neither stand up for their own needs, nor make sure the

other person is happy; they just retreat and avoid the issue by withdrawing from the conflict. Located in the lower left quadrant (low assertiveness and low accommodation), these individuals avoid conflict regardless of the importance of the issue. In doing so, they save themselves from the risk associated with confrontation and the possibility of losing, but also lose the opportunity to stand up for what they want, to discover the other person’s needs and wants, and to achieve personal growth. In some cases, this style can be useful to leaders because some conflicts, like those between co-workers, will work themselves out and may even serve to tighten the bond between them. If the leader intervened, the opportunity would have been lost or escalated, but not resolved.

d. Win-Win/Collaboration - These are individuals who see the benefits to conflict and work

toward a solution that will meet the needs and concerns of all parties. A collaborator wants everyone to be satisfied and realizes that everyone needs to have a say in the outcome of a conflict. By including all parties and listening to all concerns, the end result is often a better outcome than just meeting the needs of one party. It is important to remember that just feeling like your concerns are important, and that there is a genuine attempt to reach accommodation, increases positive feelings and creates an atmosphere of cooperation and productivity. This is always an appropriate approach to take if possible. The win-win approach should always be tried first, before moving on to other approaches. Although ideal, this approach is not always available to leaders due to time constraints, or in a counseling or punitive situation.

e. Compromise - Sometimes mistakenly seen as collaboration, compromise means that each

party gives up a part of what he or she wants. Certainly this can be an effective way to resolve some conflicts ─ especially when you need to reach a quick decision that keeps both parties somewhat happy ─ but it also can be a way to avoid working for a true win-win outcome. If a true win-win outcome is the desired goal, avoid a rush to compromise. Additionally, compromise often results in a mediocre resolution that meets no one’s needs. Remember the choice of the beach versus the mountains? Meeting half way could put you in the Swamp View Hilton!



OUTLINE SHEET 2-5 INFLUENCING AND NEGOTIATING

1. Introduction

Leaders must possess and successfully demonstrate skills in influencing subordinates, peers, and superiors, in addition to negotiating with personnel at all levels and communities in order to achieve specific goals.

2. Influencing

Influencing is not manipulation, but rather a building of good working relationships. This ability to persuade others to your perspective requires you to build good working relationships through strong interpersonal and communication skills. The following are methods to influence others, grouped into two categories: a. Lead by Example

(1) Exercise patience with others

When stressed, impatience may get the better of us and we may say or do something we never intended. Patience is the calm acceptance of reality, understanding life and work is comprised of processes and cycles.

(2) Distinguish between the person and the behavior or performance

The ability to distinguish between the person and the performance in others requires a personal sense of self-worth. Do not confuse or let your Sailors confuse their own self-worth with their job performance.

(3) Keep promises you make to others

The ability to make and keep promises is a measure of our integrity.

(4) Focus on the circle of influence Working positively within your realm of control will expand your circle of influence.

b. Foster Professional Interactions

(1) Seek first to understand Empathize; understand the other’s point of view.

(2) Create a climate for questions and new ideas

Do not criticize, judge, belittle other’s questions or ideas (Covey, 1998).



3. Negotiating

When there is a conflict of interest, what one wants is not what the other wants, negotiation is where both sides discuss possible solutions. The following are negotiation techniques everyone can use.

• Set the agenda Identify the issue you are trying to resolve.

• Establish your goals

Know what you want to accomplish before you begin. • Know your wants and needs

Negotiate to meet your needs, not your wants. • Do not confuse your goals with the issue

Goals are what you want to accomplish and issues are differences that arise during the negotiation.

• Mutual protection is better than mutual destruction Negotiate to find a solution that will benefit all parties.

• Relationships are important Do not destroy the relationship you have with the other party involved in order to accomplish your goal.

• Avoid trying to exercise power or controlling the process of negotiations Recognize the needs of the other party involved.

• Do not stereotype Recognize people for who they are, not what you think they are.

• Do not bargain against yourself

Wait for a response from the other party involved.

• Identify interference Identify what will interfere with meeting your needs.

• Seek a settlement Respond to meet your needs and goals. Do not reciprocate emotion.

• Be proactive, not reactive Do not wait for the other party to take the lead in seeking a solution, make a proposal.

• Be flexible Be willing to “give” in order to “get” (Baker, 1998).



TOPIC SHEET 3-1 HUMAN CAPITAL

A. INTRODUCTION

Human Capital correctly implies that your personnel are an important resource—a resource that needs to be valued and respected. This guide will give you the information you need to recognize and support your personnel in their career ambitions, as well as your own career goals.


Discuss the purpose of an Individual Development Plan.

Discuss methods to track Sailors’ progression with an Individual Development Plan.

Discuss professional needs of Sailors and resources to address those needs.

Develop a plan for personal vision and professional development.

Identify training and development assignments to accomplish goals.

Discuss key aspects to incorporate in a mentorship program.

Identify the benefits of cooperative professional relationships.

Identify issues related to the welfare of Sailors.

Discuss the how rewards and recognition empower Sailors.

Discuss how rewards and recognition affect the morale and motivation of the work

center. Identify various resources for career tracking and management.

Discuss personnel’s Navy Enlisted Classification(NEC) when translating mission in to

plans for work center and personnel.

Analyze how the Enlisted Distribution and Verification Report (EDVR) is used as a tool to track manning requirements.

Identify manpower requirements and deficiencies.

Leading Petty Officer Leadership Course SG 3-1 Human Capital


C. STUDENT PREPARATION PRIOR TO THIS TOPIC

1. Read in the Student Guide: Outline Sheet 3-1: Individual Development Plan

Outline Sheet 3-2: Mentorship

Information Sheet 3-2-1: Mentoring Partnership

Outline Sheet 3-3: Intrinsic and Extrinsic Motivation

Information Sheet 3-3-1: Rewards and Recognition

Outline Sheet 3-4: Electronic Career Information

Information Sheet 3-4-1: Career Development Board

Outline Sheet 3-5: Enlisted Distribution Verification Report (EDVR)

2. Complete Assignments in Workbook:

Assignment Sheet 3-1: Individual Development Plan

Assignment Sheet 3-2:Electronic Career Information


1. None. E. SUPPLEMENTAL REFERENCES

1. Awards and Recognition. (n.d.) Naval Education and Training Command. https://wwwcfs.cnet.navy.mil/crest/awards_and_recognition/military_awards/index.htm

2. Individual Development Plan (2003, January 7) NAVSEA Indian Head.

http://www.ih.navy.mil/careers/idp.htm

3. Office of the Secretary of Transportation. Mentoring Handbook. Departmental Office of Human Resource Mangement. http://www.dothr.dot.gov/mentorhb.htm

4. Persons, Dean. E-Gov Award Prsented to CNET Electronic Training Jacket Program.

(2002, July 15) Navy Newsstand. http://www.news.navy.mil/search/display.asp?story_id=2475


https://wwwcfs.cnet.navy.mil/crest/awards_and_recognition/military_awards/index.htm

http://www.ih.navy.mil/careers/idp.htm

http://www.dothr.dot.gov/mentorhb.htm

http://www.news.navy.mil/search/display.asp?story_id=2475


5. Sailor/Marine American Council on Education Registry Transcript (SMART). (n.d.) Navy College. https://www.navycollege.navy.mil/transcript.html

6. U.S. Navy, NAVADMIN 299/99. Navy College Program Information.

7. U.S. Navy, NAVEDTRA 11121 (series). Educational Services Officer.


1. Topic Sheet 3-1: Human Capital 2. Outline Sheet 3-1: Individual Development Plan

3. Outline Sheet 3-2: Mentorship

4. Information Sheet 3-2-1: Mentoring Partnership

5. Outline Sheet 3-3: Rewards and Recognition

6. Information Sheet 3-3-1: Intrinsic and Extrinsic Motivation

7. Outline Sheet 3-4: Electronic Career Information

8. Information Sheet 3-4-1: Career Development Board

9. Outline Sheet 3-5: Enlisted Distribution Verification Report (EDVR)


https://www.navycollege.navy.mil/transcript.html


OUTLINE SHEET 3-1 INDIVIDUAL DEVELOPMENT PLAN

1. Introduction

Development is the process of enhancing your personal and professional skills and experience in a way that increases your value to the organization. Sailor development is achieved through one or more of the following: academic and professional development, work assignments (short- and long-term), and various forms of self-study.

2. Individual Development Plan (IDP)

An IDP is a document used to track one's progress toward career, professional, and personal growth. It is a tool for recording development goals, plans for taking advantage of developmental opportunities, and the outcomes of investing in those activities.

A joint effort between you and your supervisor, the IDP serves as a framework for career and performance development discussions with your supervisor. These discussions should focus on enhancing your professional potential and career goals. They should address specific skill and knowledge areas, training needs, and on-the-job work assignments to broaden your capabilities. The IDP serves as a guide or road map to assist you in better preparing for future demands and opportunities, but does not guarantee a new position, a promotion, more responsibility, or training.

3. Benefits of an IDP

Creating a development plan serves as a commitment to work toward specific goals, a mechanism to communicate goals, and a means to monitor progress in achieving them. Your goals will be more focused, your training and development opportunities more aligned, and your partnership with your manager enhanced.

4. Responsibility for Creating an IDP

You are responsible for your career and for identifying your professional development goals and opportunities, seeking guidance and advice in your planning, and retaining a copy of your IDP to track your progress.

Supervisors are responsible for assisting Sailors through career and performance development discussions as part of the annual and midyear performance planning. Supervisors also have responsibility for assisting Sailors in identifying opportunities consistent with the individual's and the Division's objectives. Your supervisor should also retain a copy of your IDP. A good LPO will also maintain accountability within the Division and ensure his/her Sailors are making themselves competitive for promotion and job opportunities. One way is to reinforce the use of the 5 Vector Model as a tool for career management.



OUTLINE SHEET 3-2 MENTORSHIP

1. Introduction

Mentoring is a means of personal and professional development.

Mentoring is a brain to pick, an ear to listen, and a push in the right direction. John C. Crosby

2. Mentoring

A mentor is a person who cares about people and goes out of the way to see subordinates get the best possible chance to fulfill career potential. A protégé is a subordinate who is being groomed for advancement by being provided opportunities to excel beyond the limits of his or her current position. Mentoring is a process where the mentor and the protégé work together to discover and develop the protégé’s abilities. Mentoring is an integral aspect of leadership. Mentors are helpers whose styles range from the persistent encourager who helps build self-confidence, to the stern taskmaster who teaches protégés to appreciate excellence in performance.

a. Benefits

Mentoring will change from person to person and relationship to relationship, but most individuals will receive better career guidance and be positively affected by the mentor’s role model influence. Mentors characteristically help the protégé envision worthy goals and move toward their fulfillment as part of the growth and development process. There are several types of assistance that are particularly helpful in encouraging the protégé’s growth:

• Shift mental context by assisting the protégé to create a satisfying new context for his/her life or work and a personal vision of healthy change

• Listen to the protégé’s concerns by respectfully listening, treating the discussion as confidential, and helping the protégé gain insight into the concern

• Confront negative intentions or behaviors in a timely fashion to keep these from blocking personal growth

• Provide appropriate guidance as needed

b. Role

Mentors’ roles can be quite diverse. Mentors need to develop their knowledge, skills, and abilities so they can function in the following roles:



(1) A teacher who provides the protégé with the skills and knowledge to perform the job successfully

(2) A guide who helps navigate through the inner workings of the organization and helps decipher the “unwritten rules” for the protégé

(3) A counselor who establishes a trusting and open relationship

(4) A motivator who generates motivation within the protégé, particularly to complete difficult assignments or pursue an ambitious goal

(5) A sponsor who creates opportunity for the protégé and provides him/her with as much exposure as possible, while minimizing the risks

(6) A coach who assists the protégé in overcoming performance difficulties

(7) An advisor who helps the protégé develop professional interests and set realistic

career goals

(8) A referral agent who helps develop an action plan that outlines the knowledge, skills, and ability the protégé needs to meet his/her career goals

(9) A role model who is a living example of the values, ethics, and standards of the

Navy

(10) A door-opener who helps the protégé establish a network of contacts

c. Types Types of mentoring include informal and formal. It is quite possible an individual will use both approaches as appropriate. (1) Informal mentoring is spontaneous and unplanned. (2) Formal mentoring is more structured and will occur more often within the Navy

environment based on departmental, divisional, or work center responsibilities.

d. Process The mentoring relationship develops based on how well the mentoring process is completed. The mentoring process described here has five steps: (1) Evaluate the characteristics of a mentor. Leading Petty Officers need to examine

their current skills and abilities to determine what characteristics of a good mentor they already possess and then work on building skills in the remaining areas.



