NAVEDTRA 10049Naval Education and July 1990 TrainingManualTraining Command 0502-LP-2 12-8600 (TRAMAN)Management Fundamentals:A Guide for Senior andMaster Chief Petty OfficersDISTRIBUTION STATEMENT A: Approved for public release; distribution is unlimited.Nonfederal government personnel wanting a copy of this documentmust use the purchasing instructions on the inside cover.
The terms training manual (TRAMAN) and nonresident training course (NRTC) are now the terms used to describe Navy nonresident training program materials. Specifically, a TRAMAN in- cludes a rate training manual (RTM), officer text (OT), single subject training manual (SSTM), or modular single or multiple subject training manual (MODULE); and an NRTC includes nonresident career course(NRCC), officer correspondence course (OCC), enlisted correspondence course (ECC), or combination thereof. Although the words "he," "him," and "his" are used sparingly in this manual to enhance communication, they are not intended to be gender driven nor to affront or discriminate against anyone reading this text.DISTRIBUTION STATEMENT A: Approved for public release; distribution is unlimited.Nonfederal government personnel wanting a copy of this document must write to Superintendent of Documents,Government Printing Office, Washington, DC 20402 OR Commanding Officer, Naval Publications and Forms Center,5801 Tabor Avenue, Philadelphia, PA 19120-5099, Attention: Cash Sales, for price and availability.
MANAGEMENT FUNDAMENTALS: A GUIDE FOR SENIOR AND 4MASTER CHIEF PETTY OFFICERS # I NAVEDTRA 10049 . Written by ATCS Joel H. Gamer 1st Edition 1990
PREFACE Management Fundamentals: A Guide for Senior and Master Chief Petty NAVEDTRA 10049, and the nonresident training course (NRTC),Officers,NAVEDTRA 80049, form a self-study training package covering the basicsof current management theory. Designed for individual study rather thanformal classroom instruction, the training manual (TRAM AN) providesinformation on management history, theory, and practice. An NRTC has been designed for use with this TRAMAN. This courseconsists of individual assignments. It must be ordered separately from theTRAMAN. Ordering information is available in the List of Training Manualsand Nonresident Training Courses, NAVEDTRA 12061. Each assignment isa series of questions based on the textbook. You should study the textbookpages given at the beginning of each assignment before trying to answer thequestions in your NRTC. This TRAMAN and its associated NRTC were prepared by the NavalEducation and Training Program Management Support Activity, Pensacola,Florida, for the Chief of Naval Education and Training. Technical reviewwas provided by the Office of the Chief of Naval Operations, Washington,D.C. Your suggestions and comments concerning this TRAMAN and its NRTCare invited. Comment sheets have been included with both the TRAMAN andNRTC. 1990 Edition Stock Ordering No. 0502-LP-2 12-8600 Published by NAVAL EDUCATION AND TRAINING PROGRAM MANAGEMENT SUPPORT ACTIVITY UNITED STATES
THE UNITED STATES NAVY GUARDIAN OF OUR COUNTRYThe United States Navy is responsible for maintaining control of thesea and a ready force on watch at home and overseas, capable of isstrong action to preserve the peace or of instant offensive action towin in war.It is upon the maintenance of this control that our countrys gloriousfuture depends; the United States Navy exists to make it so. WE SERVE WITH HONORTradition, valor, and victory are the Navys heritage from the past. Tothese may be added dedication, discipline, and vigilance as thewatchwords of the present and the future.At home or on distant stations we serve with pride, confident in therespect of our country, our shipmates, and our families.Our responsibilities sober us; our adversities strengthen us.Service to God and Country is our special privilege. We serve withhonor. THE FUTURE OF THE NAVYThe Navy will always employ new weapons, new techniques, andgreaterpower to protect and defend the United States on the sea,under the sea, and in the air.Now and in the future, control of the sea gives the United States hergreatest advantage for the maintenance of peace and for victory inwar.Mobility, surprise, dispersal, and offensive power are the keynotes ofthe new Navy. The roots of the Navy lie in a strong belief in thefuture, in continued dedication to our tasks, and in reflection on ourheritage from the past.Never have our opportunities and our responsibilities been greater.
