LPO Guide A500101

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

CHANGE RECORD
Description of Change Entered By Date
Leading Petty Officer Leadership Course iii

THIS PAGE INTENTIONALLY LEFT BLANK
DO NOT WRITE IN STUDENT GUIDE
Leading Petty Officer Leadership Course iv

SECURITY AWARENESS NOTICE
A-4-9
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* This course does not contain any classified material. *
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Leading Petty Officer Leadership Course v

Leading Petty Officer Leadership Course vi

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.
Leading Petty Officer Leadership Course vii

Leading Petty Officer Leadership Course viii

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.
Leading Petty Officer Leadership Course ix

Leading Petty Officer Leadership Course x

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.
Leading Petty Officer Leadership Course xii

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
Leading Petty Officer Leadership Course xiii

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
Leading Petty Officer Leadership Course xiv

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
Leading Petty Officer Leadership Course xv

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
Leading Petty Officer Leadership Course xvi

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
Leading Petty Officer Leadership Course xvii

Leading Petty Officer Leadership Course xviii

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

Course Introduction
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.

Course Introduction
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

Course Introduction
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.

Course Introduction
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.

Course Introduction
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.

Course Introduction
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.

Course Introduction
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.

Course Introduction

Course Introduction
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.

Navy Leadership
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
None
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.

Navy Leadership
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

Navy Leadership
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.

Navy Leadership
(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

Navy Leadership
• 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.

Navy Leadership
(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.

Navy Leadership
(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)

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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.

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(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.

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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.

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(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.

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(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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Leadership
Accountability

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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.

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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

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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.

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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.

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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.

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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.

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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.

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(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

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

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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.

Navy Leadership
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.

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(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.

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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

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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.

Navy Leadership

Navy Leadership
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

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
Assignment Sheet 2-1: Brag Sheets
1. None
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.
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

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.


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.

• 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.

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.

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.


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:
Writer
Audience Subject
“By knowing your audience, your subject, and yourself, you can gauge your position
with respect to any written communication (Shenk, 1997, p.5).”
(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
Win-Win
ASSERTIVENESS
Win-Lose Collaboration
Competition
Compromise
Lose-Lose Lose-Win
Avoidance Accommodation
LOW ACCOMODATION HIGH
a. Win-Lose/Competition - refers to the type of person who only worries about having their
own needs met and does not care much about other’s needs or concerns. This quadrant is
high in recognizing one’s own needs (assertiveness) and low in recognizing other’s needs
(accommodation). This competitive approach is appropriate in sporting events (winners
and losers). Since the winner gets all and the loser gets nothing, this approach is not
appropriate when the feelings and concerns of both parties need to be considered.
Feeling like a loser is not a positive emotion. When an individual has low power and is
in conflict with a higher-powered individual, he or she will most probably choose to stop
feeling like a loser by escaping from the situation – either literally or figuratively. For
example, leaving the Navy, or diverting most of his or her creative energy into other
areas of their life.
b. Lose-Win/Accommodation - These are the types of people who always give others what
they want without speaking their minds. They typically do not talk about their own needs

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.

Human Capital
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.
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

Human Capital
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)

Human Capital
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.

Human Capital
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:

Human Capital
(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.

Human Capital
(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.

Human Capital

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.

Human Capital
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.

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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

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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.

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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 Documents Performance Navy-wide Exam Selection Board

About the Sailor Provided to the Evaluation
Selection Board
SUSTAINED PSR RECOMMENDED NAVADMIN NAVADMIN
SUPERIOR MESSAGE MESSAGE
PERFORMANCE EVALUATIONS PERFORMANCE
STUDY! EXAM RESULTS
PROFESSIONAL SERVICE RANKING
EXPERTISE RECORD PAGES 3RD THURSDAY BOARD
IN JANUARY MEMBERS
SPECIAL TOURS CANDIDATE-
PROVIDED RESULTS CONVENING
EDUCATION LETTERS TO AND PRECEPT
THE BOARD
DUTY PRESIDENT PANELS AND
ASSIGNMENTS RECORD
REVIEW
WEIGHT
STANDARDS SLATING
BEHAVIOR BOARD
BRIEFED AND
EXAM SCORE VOTES
WRITTEN
REPORT
NAVADMIN
MESSAGE
COMPONENTS OF SELECTION BOARD PROCESS

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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.

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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

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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

Human Capital
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.

Human Capital
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.

Human Capital
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.

Human Capital
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.