(2) Identify the protégé. At a minimum, Leading Petty Officers should be striving to act as mentors for their Sailors. Keep the mentoring relationship separate from the supervisor/subordinate working relationship.

(3) Establish guidelines. Find out what the protégé expects to learn from a mentoring

relationship and how the relationship is expected to develop by asking such questions as, “What does the protégé expect from the job?”, “Where does the protégé want his or her career to go?”, and “How should we work together to make the most of this experience?”

(4) Perform roles. Ensure the protégé understands the various roles the mentor/protégé

may use during the relationship.

(5) Informally evaluate the mentoring relationship. Meet with the protégé from time to time to find out if expectations are being met and if both you and the protégé are satisfied with the direction the relationship is going.

e. Leadership

How does mentoring differ from leadership? Mentoring is only one component of leadership. Mentoring is a part of being a good leader, but it is not the only role leaders have. The role of a mentor involves the subset of leading associated with guiding and teaching.

f. Pitfalls

The mentor and protégé should frequently assess the success of their mentoring program to avoid the traps highlighted below:

(1) Favoritism - The mentor must treat all protégés fairly (but not necessarily equally). (2) Over reliance on mentor guidance - The protégé becomes a puppet if this behavior

persists. (3) Protectionism - The mentor should not be too protective. The protégé needs to

realize s/he is responsible for his/her actions. (4) Interpersonal relationship issues – Care must be taken to ensure personal

relationships do not contravene the customary bounds of acceptability.



INFORMATION SHEET 3-2-1 MENTORING PARTNERSHIP

A. INTRODUCTION

The four types of mentoring partnerships are defined below. B. SUPERVISORY MENTORING

All supervisors mentor their Sailors to a degree, but usually in regard only to their current job. Due to time constraints, it is increasingly difficult for supervisors to devote the time needed to mentor all their Sailors, and if they can not spend equal time and dedication with each Sailor, perceptions of favoritism can occur and morale can deteriorate. It can also be difficult or awkward for people to talk openly and honestly with their boss if the issue is difficulty on the job or the desire to explore other career opportunities. The most important thing to remember is that all good supervisors mentor their Sailors…to a degree. We recommend that as leaders, supervisors encourage outside mentoring partnerships and allow Sailors the time to cultivate those relationships.

C. SITUATIONAL MENTORING

The right help at the right time provided when a protégé needs guidance and advice is known as situational mentoring. It is usually short term, addressing an immediate situation, but can transition to a more long-term connection.

D. FORMAL MENTORING

Formal mentoring has four characteristics: 1. It has a beginning and an end. 2. It has a method for no-fault termination.

3. It has some type of formal matching process.

4. It has one or more checkpoints, such as meeting at mid-point in a one-year period, at

which time the partners can discuss goals and progress toward goal achievement. E. INFORMAL MENTORING

Informal mentoring usually occurs when the protégé seeks advice from a mentor. It can also occur when a mentor reaches out to someone who can benefit from his/her experience. These relationships tend to grow over time and are extremely effective and rewarding.



OUTLINE SHEET 3-3 MOTIVATION

1. Introduction

Motivating others is a necessary leadership skill. A leader’s understanding of motivational theory and practice is key to stimulating, rewarding, and gaining the support of Sailors.

2. Intrinsic And Extrinsic Motivation

People often think of motivation as a unitary concept: either a person is motivated, or s/he is not motivated. There are, however, two different types of motivation: intrinsic and extrinsic. Intrinsic and extrinsic motivation cannot always be determined by behavior. Behaviors that two people display can look precisely the same, like reading a book, but the reasons behind the behaviors can be very different. One person may be reading because s/he likes to read for fun; another may be reading because not reading would cause them a negative consequence (e.g., failing an exam).

1. Intrinsic Motivation

Intrinsic motivation is the inner desire to engage one’s interests and exercise one’s capabilities. Intrinsic motivation provides a natural force that encourages self-development and personal growth. With intrinsic motivation, the act is rewarding for its own sake. One intrinsic motivator is curiosity. Individuals are motivated to find out how things work or why things happen. This motivation can lead people to read, study, and learn new things. Another intrinsic motivator is self-esteem. Individuals work hard and do a good job for the pleasure it gives them to do well. Altruism as a motivator drives individuals to work hard at volunteer activities because they feel good about themselves when they help others.

2. Extrinsic Motivation

Extrinsic motivation occurs when external rewards direct behaviors into specific patterns. The directed behavior is due to external motivators, not intrinsic-need satisfaction. Individuals act in certain ways as a means of getting something else. They read and study to get an “A” or pass a test, not just for the fun of learning, but to get a reward or avoid discipline. The traditional “carrot-and-stick” approach to motivation, which involves providing positive and negative external consequences to shape or force desired behavior, is extrinsic motivation in action. A combination of external rewards and internal rewards motivates most people. It is important for LPOs to understand that there are many ways to improve the motivational climate in a work center and that a variety of motivational tools are available for different individuals and different situations.



INFORMATION SHEET 3-3-1 REWARD AND RECOGNITION

A. INTRODUCTION

There are a number of ways to formally and informally reward and recognize your Sailors. Taking the time needed to prepare for and present formal awards shows your commitment to your team’s success and positively impacts the morale of your work center. Listed below are five formal methods to reward and recognize your Sailors.

B. NAVY COMMENDATION MEDAL

Authorized in 1944, the Navy Commendation Medal (previously the "Commendation Ribbon") is awarded by the Navy and Marine Corps to their own or members of other Armed Forces serving with the Navy or Marine Corps who distinguish themselves by heroic action, outstanding achievement, or meritorious service. To merit this award, the acts or services must be accomplished or performed in a manner above that normally expected and sufficient to distinguish the individual above those performing similar services.

C. NAVY ACHIEVEMENT MEDAL

Authorized by the Secretary of the Navy on January 24, 1962, and awarded to junior officers and enlisted personnel serving in any capacity with the Navy and Marine Corps who distinguish themselves by outstanding professional achievement or for leadership. Originally a non-combat award, the achievement medal is now awarded for both combat and non-combat service. The combat "V" device is worn on the ribbon if stipulated in the citation.

D. LETTER OF COMMENDATION

Awarded to an individual for extra involvement outside of his/her normal job The level of involvement is more than is required for a Letter of Appreciation, but less than required for a Navy Achievement Medal.

E. LETTER OF APPRECIATION

Awarded as an official thank you to an individual for extra involvement, usually outside of his/her normal job.

F. THE GOOD CONDUCT MEDAL The Navy Good Conduct Medal is awarded on a selective basis to recognize three years of continuous active duty service and above-average conduct and proficiency by enlisted service members in the regular Navy or U.S. Naval Reserve.

More information about awards can be found at: https://wwwcfs.cnet.navy.mil/crest/awards_and_recognition/military_awards/index.htm



OUTLINE SHEET 3-5 ELECTRONIC CAREER INFORMATION

1. Introduction

You can track and manage your career and advancement potential electronically. You should regularly review these records for accuracy. To obtain a copy of any of the information listed below, go to www.nko.navy.mil for more information.

2. Performance Summary Record (PSR)

PSR is a summary of the enlisted professional information, including performance history and personal decorations information. This data contains some of the same information found in the Enlisted Distribution Verification Record (EDVR) database, as well as a summary of all evaluation records for paygrades E-4 and above.

3. Enlisted Summary Record (ESR)

ESR was designed to replace a Sailor’s paper-based record. It contains qualifications, promotion history, education, billet information, and other personal data that is used as a basis for career development

4. Electronic Training Jacket (ETJ)

The ETJ program allows active duty and reserve Navy personnel instant access to their official training and education records over the Internet. Sailors can visit their ETJ on the Navy Training and Management and Planning Systems (NTMPS). The ETJ integrates data from over ten different databases to display to Sailors a complete history of the knowledge, skills and abilities they offer the U.S. Navy. The easy-to-use web-based system collates for the user all the training, education, special qualifications and certifications, skills and awards pertaining to that individual. The ETJ contains individual screens for various data, including Navy Enlisted and Officer Billet Classifications, Personnel Qualification Standards, Navy E-Learning Network, CNET Navy web-based training, Armed Services Vocational Aptitude Battery scores, Sailor and Marine American Council on Education Registry Transcript (SMART) data, subspecialty codes, awards, advancement requirement status, and more.

5. Sailor/Marine American Council on Education Registry Transcript (SMART)

SMART documents American Council on Education (ACE)-recommended college credit for military training and occupational experience. It provides Sailors with a better opportunity to complete a college degree by offsetting tuition when colleges and universities recognize military schools and experience as credit.


http://www.nko.navy.mil/


INFORMATION SHEET 3-5-1 CAREER DEVELOPMENT BOARD

A. INTRODUCTION

Selection boards, convened by the Chief of Naval Personnel, meet annually to select Chief, Senior Chief, and Master Chief Petty Officers.

B. CAREER DEVELOPMENT BOARD

Various components in the selection board process are shown as follows: Various Factors About the Sailor

Documents Provided to the Selection Board

Performance Evaluation

Navy-wide Exam Selection Board

SUSTAINED SUPERIOR PERFORMANCE PROFESSIONAL EXPERTISE SPECIAL TOURS EDUCATION DUTY ASSIGNMENTS WEIGHT STANDARDS BEHAVIOR EXAM SCORE

PSR EVALUATIONS SERVICE RECORD PAGES CANDIDATE- PROVIDED LETTERS TO THE BOARD PRESIDENT

RECOMMENDED PERFORMANCE RANKING

NAVADMIN MESSAGE STUDY! 3RD THURSDAY IN JANUARY RESULTS

NAVADMIN MESSAGE EXAM RESULTS BOARD MEMBERS CONVENING AND PRECEPT PANELS AND RECORD REVIEW SLATING BOARD BRIEFED AND VOTES WRITTEN REPORT NAVADMIN MESSAGE

COMPONENTS OF SELECTION BOARD PROCESS



1. Factors considered by the E-7/8/9 Boards

The considerations change slightly from year to year, and in no way should these factors be considered the only factors influencing selection:

a. Sustained superior performance. This is the single-most important factor influencing

selection.

b. Professional expertise. Significant emphasis is placed on professional performance at sea. Although it is not necessary that a candidate presently be serving in a sea duty billet, it is a positive factor when a candidate’s record reflects demonstrated evidence of professional and managerial excellence at sea or in isolated duty assignments. It is recognized that some ratings do not offer a broad opportunity for sea duty, particularly at the senior levels, and that is taken into account. Additionally, while a variety of duty assignments, especially sea duty, is highly desired, individuals having less variety but equally demanding tours may be equally qualified. In that respect, Navy members may be assured their careers will not be unfavorably affected by service over extended periods in important assignments to which they have been ordered to meet the needs of the Navy.

c. Special tours. Candidates presented to the board compete within their rating. It is recognized, however, they are frequently detailed to duty outside their rating specialties. Many such types of duty require selectivity in assignment and special qualifications. Therefore, due consideration is given to those candidates who serve in the demanding tours of duty as instructor, recruiter, career counselor, recruit company commander, duty in the Human Goals Programs, and all other tours requiring special qualifications.

d. Education. Consideration is given to increased education level. That includes both academic and vocational training, whether such education is gained as a result of the individual’s initiative during off-duty hours or as a participant in a Navy-sponsored program.

e. Evaluations/fitness reports. Evaluations and fitness reports are closely reviewed for both marks and narrative. Trends are identified. The marks and narrative must correspond on the evaluation/fitness report. Peer group ranking also gives board members an indication of how candidates compare with their peers. Personal decorations, letters of commendation/community involvement also reflect a well-rounded individual. The “total concept” is important.

f. Duty assignments. Duty assignments and history of duties performed are determined from the service record transfers and receipts page and the job description on the evaluations. Using this data, the board members determine whether or not individuals are performing duties commensurate with their rate, and whether professional growth expectancies are being met.



g. Weight standards. Failure to meet the Navy’s weight/physical readiness test (PRT) standards may render candidates ineligible. Refer to OPNAVINST 6110.1G.

h. Alcohol-related misconduct or poor performance. Advancement will not be denied solely based on prior alcoholism or alcohol abuse, provided the member has participated in successful treatment. Any misconduct or reduction in performance resulting from alcoholism or alcohol abuse, however, must be considered in determining fitness for advancement.

i. Behavior problems. Individuals who have had disciplinary problems, have received letters of indebtedness, or have other record entries relevant to behavioral difficulties, such as drug abuse, demonstrated racial, sexual, or religious discrimination, will find the path to E-7/8/9 more difficult than those with clear records. Once those problems are overcome, however, the single-most important selection factor is still sustained superior performance.

j. Test scores (E-7 only). Test scores are also taken into account since they provide an individual’s standing on the examination relative to the other candidates.