CONTENTSCHAPTER Page 1. Introduction to Management Planning, Organizing, and Decision Making 1-1 2. Controlling 2-1 3. Personnel Management 3-1 4. Administration 4-1 5. Leadership and Motivation 5-1 6. Communication 6-1 7. Programs and Policies 7-1APPENDIX I. Mission Organizational Plan AI-1 II. Where To Find It AIMINDEX INDEX-1
CREDITS The articles and quotes listed below are included in this edition ofManagement Fundamentals: A Guide for Senior and Master Chief PettyOfficers through the courtesy of the designated sources. Permission to usethese articles and quotes is gratefully acknowledged. Permission to use thesematerials must be obtained frolm the source. SOURCE PAGES U.S. Naval Institute 5-7 through 5-10 G.P. Putnams Sons 3-9, 5-1, 5-6
CHAPTER 1 INTRODUCTION TO MANAGEMENT- PLANNING, ORGANIZING, AND DECISION MAKING LEARNING OBJECTIVES Learning objectives are stated at the beginning of each chapter. These learning objectives serve as a preview of the information you are expected to learn in the chapter. By successfully completing the nonresident training course (NRTC), you indicate that you have met the objectives and have learned the information. The learning objectives for chapter 1 are listed below. Upon completion of this chapter, you should be able to do the following: 1 . State the role of the senior chief. 10. State the need for careful timing of plans. 2. State the role of the master chief. 11. List the criteria for evaluating plans. 3. Identify the definition of management. 12. State the need for goals and objec- 4. List the functions of management. tives. 5. State the basic tenet of the acceptance theory. 13. Identify the definition of management by objectives (MBO). 6. Identify the characteristics of bureau- cracy. 14. List the steps to solving a problem. 7. Identify the principle characteristics of the 15. List the primary phases of a conference. behavioral theory. 16. Identify the characteristics of decision 8. State the importance of personal situations. planning. 9. List the types of plans. 17. List the styles of decision making. PLANNING AND ORGANIZING for this profession. These managers must use sound management practices to accomplish the The basic principles of management have Navys mission.steadily evolved into a profession indispensable Management practice is a many-facetedto the function of modern organizations, whether discipline encompassing everything from assigningcommercial, nonprofit, or military. The Navy working parties to maintaining multimillion-dollardepends on its "middle managers" to fill the need weapons systems. You as managers are responsible
command, the defense department,to the chain ot LJand the taxpayer to avoid needless wasteand inefficiency in the conduct of our mis- Management is defined as the art ofsion. integrating human, economic, and technical resources to attain a goal. No matter what you You as and master chief petty senior attempt to accomplish, a sound knowledge ofofficers are thebackbone of Navy management. management principles will certainly increase yourThe Navy expects you to practice sound chances of meeting your goals.management of Navy personnel and materialassets to accomplish our mission. You must wring Management is exercised in many ways. Aevery possible ounce of performance out of the housekeeper who decides what must be done andbudget dollar to survive and prosper in an plans the shopping and housework accordinglyincreasingly budget-conscious world. As senior uses management skills. Organizing a workingenlisted managers you are responsible for your party or coordinating a major assault both requireorganizations effective, efficient operation. management expertise.Effectiveness gets things done correctly andin the proper order. Efficiency achieves ob- Sound professional management results injectives with the greatest possible output from improved performance, more clearly definedminimum input. In other words, efficiency goals, higher success rates, and reduced waste. Itachieves maximum use of physical and human can make the difference between a successfulresources. deployment and disaster. The roles and functions of the senior chief andmaster chief are deliberately stated by the Chief WHAT IS MANAGEMENT?of Naval Operations in general terms. You aregeneric! Whether you are a division chief, division Management is the business of developing andofficer, or command master chief, your mastery coordinating resources, both material and human,of management skills will determine the success and directing their use effectively and efficientlyor failure of your mission. to achieve a goal, objective, or mission. Although management is often described as both an art and The of a senior chief petty officer role a science, the formal study of management as aisthat of the senior technical supervisor with science is new. The science of relativelyprimary responsibilities for supervising and management may be learned in a classroom, buttraining enlisted personnel oriented to system and the art of applying this science in dealing withsubsystem maintenance, repair, and operation. human beings must be learned