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

Planning
Outline Sheet 4-3: Continuous Improvements
Outline Sheet 4-4: Change
Assignment Sheet 4-1: Continuous Improvement
1. None.
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.

Planning
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.
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

Planning
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.

Planning
• 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.

Planning
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.

Planning
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.

Planning
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

Planning
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

Planning
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.

Planning

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.
#3 Bird flys over to other
perch to feed, activating
another switch to gears.
#6
Overflow
of balls go
#2 Bird into small
jumps bucket.
off perch Weight of
activating bucket
the switch pulls
that rope
controls down.
#4 Gears turn and release
hot plate.
USN balls into bucket below.
#7 Coffee is
poured and
#1 Alarm rings. weight of cup #5 As bucket fills with balls, it
shuts off alarm. pulls on a rope that lifts the
coffee pot.
Figure 1: Definition of a System (the perfect cup of morning coffee)

Planning
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
Dynamic Complexity
(the interaction)
USN
(the components)
Detail Complexity USN
Figure 2: System Complexity

Planning
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.)

Planning
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

Planning
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).
Environment and External Stakeholders
COMMAND Product
Supplier or End-user
OPERATIONS Service
Inputs Process Outputs Outcomes

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

Planning
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.

Planning
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).

Planning
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.

Planning
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)?

Planning
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.

Planning
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.

Planning
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.

Planning
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.

Planning
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)

Planning
Step
One
Understand and describe the process as it currently
exists.
Step
Eliminate errors and error-proof the process.
Two
Step Streamline the process and remove all slack.

Three
Reduce variation in measurement systems and in the

Step Four process.
Bring the measurement process and the process itself
under statistical control.
Plan
Step Do
Five 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.

Planning
Check
Review and evaluate the result of the change.
Act
Reflect and act on learning (Brassard & Ritter, 1994, p.115-131).

Planning
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

Planning
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

Planning
• 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.

Planning
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

Planning
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 Stage 2 Resistance
Recognizing denial in Sailors: Recognizing resistance:
• Sailors’ initial comments may be similar • Occurs only after a negative judgment of
to "No problem," or "This is no big the change occurs
deal" • May be the most difficult stage
• Emerging feelings of loss
Leader's actions: (control/power/personal), risk, and
• Develop an awareness of the change anger (conflict)
• Facilitate understanding
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 Stage 4 Involvement
Recognizing adaptation: Recognizing involvement:
• Understand the change and reflect • Sailor’s belief in the change and
positive perceptions about it commitment to its success
• Regain a sense of control
Leader's actions:
Leader's actions: • Support those solutions that were
• Encourage independence, personal designed to implement the change
responsibility and the acceptance of • Commit the resources
differences • Demonstrate supportive actions
• Encourage creative thinking, goal setting
• Facilitate autonomy – give room for
Sailors to problem-solve; they can
analyze the issue, evaluate, and
recommend solutions.
• Monitor for conflict
Table 1: Four Stages of Change

Planning
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.

Planning

Planning
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.

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
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.

Mission and Vision
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.
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”

Mission and Vision
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.

Mission and Vision

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.”

Mission and Vision
• 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.

Mission and Vision

Mission and 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.

Mission and Vision
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.

Mission and Vision
Table 1 illustrates further differences, similarities, and subsequent actions for each
situation.
Emergency Crisis Combat

• Depends on the nature • Can result from an • It is the mission
and criticality emergency situation • An enemy is trying
to inflict damage and
Impact on Mission kill while your
command is trying to
do the same thing to
them
Three options: Based on: • Train the way you
• Stop mission and handle • Leader's decision- fight, fight the way
emergency making style you train
• Continue mission while • Information available
Response Options dealing with emergency • Time available to
• Execute mission then develop courses of
deal with emergency action
• Danger-related • Personnel must • Trained personnel
emergencies are provide • Practiced procedures
resolved by rehearsed information and • Ready equipment
responses from response recommendations • Input to the
teams in the crisis action command during
Management • Emergency responses planning process contingency
Responsibility can be developed and planning
rehearsed before they • Consider what you
occur will do in the event
of combat to get
yourself mentally
prepared
• An emergency can be the result of an impending problem not resolved
• The event triggers a crisis
Warning Signs • 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).

Mission and Vision
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 • Forgetfulness
• Headaches • Loss of concentration
• Sweaty palms • Poor judgment
• Indigestion • Disorganized
• Shortness of breath • Fuzzy perception
• Cold hands • Confused
• Nausea
• Tight muscles
(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).