2. Records Pertaining to the Selection Board

Candidates should ensure that their COMNAVPERSCOM official service records and Performance Summary Record (PSR), formerly known as Enlisted Summary Record, are current, complete, and in proper order. Candidates should order copies of their CD record from PERS-313C at least 6 months before the board convenes. They should then review their records carefully to ensure all pertinent information is included. Candidates are responsible for ensuring their evaluations/fitness reports are typed properly, with no misspellings or other typographical errors. They should also ensure the evaluation covers the correct period.

3. Performance Evaluations

Performance evaluations are extremely important to the advancement process because the final multiple computation is based on three factors: performance + experience + knowledge. Performance is shown in the person’s day-to-day performance, work ethic, achievements, and so forth, and is documented in his or her performance evaluations. For the CPO candidate, evaluations compose 40 percent of the final multiple.

Before evaluations/fitness reports are written, candidates should submit all pertinent information. Pertinent information should include special qualifications, awards received, and all significant professional achievements earned during the reporting period. Candidates should list educational achievements, including Navy schools, correspondence courses, and civilian-sponsored courses completed during the reporting



period. They should also list collateral duties, command and community involvement, and any other information that candidates feel is noteworthy. An evaluation/fitness report should emphasize the person’s ability, potential, and willingness to accept positions of leadership and management. It should specifically indicate why the person should be advanced. Commanding officers should ensure marks are assigned properly. That enables selection boards to distinguish the top runners from the average candidates. The top performers in a command should be ranked against their peers. Command Master Chiefs or Senior Enlisted Leaders should take part in the evaluation/fitness report process. A reliable evaluation system requires coordination and cooperation of the entire chain of command. A good evaluation system, in turn, ensures a good promotion and selection process. Commands should ensure all evaluations are proofread for accuracy. Evaluations are often incomplete, which creates problems for selection boards. Reconstruction of a member’s career and performance is difficult enough without requiring the board to guess about areas left incomplete. Since evaluation comments must be limited to the space provided (no continuation sheets are authorized), commands should use concise language. They should not use unusual abbreviations or acronyms, particularly those developed locally or of a transitory nature.

4. Navy-wide Exam

A NAVADMIN message announcing the E7 Navy-wide examination cycle and other important information is usually released in the first week of December. CPO candidates should have been studying for this examination well in advance of the message announcement. For selection to CPO, 60 percent of the examination's final multiple is the examination's standard score. The remaining 40 percent is based on performance as previously mentioned.

For more information about the selection boards, go to: http://www.npc.navy.mil/Boards/ActiveDutyEnlisted


http://www.npc.navy.mil/Boards/ActiveDutyEnlisted

STUDENT GUIDE P–500-0020

OUTLINE SHEET 3-6 ENLISTED DISTRIBUTION VERIFICATION REPORT (EDVR)

1. Introduction

The following information is presented to help Leading Petty Officers understand the Navy’s enlisted assignment and advancement systems.

2. Enlisted Assignment System The following terms are used to explain the enlisted assignment system: BA – Billets Authorized. This is the ideal number of Sailors in each rating and paygrade needed by each command to accomplish its mission. It represents 100 percent manning. EAOS – Expiration of Active Obligated Service. This is the date on which you separate from active duty. It does not generate a requisition for your replacement. If at the last minute you decide to re-enlist, a Plan Rotation Date (PRD) will be established and a Requisition (REQ) will be generated for nine months in the future. MAT – Minimum Activity Tour. This is the minimum tour length you have to complete before you can be transferred. Most commands have a 24-month minimum activity tour. This ensures command stability. MCA – Manning Control Authority. The four MCAs (BUPERS, COMLANTFLT, COMPACFLT, COMNAVRESFOR) exercise responsibility for manning all the Navy's enlisted billets. The MCAs decide the priority assigned to billets on the REQs. MST – Maximum Sea Tour. This is the maximum amount of time you should expect to serve in a sea-going command. NMP – Navy Manning Plan. This gives each command its fair share of the number of personnel available. NMP may be larger, smaller, or equal to BA. NMP is computed for the Manning Control Authorities (MCA) by EPMAC which compares each command's BA with projections of Sailors due for transfer nine months in the future. PRD – Projected Rotation Date. This is the month and year in which you should expect to transfer. It is also used in the REQ to determine when your relief is due. The REQ for your relief will show up in the detailer's office nine months before your PRD. REQ – The Requisition. This is a computerized listing of billets requiring relief. It's prepared by Enlisted Placement Management Center (EPMAC). Billets are listed by command, paygrade, rating, and NEC, in the MCA order of priority. This is the order the detailer must follow to fill them.



The figure below (Figure 1) is a graphical representation of some of the entities involved in the assignment system. The process begins with a billet, to which a Sailor will eventually be assigned.

To support the requirement for these billets, each activity has documents that explain its mission and how many of each type of Sailor is required for that mission.

The Type Commander (TYCOM) monitors unit readiness and forwards unit personnel requirements, both short-term and long-term, to the respective Manning Control Authorities (MCAs).

The MCAs are responsible for developing the manning and prioritization policies that determine the quality, quantity, and priority for assignment of personnel to all billets within a command. They communicate those prioritized requirements to the Enlisted Personnel Management Center (EPMAC), which tracks personnel readiness levels for all naval units. They also act as an agent to all the MCAs in the placement function by generating the requisition as well as detailing all seamen, airmen, and firemen. The requisition is used by the detailers at the Bureau of Naval Personnel (BUPERS) as the assignment authority for all petty officers and designated strikers.

BUPERS detailers are the vital link between Sailors and the distribution system. They convey the fleet's requirements via the requisition and match these requirements with Sailors who have existing qualifications (or schedule en route training when required) in order to ensure the fleet unit receives a qualified Sailor to perform the mission. BUPERS detailers also process all 1306 requests, coordinate spouse co-locations, duty swaps, split tours, Guard III commitments, special program assignments, and provide valid career guidance.



Additionally, BUPERS is the single point of contact for all questions concerning new construction, decommissioning, assignments to Navy billets in Washington D.C., and all joint billets worldwide. The distribution process involves everyone in the Navy in some way. Be it the Sailor on the deck plates, the Commanding Officer at sea, or the CNO, all are involved in the billeting decisions to ensure the right person goes to the right assignment so our Navy can perform its mission. Be an active participant by keeping your command and BUPERS apprised of your needs and desires, and the Navy will make every effort to meet them. In addition to the material here, detailed information can be obtained through the BUPERS Web site available at http://www.npc.navy.mil/channels.



TOPIC SHEET 4-1 PLANNING

A. INTRODUCTION

Planning is an essential element of work center effectiveness. The best way to achieve any goal is to set objectives and create a plan to meet those objectives. Important concepts to apply when planning are problem solving, decision making, and risk management.


Identify resources available for proactive problem solving.

Identify resources available for proactive problem solving and plan execution.

Identify decision-making authority.

Identify potential problems of the process.

Discuss methods to incorporate lessons learned from previous evolutions to reduce risk.

Implement a plan of action that involves deliberate risk to achieve a recognized benefit

or an advantage.

Describe the impact of decision-making when considering risks and benefits.

Develop a plan of action that involves deliberate risk to achieve a recognized benefit or advantage.

Develop alternative courses of action.

Demonstrate how schedules may be revised according to tasks to be performed within

partnerships. Discuss the benefits of partnership to personnel.

Determine other personnel’s experience and resources.

Identify the roles/functions of other work centers.

Identify available resources.

Identify organizational relationships.

Leading Petty Officer Leadership Course SG 4-1 Planning


Identify mission goals.

Determine objectives to accomplish mission.

Determine priorities to accomplish mission. Discuss resource requirements for personnel to execute plan.

Identify methods to communicate the strategic plan.

Identify resources.

Identify time constraints.

Develop standards to ensure projects within areas of responsibility are completed.

Discuss techniques to monitor processes.

Identify the need for continuous improvement.

Recommend Sailors for collateral duties and increased responsibility.

Determine the most qualified candidate when assigning training roles and

responsibilities.

Identify and recommend changes to policies, instructions, or regulations.

Identify need for change.

Identify implications of change. Develop a plan for change.

Discuss the benefits of the improvement.


Outline Sheet 4-1: Planning

Outline Sheet 4-2: Decision-Making

Information Sheet 4-2-1: Systems Approach



Outline Sheet 4-3: Continuous Improvements

Outline Sheet 4-4: Change


Assignment Sheet 4-1: Continuous Improvement D. STUDENT REFERENCES

1. None. E. SUPPLEMENTAL REFERENCES

1. Brassard, M. (1989). The Memory Jogger Plus. Methuen, MA: GOAL/QPC. 2. Brassard, M. & Ritter, D. (1994). The Memory Jogger II: A Pocket Guide of Tools for

Continuous Improvement and Effective Planning. Methuen, MA: GOAL/APC.

3. CINCPACFLT INSTRUCTION 5224.2 (1996). Handbook for Basic Process Improvement. http://www.au.af.mil/au/awc/awcgate/navy/bpi_manual/handbook.htm

4. Covey, S. R. (1990). The 7 Habits of Highly Effective People. New York: Simon &

Schuster. 5. Covey, S. R., Merrill, A. R., & Merrill, R. R. (1994). First Things First. New York:

Simon & Schuster. 6. Deming, W. E. (1994). The New Economics for Industry, Government, Education.

Cambridge, MA: Massachusetts Institute of Technology.

7. Enlisted Personnel Management Center. Enlisted Distribution and Verification Report User’s Manual (EDVERMAN). New Orleans: Department of the Navy.

8. Fossum, L. B. (1989). Understanding Organizational Change: Converting Theory into

Practice. Menlo Park, CA: Crisp Publications, Inc.

9. Hall, T. F. (February 1995). Wide range of opportunity. The Officer. 10. Hersey, P., Blanchard, K. H., & Johnson, D. E. (1996). Management of Organizational

Behavior. Upper Saddle River, NJ: Prentice Hall.

11. Naval Military Personnel Command. (1985). Command Excellence: What It Takes to Be The Best! Washington, DC: Department of the Navy.


http://www.au.af.mil/au/awc/awcgate/navy/bpi_manual/handbook.htm


12. Ott, J. S. (1989). Classic Readings in Organizational Behavior. Belmont, CA: Wadsworth Publishing Company.

13. Rawlins, C. (1992). Introduction to management. New York: Harper Collins. 14. Schermerhorn, J. R., Hunt, J. G., & Osborn, R. N. (1994). Managing Organizational

Behavior. New York: John Wiley & Sons, Inc.

15. Scholtes, P. R. (1988). The Team Handbook. Madison, WI: Joiner & Assoc.

16. Senge, P. M. (1990). The Fifth Discipline: The Art and Practice of a Learning Organization. New York: Doubleday.

17. Tichy, N. M. (1983). Managing Strategic Change: Technical, Political, and Cultural

Dynamics. New York: John Wiley & Sons, Inc.

18. U.S. Navy, NAVSO P-3582. Financial management guidebook for commanding officers. Department of the Navy: Office of the Comptroller.

19. Wheeler, D. J. & Chambers, D. S. (1992). Understanding Statistical Process Control.

Knoxville, TN: SPC Press. F. STUDENT GUIDE MATERIALS

1. Topic Sheet 4-1: Planning 2. Outline Sheet 4-1: Planning

3. Outline Sheet 4-2: Decision-Making

4. Information Sheet 4-2-1: Systems Approach

5. Outline Sheet 4-3: Continuous Improvements

6. Outline Sheet 4-4: Change



OUTLINE SHEET 4-1 PLANNING

1. Introduction

Planning is an integral part of work center operations. Each work center should be able to develop and implement plans that work seamlessly within the system and extended system.

2. Planning

a. The Role of Effective Planning Planning is one of the major functions of management. Effective planning is essential to the successful accomplishment of assigned tasks, and ultimately the command mission. It is the management function that produces and integrates objectives, strategies, and policies.

b. Purpose of Planning Those who do not plan respond in a reactive mode. Effective planning provides the work force a sense of purpose and direction. It also assists decision-making and the ability to have control over the initiatives of the work center. More specifically, planning:

Develops a shared understanding of the common direction

Coordinates efforts of people working together

Facilitates decision-making

Establishes control and measurement

c. Characteristics of Effective Planning

In the 1985 Command Excellence study, superior commands were distinguished from others in part by several of the following planning characteristics: Planning is a regularly scheduled activity. Besides planning for special events,

planning may be scheduled weekly for tracking progress toward goals.

• Planning occurs at all levels. Commands, departments, divisions, and work centers plan.

• Planning is long range. A work center may have a monthly long-range planning

meeting in addition to weekly short-range operational planning sessions.



• Plans are specific. Plans are documented with milestone charts and a matrix showing who is responsible and when tasks are due.

• Plans are publicized. Plans are not the private information of leaders but are

published in the Plan of the Day (POD), posted on bulkheads, and explained at quarters.

• Systems are put in place to implement plans. Routine tasks and operations are

standardized with someone in charge of the process.

• The Command makes every effort to stick to the plan. Plans are taken seriously. Though circumstances may require it to change, considerable effort is put into abiding by the plan.

3. Types of Planning

Planning can be categorized in many different ways. One common way to categorize is by range or time frame.

a. Short-Range Plans

Short-range planning sets out the short-range goals or objectives to support a command mission or objective. Also called action plans, these plans take established end states, make them more specific, and outline the implementation steps. It is planning designed to maximize the efficiencies involved in day-to-day operations. They support mid-range and long-range plans. Short-range planning usually involves objectives handed down by a higher level in the organization and determines ways to attain them.

b. Mid-Range Plans Mid-range planning involves the near-term goals and objectives that support an organization’s long-range plans. This type of planning includes monthly and quarterly training plans, quarterly budget plans, and Plan of Action & Milestones (POA&Ms).

c. Long-Range Plans

Long-range plans focus on how an organization decides where it is going. These types of plans are developed by the top management of an organization and are broadest in scope. They include top-down planning, a long-range timeframe, and an external focus. Long-range plans are not constrained by time and are cyclical and continuous.



4. Elements of a Plan

From strike projection planning to cleaning a compartment, planning generally involves the same process that contains the following interacting elements.

a. Mission (Purpose)

Every plan has the ideal state or specific end providing the target for human effort. It may be provided to us (as an assigned mission), or it may be open to our development (as in strategic planning). Regardless, the first step of proactive planning, either personally or professionally, is a conscious documentation of where you are going.

b. Goals and Objectives Establishment of goals and objectives provide a means to achieve the plan’s purpose. Goals and objectives are the targets toward which an organization strives. For example, a work center may have a goal of reducing consumable purchases by 10 percent per quarter. The goals and objectives are selected to support the purpose. Keeping in mind the desired end to be attained, goals are selected and then strategies are identified and prioritized. Finally, strategies are implemented to achieve the objective.

c. Implementation Planning involves selecting the methods of achieving the desired end. It is in this phase of planning we creatively explore the various options available, decide on one or more paths to achieve the desired future, and determine the sub-goals or objectives that are the major milestones to the target.

d. Monitoring Monitoring allows the manager to determine which plans are working and which ones are not. Monitoring includes observation and collection of data to ascertain the progress of the plan. As implementation progresses, monitoring provides feedback allowing for adjustments, if necessary.

e. Evaluation Evaluation provides the validation of whether the plan is working or needs to be revised. The observations and data collected are considered to determine the degree of success of the plan. If the progress of the plan is not satisfactory, corrections to the plan should be made.



5. Time and Personal Time Management

Time is a limited resource that must be managed for a supervisor to be effective. Effective time management greatly simplifies the planning process. Time management, as a form of planning, can also be called personal management or personal planning. We all have the same amount of time. What time management really means is how we make decisions on spending our personal time and how we influence others to spend their time.

a. Elements of Time Management

Two factors define an activity: importance, and urgency. Important activities contribute to the mission, values, and high-priority goals. Urgent activities require immediate attention. Oftentimes, more emphasis is placed on urgency than on what is important. When this happens, individuals often create an illusion of importance and spend too much time trying to meet the expectations of others, while ignoring important issues.

b. Steps to Effective Time Management

In order to maximize use of available time, a manager needs to know what has to be accomplished and how important each activity is. In essence, effective time management is the foundation for successful planning (Rawlins, 1992, p. 88). Steps to effective time management include:

Step 1: Write a mission statement. Step 2: Make a list of objectives. Step 3: Rank the list of objectives. Step 4: List pertinent activities necessary to reach the objectives. Step 5: Assign priorities for each objective. Step 6: Schedule weekly activities to reflect activity priorities.

6. Managing a complex Navy

At any point in time, our Navy’s presence is spanning the globe. Imagine the communication and logistics network necessary to accomplish this task. The modern Navy is a dynamic, evolving organization. It performs many roles, while facing multiple challenges, and our human capital is at the nucleus.

The global presence required of today’s Navy presents unique challenges for manpower, personnel and training. Much of the force structure has changed dramatically since 1988.



OUTLINE SHEET 4-2 DECISION-MAKING

1. Introduction

Navy leaders make decisions because they have the responsibility to make them, the authority to make them, and are held accountable for the decisions they do make.

2. The Concept of Decision-Making

a. Responsibility, Authority and Accountability in Decision-Making

Since decisions are not made in a vacuum, decision-makers must be made sensitive to the policies of the command, be in concert with the Core Values of the Navy, be within the limits of authority, and be consistent with the standards of accountability for the situation. Whenever possible, the leader must collect as much data as possible to support the decision. Collection of data is synonymous with obtaining the prerequisite amount of information to assess the risk involved in making a decision. The collection and assimilation of the data, the risks, impact on command, mission, culture, and others are all factors the transformational leader must process prior to making and executing any decision.

b. Impact of Decisions on Others

Any decision affecting Sailors carries responsibilities linked to the Sailors and the command. Impact on Sailors can range from professional (career) to placing people in harm’s way (safety). Some examples of decisions that have impact on others include:

• Job assignments (career) • Evaluation and award recommendations (career) • Training scenarios (professional and safety) • Combat/crisis leadership decisions (safety)

3. Individual Decision-Making Styles

Approaches to making decisions will often vary depending on whether they are the responsibility of an individual or a group. There are basically four types of individual decision-making styles.

a. Authoritative

Authoritative decision-making applies in situations where the LPO has the necessary experience and information to make the decision and followers do not possess the ability, willingness, or confidence to help. The LPO makes the decision and followers are usually not actively involved in determining the course of action. In fact, they usually do not hear about the decision until it is announced. Authoritative decisions are



commonly communicated with phrases such as, “I’ve decided that…” and “Here is what we are going to do.”

b. Consultative

In a consultative style of decision-making, the LPO seeks Sailors who can help and asks for their assistance in making the decision. Help is solicited by using phrases such as, “What do you know about…” and “I would like some information on….” The LPO may or may not share all aspects of the problem. After receiving input from Sailors, the LPO makes the final decision.

Whenever you bring others into the decision-making process, you must make the ground rules very clear. A consultative decision is still leader-made. To avoid misunderstandings, Sailors must be told what you need. As the leader you will weigh their inputs carefully, but may not follow their advice in reaching the final decision.

c. Facilitative

Facilitative decision-making is a cooperative effort where the LPO and followers work together to achieve a shared decision. The LPO enlists Sailors’ help using phrases such as, “Let’s pool our thoughts and decide on…” or “We have a problem and I’d like your opinion.” The implication is the Sailors are capable of sharing the authority to decide what should be done.

d. Delegative

Delegative decision-making is used when the LPO delegates to Sailors. It is used when Sailors have the experience needed to make the proper decision or recommendation. When delegative decision-making is appropriate, the LPO can expect a high level of performance by using a phrase such as, “You know this subject/issue; work on it and let me know what you come up with.” (Hersey, 1996, p.483-445)

4. Group Decision-Making Styles

The LPO is often involved with making decisions as part of a team or group. Even if not assigned to a specific functional or operational team, an LPO will always be a part of the division leadership team and be involved with making team decisions. Team or group decisions can be categorized into the following four major types.

a. Individual/Authority

The decision is made by an individual who assumes authority. It is often easier for a team to accept because the team does not have to “buy into” the decision. Someone else is responsible, so it is “their” decision, not “ours.”

b. Minority/Coalition



The decision is made by two or more team members talking off-line or simultaneously due to command backgrounds, duties, interests, etc. It often happens suddenly and catches other team members off guard and unprepared. If the other team members are intimidated by the coalition or uncommitted to the process, they may accept a sub-optimal decision rather than force consideration of their viewpoints. Minority/coalition decisions generate resistance, or at best, apathy.

c. Majority

This is a traditional response, when opposing views appear deadlocked. Those in the minority remain opposed. They do not buy into and may create roadblocks to implementation or may try to get even.

d. Consensus

This is the optimal method and most informed type of team decision-making. It has a high probability that decision will actually get implemented. Everyone understands and supports reasons for making the decision, even though it may not be their choice. It represents a choice everyone can live with. The two most common methods of reaching consensus are focusing down and opening up.

• Focusing down

Focusing down attempts to find the “common” ground among all the participants. This is the typical “seeking the common denominator” when there are multiple individual views. Consensus is built from the part of each individuals’ view that is shared by the other members of the group. That common ground establishes a base view all agree on and can be built on to reach the final decision.

• Opening up

Opening up seeks a perspective larger than any single person’s view. Each person’s view is a unique perspective on a larger reality. By sharing others’ perspectives through dialogue, we may all see something we would not have seen alone and reach a consensus decision that may be different from any of the individual views.



INFORMATION SHEET 4-2-1 SYSTEMS APPROACH

A. INTRODUCTION

A system is a network of interdependent components that work together to try to accomplish the aim of the system (Deming, 1994, p.49-50).

B. UNDERSTANDING SYSTEMS THEORY

Leadership does not take place in a vacuum. LPOs must understand how their daily tasks integrate into the larger whole of the command mission. A systems approach holds that improving how the work center and the rest of the command work together is as important as making improvement to the work center itself. “Systems thinking is a discipline for seeing wholes. It is a framework for seeing interrelationships rather than things, for seeing patterns of change rather than static snapshots (Senge, 1990, p. 68).” Too often, we think if we do our individual best, the work center, division, department, and command will be better for it. Unfortunately, this is not always the case. The more complex our weapons or support systems, the more important it is to understand how our own actions affect others. Navy leaders must consider their organizations as a system, and adopt a systems approach to organizational improvement.

Figure 1: Definition of a System (the perfect cup of morning coffee)

#6Overflow

of balls gointo smallbucket.

Weight ofbucketpullsrope

down.

USN

#1 Alarm rings.

#2 Birdjumps

off perchactivatingthe switch

thatcontrols

hot plate.

#3 Bird flys over to otherperch to feed, activatinganother switch to gears.

#4 Gears turn and releaseballs into bucket below.