Mission and Vision
c. Fatigue
Fatigue is defined as weariness from labor or exertion, nervous exhaustion, or the

tendency for material to break under repeated, prolonged stress. Fatigue delays
reaction time, clouds judgment and increases the error rate; even in well rehearsed
procedures.
d. Time
The amount of time for an emergency, combat, or crisis (ECC) situation can
significantly increase or decrease stress, fear, and fatigue exhibited by an individual.
Time is also an important factor in decision-making. While a correct decision, with all
relevant 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 take in all
the available facts and reach a tentative decision, while keeping their minds open until a
final decision is necessary. It is then possible to produce a final decision quickly when
circumstances require it (Mack & Konetzni, pg. 436-437).
4. Combat Situations
The mission of the U.S. Navy is combat. Again, combat is engaging the enemy with
individual or crew served weapons; being exposed to direct or indirect enemy fire; and
otherwise undergoing a high probability of direct contact with enemy personnel and
firepower, to include the risk of capture (Mack & Konetzni, pg. 481).
a. Combat Readiness
“The best form of ‘welfare’ for the troops is first-class training, for this saves
unnecessary casualties.”
(Field Marshall Erwin Rommel 1891-1944, German field marshal, known as the Desert
Fox, and regarded as one of the most brilliant generals of World War II. He
commanded the Afrika Korps in the North African campaigns.)
Combat readiness is the condition that determines the degree of preparedness, on a ship
or in a command, for accomplishing assigned combat missions. It includes a wide
range of components closely interconnected, which depend upon one another. It has to
do 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.
b. LPO’s Responsibility to Support Combat Readiness
The first requirement 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

Mission and Vision
crisis. General planning and preparations to enhance combat readiness may include a
“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 appropriate
guideline because it has been shown during crisis or combat, when everything is in
chaos, Sailors tend to react and act the way they were trained. Therefore, it is necessary
for 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, 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
effectiveness, and increase their survivability.
c. Develop an Action Plan for Combat Situations (Contingency Planning)
LPOs will not normally be involved in the command’s contingency planning beyond
providing input to the chain of command. They should, however, consider in their
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.
d. Considerations in Combat
Although every combat situation has its unique circumstances, they have many things
in common. You must be as ready as possible to help others:
• Maintain composure
• Regroup organization of personnel, procedures, and administration
• Identify the situation
• Get resolution
• Take action.

Mission and Vision

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.

Mission and Vision
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.

Mission and Vision
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.

Mission and Vision
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."

Mission and Vision

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LEADING PETTY OFFICER

LEADING PETTY OFFICER

Leading Petty Officer Leadership Course i

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HOW TO USE YOUR GUIDE

Under each topic there may be the following instruction sheets:

Leading Petty Officer Leadership Course ix

THIS PAGE INTENTIONALLY LEFT BLANK

DO NOT WRITE IN STUDENT GUIDE

Leading Petty Officer Leadership Course x

Leading Petty Officer Leadership Course xi

T.O. 16.0 Discuss approaches to handle combat and crisis situations.

Leading Petty Officer Leadership Course xii

Student Name Page .......................................................................................................................... i

OS 0-1 Course Introduction ............................................................................................. 0-3

OS 1-1 Responsibility, Authority, and Accountability .................................................... 1-4

OS 2-1 Oral Communications .......................................................................................... 2-4

Leading Petty Officer Leadership Course xiii

OS 3-1 Individual Development Plan .............................................................................. 3-4

OS 4-1 Planning ............................................................................................................... 4-5

MISSION AND VISION

OS 5-1 Vision................................................................................................................... 5-4

Leading Petty Officer Leadership Course xiv

• Read in Student Guide

• Complete in LPOLC Student Classroom Package

o Assignment Sheet 2-1: Brag Sheets

• Read in Student Guide

• Research Assignment (Due Day Four)

• Complete in LPOLC Student Classroom Package

o Assignment Sheet 3-1: Individual Development Plan

o Assignment Sheet 3-2: Electronic Career Information

• Read in Student Guide

• Complete in LPOLC Student Classroom Package

o Assignment Sheet 4-1: Continuous Improvement

Leading Petty Officer Leadership Course xv

• Read in Student Guide:

o Mission and Vision

• Oral Presentations Due

• Complete in LPOLC Student Classroom Package

o Assignment Sheet 5-1: 5 Vector Model

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

o Identify the following:

Leading Petty Officer Leadership Course xvi

PRIMARY LEADERSHIP DEVELOPMENT PROGRAM

Course No. Course Title Hours

Leading Petty Officer Leadership Course xvii