#5 As bucket fills with balls, itpulls on a rope that lifts the

coffee pot.

#7 Coffee ispoured and

weight of cupshuts off alarm.



1. Interdependent Components In a system, what one part of the system does, affects either the work, the output, or the outcome of other parts of the system. For example, the supply division’s ability to provide parts affects other work centers’ ability to operate.

2. Complexity

Better understanding their complexity, which comes from two main sources, helps the management of systems and their problems. Senge discusses the two distinct types of system complexity. (See Figure 2).

Detail complexity comes from having many process factors or procedural steps.

The more system components there are, the more difficult it is to get the job done. Many of our work problems come from detail complexity, like how many steps it takes to request a gallon of paint.

Dynamic complexity refers to the relationships among systems components and

their changing influences over time, especially when there is a substantial delay between a cause and its effect. The more frequently the elements in the system are subjected to change, and the more substantial the impact of that change is on the inter-relationships, the more dynamic complexity there is. For example, a young Sailor, new at operating the helm, applies too much rudder. The rudder works as intended, slowly drifting past the intended course on the compass. To correct, the Sailor now over-compensates by applying too much rudder the other way (Senge, 1990, p.42-43).

System Complexity

USN

USN

(the components)

(the interaction)

Detail Complexity

Dynamic Complexity

Figure 2: System Complexity



3. Working together

System components work together. The command components must work together if the system is to operate effectively (Deming 1994, p.49-50).

4. Common Objectives

A system must have an aim (Deming 1994, p.49-50). The aim of the system must be clear to everyone in the system. The aim must include plans for the future. Customers, end-users, and the mission all define the aim of the system or process. Mission requirements provide the aims of our organizational system. Regardless of the terms used, it is essential the aim of the work center, like those of the command, be defined. The customers or end-users of work center operations must be involved in determining the requirements of the output.

5. System Management

A system must be managed. Left to themselves, individual components become selfish, competitive, independent centers. A system’s performance will deteriorate because of outside influences or component wear and tear. It is the LPO’s job to direct the efforts of all components toward the aim of the system. An unmanaged system is what occurs when the LPO returns after two weeks of training to find training was skipped and some maintenance checks were missed.

6. Command as an Extended System

Every Navy command can be viewed as a system. Everyone in the command is part of that system. The aim of the command is its mission. It accomplishes its aim through its subsystems and processes. Every command is made up of subsystems and processes that are accomplished by combinations of the component parts that make up the command system. In order to better understand our organizational systems, we will examine some basic concepts of a system in general. In 1985, the Navy published Command Excellence: What it takes to be the best! This document contains a Model for Command Excellence. It is referred to as a systems model. “There are two key ideas in a systems model: (1) the whole is made up of parts that are interrelated – as one part changes, the other changes, and (2) the system, or command exists within a larger environment that affects the functioning of the command while, in turn, the command’s actions affect the outside environment. Connectedness is the key to a systems view – change in one area affects other areas (Naval Military Personnel Command, 1985, p. 3).” (See Figure 3.)



Figure 3: Model for Command Excellence C. SUBSYSTEMS

The components need not all be clearly defined, but the work of diverse components is interrelated (Deming, 1994, p. 49-50). Work centers are subsystems of divisions or departments. A command system consists of many subsystems and processes. Internal influences and relationships among Navy command subsystems must be identified and understood. Every organization is part of and influenced by other, larger systems.

D. ELEMENTS OF AN EXTENDED SYSTEM In order to understand our commands and organizations as systems, we need to look beyond our own internal processes. The extended system includes inputs to the work center, its processes, the output of the work center, and the resulting outcome as that output is used by



another work center. We must understand the system relationships, including the effect of the external inputs on our processes and the effect of our process output on the other command system components. The extended system includes inputs, internal processes, outputs, outcomes, and the influences of stakeholders and external systems that impact it. This complex interrelationship is illustrated in Figure 4 (Navy Military Personnel Command, 1985, p. 3.7).

Supplier End-userCOMMANDOPERATIONS

Productor

Service

Inputs Process Outputs Outcomes

Environment and External Stakeholders

Figure 4: The Extended System

1. Suppliers

Suppliers provide input to the organization: people or processes provide a product or service as input. Suppliers can be either external or internal to the organization. Suppliers are isolated from the organization’s customers by the process itself. (See Figure 4.) The limitations of suppliers may become limitations to our process. Suppliers have the obligation to listen to their customers and improve processes based on feedback from those customers. Not all processes in an organization are of equal importance. To differentiate between processes, two major categories of processes should receive the majority of attention.

a. Significant processes are those that cross the organization from an external supplier

to an external customer and directly affect mission performance. A significant process for a shore supply activity might be to provide fleet logistics, while a significant process for a ship might be rounds on target.

b. Critical processes describe those processes that are supportive of the mission’s significant processes, or are otherwise “critical” in their own right. At the LPO level we might expect to be working on “critical” processes and their supporting



subprocesses. Critical processes for a ship might include everything from requisitioning ammunition to accurate spotting. Critical processes for a shore activity might include procurement and delivery (Scholtes, 1998, p. 2-5).

2. Processes

A process is a sequence or series of operations and decisions (steps, tasks, and activities) that result in a specific output. A process can also be defined as the interaction of several activities or “causes” that produce an effect. A process can be of different levels (i.e., processes within processes). When we define and understand the factors that come together in a process, we are better prepared to predict how that process will perform in the future. Understanding the process can be facilitated by several management tools, primarily the flowchart.

3. End-users

An end-user is the person who uses the product or service provided by the process. End-users are the individuals or organizations that receive the added value of our work (process) efforts. End-users or customers may be either external or internal to the organization (Scholtes, 1988, p. 2-5) End-users’ needs define the required output of our processes. Meeting or not meeting customer needs determines our success or failure. Information on how well we have met our customer’s needs comes via complaints, formal feedback systems, and mission success or failure. An organization's survival depends on how well it satisfies the needs of its customers, end-users, and mission.

4. Outputs

Outputs and outcome are the results of the system or process effort and will be evaluated against the aim to determine system or process effectiveness. Output is what our process produces. This may be supplies ordered, a paved road, or missiles away. Output is what we actually provide to our customer or end-user.

5. Outcomes

Outcomes are the results of our output when put to use in the real world. A product or service is delivered to the end-user, but the product continually fails under the rigors of field service. The output may be acceptable, but the outcome is not.

6. Stakeholders Stakeholders are individuals or groups, inside or outside of the organization, who affect or are affected by the organizations’ input, processes, output, or outcome. Influences and effects can go both ways, as indicated by the arrows in Figure 1, Definiton of a System.



7. Feedback Feedback systems provide objective and subjective information to the organization on how they are doing and what is needed. Both short-term information feedback and long-term planning feedback are essential for system improvement. Suggested management feedback tools are found in The Memory Jogger II. Effective feedback: Identifies the needs of the end-user/customer. This is the principal objective of a

feedback system so we may have a target for our processes.

Contains information meaningful to the organization. The terms and requirements of the customer must often be translated into language we understand and actions we need to take.

Is pro-active rather than passive. If we wait until we hear from the customer first, we may never hear until long after problems develop.

E. SYSTEM EFFECTIVENESS

The effectiveness of a system can be measured by how well it achieves its aim. 1. System Optimization

Optimization of the system (e.g., the command) means the system as a whole is as effective and efficient as possible. Parts of the system (departments and divisions) strive to work together to achieve the system goals. Cooperation is essential for command optimization. To achieve system-wide optimization, we must communicate with each other, and we must work together as teams to manage the overall command’s processes and systems rather than managing our work centers, divisions, and departments as independent units. If we want the larger organization (the department or the command) to be successful, we must work with personnel from outside our own work centers. Teams provide this structure for cross-functional management of processes (Deming, 1994, p 53-55, 67-74).

Resistance

Because people are used to the way current systems operate, any change requires new thinking and different behaviors. Systems themselves generate momentum; systems resist efforts to change their behavior against that momentum. Systems themselves generate momentum; systems resist efforts to change their behavior against that momentum. An example is when the system, traditionally focused on individual achievement and recognition, attempts to move to a more team centered approach by rewarding team accomplishment, minimizing the contributions of the individual in that accomplishment. The system will resist team recognition (Senge, 1990, p. 88).



Leverage

The bottom line of systems thinking is leverage seeing where actions and changes in structures can lead to significant, enduring improvements. Improvement in a complex system works best when we know the right place to apply leverage to the system in order to obtain desired long-term effects. This knowledge comes from the study of the dynamic complexity of our processes. Non-systematic thinking focuses on symptoms where stress is greatest. Repairing or “fixing” the symptoms may make matters better in the short run, and worse in the long run. A work center with personnel shortages may short change training to meet workload deadlines, resulting in a short term “fix” but contributing to a greater long term problem. By providing comprehensive Naval Leadership Training, the Navy can leverage the use of appropriate management tools. As a result, LPOs will be able to both improve work center training and readiness, and accomplish the mission (Senge, 1990, p.88).

2. Suboptimization

Suboptimization of a system occurs when one or more components of the extended system try to maximize themselves, and as a result, contribute to the detriment of other parts of the system, and thus to the whole. The obligation of any component of a system is to seek to contribute to the whole rather than to maximize itself. A component may even need to operate at a sacrifice to itself in order to further the aims of the system. A Navy example would be when cleaning supplies for field day are hoarded by one division to ensure they have adequate supplies for themselves, leaving other divisions with none.



OUTLINE SHEET 4-3 CONTINUOUS IMPROVEMENT

1. Introduction.

Process improvement is learning about how your process works and then improving it to better provide what the customer needs. One of the basic concepts that sets the process improvement of today apart from the problem solving of the past is the emphasis on continuous process improvement.

2. Continuous Process Improvement

“Continuous improvement comes as a result of a long sequence of small steps. Some of these steps will result in dramatic improvement. Most improvements, however, will rest on preceding steps as well as the most recent one. For this reason, one can rarely leapfrog from current conditions to the ultimate process potential (Wheeler & Chambers, 1992, p. 151-152).”

a. Process Standardization

When looking at a process to improve, it will become clear there are differences in the way the work gets done: from person to person, watch or duty section to section, division to division. Whatever the cause, this lack of standardization reduces the “predictability” of process outcome (it makes the outcome different) and makes managing (operating and improving) the process more difficult. Getting a process standardized is an important step in moving toward process improvement. Improvement will be very difficult if the process is constantly changing because the use of non-standardized operational methods.

Process standardization is not the same thing as process improvement. When we standardize a process, we may achieve a more stable and predictable process, but that does not mean it meets the end-user’s needs.

b. Process Simplification

The concept of simplification relates to eliminating, or in some other way simplifying, process steps. This results in a reduction of non-value-added activities related to time, money, personnel, or other resources. Before initiating process simplification, the following questions should be addressed: Can this step be done in parallel with other steps, rather than in sequence (i.e., does

this step have to be completed before another can be started, or can two or more steps be performed at the same time)?



What would happen if this step were eliminated? Would the output of the process remain the same? Would the output be unacceptable because it is incomplete or has too many defects?

Will eliminating this step achieve the process improvement objective?

Is this step being performed by the appropriate person?

Is the step a work-around because of poor training, or a safety net inserted to prevent recurrence of a failure?

Is the step a single repeated action, or is it part of a rework which can be eliminated?

Does this step add value to the product or service produced by the process?

If the answers to these questions indicate waste, you should consider doing away with the step. If a step can be removed without degrading the process, you can recover resources which can be used elsewhere in the organization. (Total Quality Leadership Office, p. 19-20)

3. Process Variation

Variation relates to the observed differences in output characteristics produced by a process. The more processes vary, the less we can rely on them for prediction and improvement in mission effectiveness.

a. Causes

There are two types of variation, common cause, and special cause variation. Common cause variation is randomly inherent in the process over time and affects all outputs of the process. For example, personnel using an unbalanced lathe to machine bolts will always produce defective bolts. Special cause variation is not in the process all the time and arises because of specific circumstances. For example, personnel who are required to take hourly readings during diesel trend analyses, but who do not adhere to approved guidelines, will produce inaccurate data.



b. Impact of Variation

Variation has an impact on process stability. It impacts the degree to which a process can help us to predict what the output will be. A process that is impacted solely by common cause variation is predictable within a range. Although it may not be giving us exactly what we want, we can predict within a range what the process output will be. A process that is impacted by both common and special causes of variation will not be stable overtime, and therefore not predictable.

c. Reduction of Variation

Since reducing special and common cause variation require different types of action, the responsibility for reducing it varies. Leadership is responsible for identifying common cause variation, and reducing it (provided it has the authority to do so), while individuals working in the process are responsible for reducing special cause variation. Unless authority has been specifically delegated, only the level of leadership that has authority to change the process can make it happen. However, the responsibility for reducing special cause variations should be with individuals working closest to the problems since they can readily identify special cause.

d. Tampering and Under Adjusting

Making a change to a process when it is not warranted or failing to make a change when it is warranted will reduce process effectiveness and efficiency. Tampering is taking action when action is not called for. It is a knee-jerk reaction to limited data that does not consider the process as a whole. Tampering most often results in increased variation, either directly or indirectly, and occurs when common cause is mistaken for special cause variation. Under adjusting is not taking action when special causes are present and need correction.



4. Continuous Improvement Models

a. Plan-Do-Check-Act (PDCA) Cycle

PDCA is inherent to any Continuous Improvement Model. Typically, it is located at the end of a process that first allows one to get organized. Organization within a Continuous Improvement Model includes getting a better understanding of the process, identifying customer needs, standardizing the process, and simplifying it, if possible.

b. Basic Process Improvement Model

The Basic Process Improvement Model consists of the following two segments and 14 steps: (CINCPACFLT INSTRUCTION 5224.2). A process simplification segment includes steps 1 through 7 of the process.

Teams begin process improvement activities with these steps. Depending on the stability and capability of the process, the team may continue on to step 8, or go directly to step 14.

A Plan-Do-Check-Act (PDCA) Cycle consisting of steps 8 through 14 flows

from the process simplification segment

Using all 14 steps of the model will increase the team's process knowledge, broaden decision-making options, and enhance the likelihood of satisfactory long-term results. Step 1: Select the process to be improved and establish a well-defined process

improvement objective. The objective may be established by the team or come from outside tasking.

Step 2: Organize a team to improve the process. This involves selecting the “right” people to serve on the team; identifying the resources available for the improvement effort, such as people, time, money, and materials; setting reporting requirements; and determining the team's level of authority. These elements may be formalized in a written charter.



Step 3: Define the current process using a flowchart. This tool is used to

generate a step-by-step map of the activities, actions, and decisions which occur between the starting and stopping points of the process.

Step 4: Simplify the process by removing redundant or unnecessary activities. People may have seen the process on paper in its entirety for the first time in Step 3. This can be a real eye-opener that prepares them to take these first steps in improving the process.

Step 5: Develop a data collection plan and collect baseline data. This

data will be used as the yardstick for comparison later in the model. This begins the evaluation of the process against the process improvement objective established in Step 1. The flowchart in Step 3 helps the team determine who should collect data and where in the process data should be collected.

Step 6: Assess whether the process is stable. The team creates a control chart or run chart out of the data collected in Step 5 to gain a better understanding of what is happening in the process. The follow-on actions of the team are dictated by whether special cause variation is found in the process.

Step 7: Assess whether the process is capable. The team plots a histogram to

compare the data collected in Step 5 against the process improvement objective established in Step 1. Usually the process simplification actions in Step 4 are not enough to make the process capable of meeting the objective and the team will have to continue on to Step 8 in search of root causes. Even if the data indicate the process is meeting the objective, the team should consider whether it is feasible to improve the process further before going on to Step 14.

Step 8: Identify the root causes that prevent the process from meeting the

objective. The team begins the Plan-Do-Check-Act Cycle here, using the cause-and-effect diagram or brainstorming tools to generate possible reasons why the process fails to meet the desired objective.

Step 9: Develop a plan for implementing a change based on the possible reasons for the process's inability to meet the objective set for it. These root causes were identified in Step 8. The planned improvement involves revising the steps in the simplified flowchart created after changes were made in Step 4.

Step 10: Modify the data collection plan developed in Step 5, if necessary. Step 11: Test the changed process and collect data.



Step 12: Assess whether the changed process is stable. As in Step 6, the team uses

a control chart or run chart to determine process stability. If the process is stable, the team can move on to Step 13; if not, the team must return the process to its former state and plan another change.

Step 13 Assess whether the change process is capable. As in Step 6, the team uses a control chart and a histogram, the team determines whether the process is closer to meeting the process improvement objective established in Step 1. If the objective is met, the team can progress to Step 14; if not, the team must decide whether to keep or discard the change.

Step 14: Determine whether additional process improvements are feasible. The team is faced with this decision following process simplification in Step 7 and again after initiating an improvement in Steps 8 through 13. In Step 14, the team has the choice of embarking on continuous process improvement by reentering the model at Step 9, or simply monitoring the performance of the process until further improvement is feasible.

c. Team Handbook Continuous Improvement Model

Scholtes’ Five-Stage Plan for Process Improvement is another example of a process that includes the PDCA cycle. Scholtes states that by the time a team reaches the PDCA stage most obvious sources of problems will have been eliminated from the process. Those problem sources include: Inadequate knowledge of how a process does work Inadequate knowledge of how a process should work Errors and mistakes in executing the procedures Current practices that fail to recognize the need for preventive measures Unnecessary steps, inventory buffers, wasteful measures Variation in inputs and outputs (Scholtes, 1988, p.5-18 – 5-26)



Step One

Step Two

Step Three

Step Four

Step Five

Understand and describe the process as it currently exists.

Eliminate errors and error-proof the process.

Streamline the process and remove all slack.

Reduce variation in measurement systems and in the process. Bring the measurement process and the process itself under statistical control.

Plan Do Check Act

Figure 1: Five-Step Plan for Process Improvement (Scholtes, 1988, p.5-18 – 5-26)

d. Memory Jogger Continuous Improvement Model

Brassard and Ritter’s Continuous Improvement Model incorporates the organization phase of Continuous Improvement into the Planning Phase of the PDCA cycle itself. Their model is outlined as follows: Plan

Select the problem/process that will be addressed first (or next) and describe and improvement opportunity.

Describe the current process surrounding the improvement opportunity. Describe all of the possible causes of the problem and agree on the root

causes(s). Develop an effective and workable solution and action plan, including targets

for improvement.

Do Implement the solution or process change.



Check Review and evaluate the result of the change.

Act Reflect and act on learning (Brassard & Ritter, 1994, p.115-131).



OUTLINE SHEET 4-4 CHANGE MANAGEMENT

1. Introduction

The phrase "winds of change" implies that change is natural. It is. Change is a natural part of any organization. Change may originate from a number of sources, for a number of reasons, and be implemented by a number of methods. At the level of work center supervisor, or LPO, the ability to manage change, regardless of the change's sources, is essential to success.

2. Change Management Concepts

a. Definition

"Organizational change is defined as the induction of new patterns of action, belief, and attitudes among substantial segments of a population. All definitions of change are problematic. This is because they assume we can differentiate between states of change and stability. This turns out not to be so simple. For organizations are always changing, often in subtle and incremental ways. Nevertheless, change is a core characteristic of all social systems (Tichy, 1983)."

A simpler, working definition of change is "change modifies the manner in which things are done (Fossum, 1989)." For the LPO, the implications of this definition are to manage modifications to the way things are done.

b. Change Management

Change management is the process the LPO uses to direct the effects of change toward a desired outcome. Four steps broadly summarize the process of change management:

• Determining the end result of the change

• Recognizing type and classification of the change

• Understanding the effects of change on Sailors

• Developing and implementing strategies for change



3. Determine the End Result of the Change

Essential to change is the ability to articulate what must be accomplished. This is the first step in the change management process. Also essential is the ability to articulate what must be accomplished.

Most of the changes an LPO manages may not originate from him/her, but from direction coming through the upper chain of command. Support of the change is equally vital to the change's success, as is understanding the desired end results.

4. Recognize the Type of and Classification of Change

The second step in the change management process is to identify the type and classification of the change. Change can be categorized by what it affects. The primary things affected by change result in two types of change: personal and organizational.

• Personal change – a process that alters the way we act, think, or feel.

• Organizational change – the linking together of new actions, policies, and behaviors

in the organization.

Change occurring within an organization may fall under two distinct classifications: planned and unplanned change (Schermerhorn, et al. 1994).

• Planned – Change happens because of specific efforts to create the change. When properly managed, planned change improves an organization.

• Unplanned – Change occurs randomly or spontaneously. Unplanned change usually

requires reaction and can negatively affect an organization. The obvious proactive choice is to plan for a particular change; however, the Navy's working environment is sometimes reactive, so planning may not always be feasible.

5. The Effects of Change on Sailors

When improperly managed or communicated throughout an organization, change appears to Sailors as chaos. Although the change may be planned, its implementation at the Sailors level is reactive and the possibility of negative consequences increases.

A leader must recognize with each change, Sailors go through four stages (Fossum 1989):

• Stage 1: Denial – A belief that nothing major is occurring • Stage 2: Resistance – Can range from a negative attitude to all out opposition • Stage 3: Adaptation – Change begins to become accepted



• Stage 4: Involvement – Sailors actively participate in change, make contributions and

suggestions, and initiate work without being directed

An LPO’s role in organizational change is of a supervisor, who normally assists work groups in adapting to the change. This assistance can take one of three forms (Fossum 1989):

• Change sponsor – Individuals or groups who have the power to determine a change

will occur. Change sponsors legitimize change either by initiating it or allowing it to occur.

• Change agent – Individuals or groups responsible for seeing a previously determined

change occurs. Change agents are normally middle- to lower-level management.

• Change target – Individuals or groups who are asked to change something (knowledge, skill, attitude, or behavior). Change targets are normally workgroups.

To successfully manage change, an LPO must develop three key change management skills (Fossum 1989):

• Empathy – The ability to understand where others are coming from without being

there. To have empathy, an LPO must understand those who will be impacted by the change, what motivates them, and what is happening to them personally.

• Communication – The ability to effectively understand who, when, and how things

are occurring. For communication to be effective, the communication must involve a sender, a message, a receiver, and feedback.

• Participation – The ability to get those who are involved in the change to participate

in its implementation. When Sailor’s participation is encouraged, motivation is increased and negative behavior (e.g., failure to comply with standards) is reduced. The result is success.



6. Develop and Implement Strategies for Change

a. Approach

As previously stated, change for individuals is either personal or organizational, and occurs on one of four levels:

• Knowledge – The individual change is based on alteration of facts or knowledge.

Knowledge change is the quickest and easiest to effect; simply change the knowledge or fact.

• Attitudes – The individual change is based on alteration of negative or positive

attitudes. Attitudinal change is more time consuming than knowledge change because it is based on changes in emotion or attitude.

• Individual behavior – The individual change is based on knowledge and

attitudinal changes. Individual behavior change is time consuming because an attitude must change before the desired behavior changes.

• Group behavior – The institutional change is based on knowledge, attitudinal, and

individual behavior change. Group or organizational change is the hardest change to effect because it involves changes of individual behavior for groups of people. (Hersey, et al, 1996)

Whenever change is implemented within an individual or organization, it is accomplished through one of two cycles:

• Participative – When the group embraces the necessity for change and develops a

commitment for implementation. Once change is embraced, change management is still required.

• Directive – When change is dictated or mandated on the whole organization by an

external force (i.e., higher staff, the Department of the Navy, Department of Defense, or Congress). This type of change requires a high level of change management in order to be successful.

The change management process is accomplished through one of two cycles (Hersey, et al, 1996):

Participative

Directive

Knowledge Group Behavior Attitudes Individual Behavior

Individual Behavior Knowledge Group behavior Attitudes



b. Monitor Progress

The four stages of change, discussed earlier, can be used to monitor the change implementation process. A leader must recognize with each change, Sailors go through stages. These stages can be diagnosed, and then progress monitored. Table 1 illustrates diagnoses and monitoring actions (Fossum, 1989).

Four Stages of Change

Stage 1 Denial Recognizing denial in Sailors:

• Sailors’ initial comments may be similar to "No problem," or "This is no big deal"

Leader's actions:

• Develop an awareness of the change • Facilitate understanding

Stage 2 Resistance Recognizing resistance:

• Occurs only after a negative judgment of the change occurs

• May be the most difficult stage • Emerging feelings of loss

(control/power/personal), risk, and anger (conflict)

Leader's actions:

• Provide benefits to those experiencing feelings of loss of control and power

• Listen attentively to those feeling the change as a personal loss (grief)

• Acknowledge feelings • Employ change agents to help the

transition

Stage 3 Adaptation Recognizing adaptation:

• Understand the change and reflect positive perceptions about it

• Regain a sense of control Leader's actions:

• Encourage independence, personal responsibility and the acceptance of differences

• Encourage creative thinking, goal setting • Facilitate autonomy – give room for

Sailors to problem-solve; they cananalyze the issue, evaluate, and recommend solutions. nitor for conflict

• Mo

Stage 4 Involvement Recognizing involvement:

• Sailor’s belief in the change and commitment to its success

Leader's actions: • Support those solutions that were

designed to implement the change mmit the resources • Co

• Demonstrate supportive actions

Table 1: Four Stages of Change



c. Evaluate the Results

Measurement of a change's implementation can be more complex than a simple question such as, "Was the change a success?" Change management plans include benchmarks allowing progress measurement and course alterations.

Evaluating raw data is not the same as evaluating performance; however, subjective measurement criteria are paramount in both. Before implementing the change, define the means by which success will be measured.



TOPIC SHEET 5-1 MISSION AND VISION

A. INTRODUCTION

This course has provided you the opportunity to reflect on various aspects of your responsibilities as Leading Petty Officers in the Navy. The objective of this lesson is to bring all that together. The mission of the U.S. Navy is combat, and every member and every community has a vital role in combat readiness.


Discuss how Sailors’ roles support goals, objectives, vision and mission.

Discuss the importance of developing work center goals and objectives to support vision.

Discuss the importance of assigning priorities when translating vision into action plans for work center personnel.

Identify internal and external politics that impact your work center.

Facilitate cooperation with external groups.

Discuss the importance of staying current on world events.

Identify resources to stay current in world events.

Discuss politics and current events that impact the organization.

Describe key national and international policies, economic, political, and social trends

that affect the organization.

Identify impact of national and international policies and trends.

Describe individual responses to combat and crisis situations. Identify effects of combat or crisis situations on personnel.

Discuss techniques to develop situational awareness in Sailors.

Identify impact of combat and crisis conditions on personnel’s ability to perform.

Identify stress management methods.

Identify techniques for maintaining composure in combat or crisis situations.

Leading Petty Officer Leadership Course SG 5-1 Mission and Vision



Outline Sheet 5-1: Vision

Information Sheet 5-1-1: CNO Vision and Guidance

Outline Sheet 5-2: Political and External Awareness

Outline Sheet 5-3: Combat and Crisis

Information Sheet 5-3-1: “To Save the Cole”


None Homework:

Five Vector Model: research assigned vector Current Events Articles (3)


None E. SUPPLEMENTAL REFERENCES

1. Appleton, D. (in press). Bravery will not be enough. Combat Leadership for Littoral Warfare.

2. Cannon-Bowers, J. & Salas, E. (Eds.). (1998). Making decisions under stress:

Implications for Individual and Team Training. Washington, DC: American Psychological Association.

3. CNO Guidance for 2005. Retrieved July 14, 2005 from

http://www.navy.mil/palib/cno/index.html.

4. Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition, Text Revision (DSM-IV-TR®) (2000). American Psychiatric Association.

5. Gibb, J. R. (1978). Trust: A New View of Personal and Organizational Development. La

Jolla, CA: Omicron Press.



6. Navy ILE Overview (2004). Naval Personnel Development Command; version 1.1.

7. Mack, W.P. & Konetzni, A. H. (1982). Command at Sea. Annapolis, MD: Naval Institute Press.

8. McMichael, William. (2001, March 5). To Save the Cole. Navy Times.

9. Merriam-Webster, Inc. (1998). Merriam-Webster’s Collegiate Dictionary. Merriam-

Webster, Inc. Available: www.m-w.com. F. STUDENT GUIDE MATERIALS

1. Topic Sheet 5-1: Mission and Vision

2. Outline Sheet 5-1: Vision

3. Information Sheet 5-1-1: CNO Vision and Guidance

4. Outline Sheet 5-2: Political and External Awareness

5. Outline Sheet 5-3: Combat and Crisis

6. Information Sheet 5-3-1: “To Save the Cole”



OUTLINE SHEET 5-1 VISION

1. Introduction

An LPO who uses a visionary approach, takes a long-term view and acts as a catalyst for organizational change; is better able to build a shared vision with others and influence others to translate vision into action.

2. Visionary Approach to Leadership

LPOs can apply a visionary approach to leadership within the command by ensuring that their division’s vision is in line with the Navy’s, and supports the development of Sailors, along with procedures and practices. Vision refers to seeing not just with the eyes open, but also seeing with the eyes closed—that is, imagining a future state of being where an organization’s mission is being fulfilled, an environment or work process operates smoothly and efficiently, or some other situation has come to be reality. Vision can also mean imagining a way of getting things done, or achieving a goal.



INFORMATION SHEET 5-1-1 CNO VISION AND GUIDANCE

A. INTRODUCTION

As part of Sea Power 21 and Sea Warrior, the Chief of Naval Operations (CNO) initiated the Revolution in Training (RiT) to revamp the Navy’s organization, methods, and information technologies to create an entirely new way of training and educating Sailors. The ultimate goal of the Revolution in Training is to transform the Navy into an agile, efficient, and responsive learning environment, developing the professional and personal knowledge and credentials of Sailors so that they succeed in life and in their careers.

B. INFORMATION

1. CNO’s Leadership Guidance for Top Five Priorities (CNO Guidance, 2005)

• Manpower

“We are an organization on the move. We seek not to keep pace with change, but to lead it. And our people -- the Navy’s capital assets -- are going to make that happen. I have said this before, but it bears repeating: At the heart of everything good that is happening in our Navy today is the vital fact that we are winning the battle for people. We are attracting, developing, and retaining a talented cadre of professionals who have chosen a lifestyle of service. Our ability to challenge them with meaningful, satisfying work that lets them make a difference is fundamental to our covenant with them as leaders.“

• Current Readiness

“We have to get to the fight faster to seize and retain the initiative. That requires increasing the operational availability of our forces by continuing to refine and test the Fleet Response Plan (FRP). A key word in our future is “surge” and if a resource doesn’t have surge capability we are not going to own it. Every part of the Fleet will be organized around this surge operational concept and its associated training, maintenance, and logistics processes. We must understand and adapt our warfare doctrine, supporting procedures, training, and schedules to take best advantage of FRP and other emerging operational constructs. And we must determine, accurately articulate, and continuously validate our readiness requirements. Taking prudent risks and attacking cost will permit us to fund essential requirements, optimizing the operational impact of today’s Navy while creating a future Navy that capitalizes upon and can rapidly field new technology.”



• Future Readiness

“Bridging to the future requires innovation, experimentation, and rapid technology insertion that will result in mid- and long-term war fighting improvements. Speed, agility and a commitment to joint and coalition interoperability are core attributes of this evolving Navy. Further analyzing, understanding, and applying prudent risk to capability and program decisions are essential to achieving future war fighting wholeness.”

• Quality of Service

“The quality of service of our Sailors, their families, and our civilian workforce is a top priority in carrying out our mission. We will foster innovation and support technologies that will enable our people to do their jobs more efficiently and effectively. Our ability to identify the work content for every Sailor and civilian is directly linked to and will be the foundation of the 21st century Navy’s comprehensive Human Capital Strategy. Quality of service is the daily manifestation of our commitment to people.”

• Alignment

“Our object is to unify the entire Navy and deepen the cultural change in our institution so that our organizations, processes, communications (internal and external) and actions align with our institutional values and priorities. We will nurture those beliefs that make the United States Navy a world-class organization, setting the standard for warfighting effectiveness and technological agility.”

2. Revolution in Training

The Revolution in Training has three guiding principles (Navy ILE Overview, 2004):

(a) Develop a systematic approach to education and training that uses perceptions and

methods based on the science of learning and uses human performance as the guiding metric of success (Five Vector Model).

(b) Develop a continuum of learning to support Sailors throughout their lives, while active

duty and retired. (c) Support Fleet mission areas by continually matching education and training and job

assignments to the skills needed by Fleet missions and Sailors’ desires for career development.



Leading PMission a

etty Officer Leadership Course SG 5-7 nd Vision


OUTLINE SHEET 5-2 POLITCAL AND EXTERNAL AWARENESS

1. Introduction

The decisions of the political systems in the Navy and global, national and local events have an impact on you and your Sailors, personally and professionally.

2. Definition of Political Awareness:

Managing everyday Navy operations through tactful communications and actions in order to maintain good working relationships.

3. Applying Political Awareness as an LPO An LPO who is competent in political awareness identifies the internal and external politics that impact the work of the organization and mission accomplishment; approaches each problem situation with a clear perception of organizational and political reality; and recognizes the impact of alternative courses of action. Internal politics generally refers to situations within the command; external politics are those that are outside of the command.

Within the work center and the command, politics refers to how the chain of command and other authorities interact to provide direction. The political system is the network of authority that makes decisions within the organization, such as work priorities and how resources are distributed. The political structure addresses who has authority, how decisions are made, and who can make decisions at a given level. LPOs should be aware and understand how the command works from this perspective. The chain of command is clear, but the political system also operates by way of individual power as well as group power and influence.

4. External Awareness at the LPO Level of Leadership

As the LPO, you need to remain current on key national and international policies, economic, political, and social trends that affect the Navy. Take the initiative by reading and introducing your Sailors to the various news outlets available to keep up with current events. For example, the impact of rising oil prices not only has an effect on personal finance, but also deployment schedules and national response plans. One way to keep informed is to read the Early Bird, which is a compilation of articles from leading national and international news organizations. If this is not available at your work center, speak to your chain of command. The Early Bird is available to all Sailors, on message traffic or the Internet. You can find the Early Bird at: http://ebird.afis.osd.mil/ or http://ebird.dodmedia.osd.mil/. There are also other resources available to keep informed such as the Internet, TV, and radio.


http://ebird.afis.osd.mil/

http://ebird.dodmedia.osd.mil/


OUTLINE SHEET 5-3 COMBAT AND CRISIS

1. Introduction

Naval leaders have a significant role in ensuring the Navy is prepared for whatever emergency, crisis, or combat situation arises.

2. Emergency/Crisis/Combat Management

a. Definitions

An emergency is (a) Life-Threatening - A situation or occurrence of a serious nature, developing suddenly and unexpectedly and demanding immediate action to prevent loss of life; (b) Operational - An unforeseen combination of circumstances that calls for immediate action, but not life-threatening. “A crisis is an incident or situation involving a threat to the United States, its territories, citizens, military forces, possessions, or vital interests that develops rapidly and creates a condition of such diplomatic, economic, political, or military importance that commitment of US military forces and resources is contemplated to achieve national objectives.” Combat is an engagement fought between two or more military forces.

b. Management

The commanding officer is responsible for the command being prepared to respond to an emergency and delegates the action for the command’s preparedness. The LPO is often delegated this responsibility, and is responsible for training individual response teams, as well as having them in place to respond to the emergency, crisis, or combat situation.



Table 1 illustrates further differences, similarities, and subsequent actions for each situation.

Emergency Crisis Combat Impact on Mission

• Depends on the nature and criticality

• Can result from an emergency situation

• It is the mission • An enemy is trying

to inflict damage and kill while your command is trying to do the same thing to them

Response Options

Three options: • Stop mission and handle

emergency • Continue mission while

dealing with emergency • Execute mission then

deal with emergency

Based on: • Leader's decision-

making style • Information available • Time available to

develop courses of action

• Train the way you fight, fight the way you train

Management Responsibility

• Danger-related emergencies are resolved by rehearsed responses from response teams

• Emergency responses can be developed and rehearsed before they occur

• Personnel must provide information and recommendations in the crisis action planning process

• Trained personnel • Practiced procedures • Ready equipment • Input to the

command during contingency planning

• Consider what you will do in the event of combat to get yourself mentally prepared

Warning Signs

• An emergency can be the result of an impending problem not resolved • The event triggers a crisis • Hard intelligence information • Gut reactions to unusual events

3. Emergency/Crisis/Combat Leadership

In peacetime, we strive to balance personnel concerns with mission accomplishment, partly to ensure we have good people around when the shooting starts. In war, a leader may have to make a decision that will knowingly cost the lives of men and women. An extremely compassionate leader may invite disaster by delaying the decision.

“In periods of violence or prolonged tension, human beings are more vulnerable than machines. Human competence suffers not only from physical injury, but also from fatigue, fear, suspense, depression, disease, illness, hunger, exposure, misperception, uncertainty, anger, frustration, misjudgment, or propensity to simple human error, all of which can destroy morale” (Appleton, pp. 1-17).



In order to be an effective leader in an emergency, crisis, or combat situation, a leader must understand and, where possible, influence four major factors affecting performance:

• Stress • Fear • Fatigue • Time

a. Stress

In combat or crisis, the leader must deal with the element of significant risk. As leaders, we must weigh many factors and make decisions under great stress and on less than perfect information. The amount and complexity of information that must be processed in a short period with our technologically advanced systems is enormous (Cannon-Bowers & Salas,1998, p. 191).

On July 3, 1988, the USS VINCENNES mistakenly shot down Iran Air Flight 655, killing 290 people. The formal investigation into this catastrophe concludes, “…it appears that combat induced stress on personnel may have played a significant role in this incident…” (Cannon-Bowers & Salas, 1998, p. 191). Below are some symptoms of physical and mental stress.

Physical Stress Symptoms Mental Stress Symptoms • Heart pounding • Headaches • Sweaty palms • Indigestion • Shortness of breath • Cold hands • Nausea • Tight muscles

• Forgetfulness • Loss of concentration • Poor judgment • Disorganized • Fuzzy perception • Confused

(DSM-IV-TR®, 2000)

b. Fear

Fear constrains and blocks. In fearing, one becomes congested, inhibited, and restricted. Fear retards all processes: feelings, imagination, play and sense of adventure and fun, courage, vision, the flow of energy in mind and body, intuition, and awareness (Gibb, p. 17).



c. Fatigue

Fatigue is defined as weariness from labor or exertion, nervous exhaustion, or the

d

d. Time

The amount of time for an emergency, combat, or crisis (ECC) situation can

vidual. ll

in all

. Combat Situations

The mission of the U.S. Navy is combat. Again, combat is engaging the enemy with

a. Combat Readiness

“The best form of ‘welfare’ for the troops is first-class training, for this saves

ield Marshall Erwin Rommel 1891-1944, German field marshal, known as the Desert

ombat readiness is the condition that determines the degree of preparedness, on a ship

s to

b. LPO’s Responsibility to Support Combat Readiness

The f equirement of combat is to be able to get there. Battle Orders, SOPs, Standing Night Orders, etc., help a command respond appropriately to an emergency or

tendency for material to break under repeated, prolonged stress. Fatigue delays reaction time, clouds judgment and increases the error rate; even in well rehearseprocedures.

significantly increase or decrease stress, fear, and fatigue exhibited by an indiTime is also an important factor in decision-making. While a correct decision, with arelevant facts included in the analysis, is vital to mission success, the speed of a decision is especially important in time of war. It is necessary for leaders to takethe available facts and reach a tentative decision, while keeping their minds open until afinal decision is necessary. It is then possible to produce a final decision quickly when circumstances require it (Mack & Konetzni, pg. 436-437).

4

individual or crew served weapons; being exposed to direct or indirect enemy fire; andotherwise undergoing a high probability of direct contact with enemy personnel and firepower, to include the risk of capture (Mack & Konetzni, pg. 481).

unnecessary casualties.” (FFox, and regarded as one of the most brilliant generals of World War II. He commanded the Afrika Korps in the North African campaigns.) Cor in a command, for accomplishing assigned combat missions. It includes a wide range of components closely interconnected, which depend upon one another. It hado with keeping at full strength the availability of the necessary material; maintaining the ship, weapons, and equipment in good working order; a high level of combat training for the crew; their teamwork in combat; and firm military discipline.

irst r



crisis. General planning and preparations to enhance combat readiness may incl“walk-before-run” training philosophy and continuous process improvement. Mechanisms such as specifically trained personnel, practiced procedures, and ready equipment should be in place to assist a command’s response to a crisis.

The adage, “Train the way you fight, fight the way you train,” is an appro

ude a

priate

guideline because it has been shown during crisis or combat, when everything is in cessary

, a supervisor, and a team leader, the LPO is responsible for the proper training of Sailors to best prepare them for combat situations, improve their combat

c. (Contingency Planning)

ning beyond providing input to the chain of command. They should, however, consider in their

d.

ation has its unique circumstances, they have many things in common. You must be as ready as possible to help others:

of personnel, procedures, and administration

chaos, Sailors tend to react and act the way they were trained. Therefore, it is nefor Navy leadership to provide the best, most realistic training possible to provide a solid foundation for performance in combat. This is the true meaning of combat readiness.

As a leader

effectiveness, and increase their survivability.

Develop an Action Plan for Combat Situations

LPOs will not normally be involved in the command’s contingency plan

minds what they would do to get themselves mentally prepared in case of combat. After battle begins, and when the first shot is fired, should not be the first time an individual thinks about what to do when the shooting starts.

Considerations in Combat

Although every combat situ

• Maintain composure • Regroup organization

• Identify the situation

• Get resolution

• Take action.



INFORMATION SHEET 5-3-1 EXCERPT FROM “TO SAVE THE COLE” NAVY TIMES

A. INTRODUCTION

The USS Cole multimedia shown in class follows this excerpt from the Navy Times. B. INFORMATION

The refueling stop was going smoothly. At the rate things were progressing, it wouldn't be long before the USS Cole pulled out of the Port of Aden to continue its journey to the Persian Gulf. Estimated maximum time in port from start to finish, about six hours. Some of the 294 crew members were lining up outside the mess decks to grab a quick lunch; others continued their watch-standing chores. Up in the filter-cleaning shop, one level above the main deck on the ship's port side, Ensign Sean Dubbs and four sailors were talking business. Suddenly, the ship rocked. "We heard this loud rumble," Dubbs recalled. Without warning, all five were thrown into the air. Light bulbs shattered, plunging the shop and much of the rest of the ship into darkness. Dubbs was knocked unconscious. Back aft on the Cole's flight deck, sailors standing in the hot sun were knocked off their feet and showered with oil and soot as the ship bucked and rolled. Down in the sick bay, on the starboard side of the main deck, Hospital Corpsman 3rd Class Tayinikia Campbell saw the doors to the space fly open "like someone kicked them in". A monstrous explosion had torn a 40-by-40-foot hole in the port side of the ship, crushing bulkheads, peeling back the deck and instantly killing or wounding dozens of crew members. Screams of agony and fright wafted through the twisted ruins of the passageway outside the mess decks, close to where the explosive was set off. It was 11:18 a.m. local time, Oct. 12, 2000. Two terrorists had steered their bomb-filled boat along the port side of the destroyer as the $1 billion warship was refueling at a floating pier in the port in Yemen. A seemingly endless number of stories have dissected the attack that killed 17 sailors and wounded 42. Questions linger over whether the Cole's skipper, Cmdr. Kirk Lippold, did all that could be done to protect the ship against such attacks.



Little has been written in any detail about the Cole’s crew members, from seaman to skipper, who saved the ship and their shipmates after the attack. Plunged into madness Thick smoke filled darkened passageways. Water poured into the gaping hole in the ship's port side, causing an immediate list. Sparks flew from torn, dangling electrical cables. Thousands of gallons of diesel marine fuel gushed from broken fuel tanks, coating everything. For an instant, the survivors froze in place, stunned. Then every able-bodied sailor and officer started running to safety, or to perform one of the only three jobs that now mattered: corpsman, security guard and damage controlman. No one knew what had hit them. No one knew they would spend the next four days in an around-the-clock battle to save their ship. The Cole had suffered a crippling blow. Key leaders were dead or wounded. Internal communications were knocked out; except for undamaged handheld units, ship-wide communications were impossible. Sailors on the weatherdecks raced inside the ship. Frantic sailors trapped below scrambled to escape. "It was chaotic," said Lt. Cmdr. Chris Peterschmidt, the Cole's executive officer. But in the midst of the chaos, individual sailors and officers isolated from their chain of command began taking charge. In the darkened sick bay, Campbell heard shouts of alarm and desperation: "Get out! Get out!" and "We need Doc! We need Doc!" "I'm right here," Campbell yelled back. She and her striker, Seaman Eben Sanchez, dashed toward what was left of the mess decks and the galley and set up a makeshift aid station in the passageway. Everywhere there were bloodied faces and bodies - some under pots, pans and heavy cooking equipment, others trapped by shredded decks and bulkheads. Sailors were suffering: broken legs and jaws, deep gashes, crushed limbs and worse. Some uninjured sailors began carrying the wounded to the corpsmen; others, Campbell said, "were just sitting there, freaking out." She calmed them down by sending them to fetch supplies.



Within minutes, Master Chief Hospital Corpsman (SW) James Parlier, the Cole's senior enlisted leader, arrived and relieved Campbell. She and Sanchez scrambled around the corner to the starboard passageway, where the injured were being lined up. The passageway became the triage station; the mess decks, where mass casualties normally would have been treated, were destroyed. 'There's people in here!' For Hull Maintenance Technician 2nd Class (SW) Chris Regal, standing in an aft passageway near the flight deck, the refueling operation, the thunderous noise and the sight of sailors covered with oil spelled one grim possibility: Fire. He found Damage Controlman 1st Class (SW) Ernesto Garcia, the Cole's leading petty officer for damage control. Strapping on portable breathing devices, they ran into the smoke billowing down the port side passageway of the main deck. What they saw near the mess decks made them stop in their tracks. The watertight door that should have been there was blown away. "Holy --!," Regal gasped. "There's nothing there." What he saw was a gaping hole in the ship, filled with harbor water. The two picked their way into the mess decks and through the debris to a doorway. Opening it, they found Parlier treating injured sailors amid the devastation. Garcia began to help; Regal decided to check the other side of the damaged area. An on-the-spot rescue party formed: Regal, Damage Controlman 3rd Class William Merchen, Fireman Daniel Sullivan and Master Chief Sonar Technician (SW) Paul Abney. Hustling down the starboard passageway and back across the ship, they heard screams and voices from inside the chiefs' mess, just forward of the galley and close to the explosion's center point. "There's people in here!" someone yelled. Using their hands, feet and whatever they could grab, the sailors tore down the thin bulkhead and fought their way inside to a room that had been turned upside down. Bodies were everywhere. Immediately, they had to make life-or-death choices. If an injured sailor didn't respond, they moved to the next, searching for the living, carrying them back to where Campbell and Sanchez were working.



The sailors 'knew what to do' Members of Cole's crew are generous in their praise for their shipmates' efforts to save the ship. In the eyes of the ship's senior officers, the sailors deserve all the credit. "Every time that either the captain and I, or other senior leadership, were getting fatigued or ─ I don't want to say dejected ─ when we found our own spirits lagging," Peterschmidt said, "we looked around at all these other sailors, who were very undeterred by what was happening. And that in itself gave us strength." The sailors, Peterschmidt said, "didn't wait for guidance. They knew what to do." And their performance, Peterschmidt said, answers critics who say that modern sailors don't measure up to those of yesteryear. "For a ship that was on the verge of the 21st century, in a lot of ways, we went back and did a lot of the things that our grandfathers did in World War II," Peterschmidt said. "And for all those people who say, well, maybe we lack something that the other generation had ─ I didn't see it."