through observa-Based upon wide-ranging experience and special- tionand experience. Much of the theory of humanized training, the SCPO provides the command behavior can be learned, but a practical base ofwith ahigher level of technical and personal experience is still a must. Science maymanagerial expertise than is expected at the succeed without art; but in the case ofE-7 level. management, great results may only be achieved by skillfully blending the two. As the senior enlisted petty officer in theUnited States Navy, the master chief pettyofficer is vested with special command trust Levels and Types of Managementand confidence extending to administrationand managerial functions involving enlisted The typical organization functions at fivepersonnel. Based upon experience, proven general levels: executive management, topperformance, and technical knowledge necessary management, middle management, first-linefor advancement to the grade of MCPO, management, and nonmanagerial. Consider theindividuals of that rank within a command hold chain of command on board a naval stationthe senior enlisted positions and contribute to (fig. 1-1). The commanding officer and the executiveforming as well as implementing policy within officer are the executive level oftheir occupational field or across the full management. Navy Department heads are the top management level.rating spectrum. Middle management is practiced at the division
level. Work center or shop supervisors are front- and objectives will broaden in scope as your managers. Workers make up theline or first-level viewpoint of the organizations mission changes.nonmanagerial level of the organization. What Does a Manager Do? The types of management are generally With few exceptions management tasks andgrouped as either operational or administrative. functions are generic. You as managers performAt lower levels of management, you will be chiefly the same basic functions no matter whatconcerned with operational management. This organization you belong to. What are theseinvolves motivating and directing front-line functions? They are planning, organizing,managers and workers to achieve operational staffing, leading, and controlling. The basicgoals. As you progress upward in the organi- functions of management are interrelated.zation, your concerns will shift toward Remove one of them and the whole processadministrative management activities. Your goals becomes ineffective. EXECUTIVE LEVEL MANAGEMENT TOP LEVEL MANAGEMENT DEPARTMENT HEADS DIVISION OFFICERS MIDDLE MANAGEMENT DIVISION CHIEF PETTY OFFICERS WORK CENTER FRONT LINE MANAGEMENT SUPERVISORS NON-MANAGERIAL
In addition, military managers must spend ishard to remember your original mission whenconsiderable time balancing the needs and you are up to your hips in alligators. Hopefully,requirements of many different groups (fig. 1-2). this book will help you control the reptileYou are first of all responsible to your chain of population.command for attaining mission goals andobjectives. You must also be aware of and FUNCTIONS OF MANAGEMENTconcerned for the needs of your troops. Theirhealth and welfare, advancement needs, career The functions of management are allplanning, and personal needs must be considered. individually important. Keep in mind, however,Collateral duties, human relations programs, and that they are also interdependent; that is, theyequal opportunity requirements must be weighed. depend upon each other for success. This sectionYou also have your own needs to worry about. briefly explains the functions of planning,Personal career planning, retirement planning, organizing, staffing, leading, and controlling.and family needs must be coordinated witheverything else. PLANNING. Planning starts with setting a Striking a balance between conflicting needs goal. done, the hard work starts. You Once this iswhile keeping mission objectives on line can make must make decisions concerning the programs,you feel like the man sent to drain a swamp. It tasks, procedures, strategies, and standards PROGRAMS & POLICIES FAMILY SERVICES ETC
budgetary and time constraints and consider and political developments of the last 200 years.available resources. The principles of management we know today Planning is the cornerstone of management. have evolved from "classical" theories, throughAll other functions hinge upon careful planning. behavioral theories, to the more recentWithout it, you are wasting your time and your development of contingency managementcommands resources. theories. ORGANIZING. Organizing is the businessof arranging available resources into a coherent Classical Theorystructure. This means getting the needed materialsto achieve your goal, setting up committees or Classical theories date from the late 1800s towork groups, and assigning authority and the 1930s. These theories were more concernedresponsibility for various tasks. with efficient usage of physical resources and technology than human resources. The worker STAFFING. Staffing describes the process was seldom considered as more than a tool, whileof selecting, training, and placing your personnel the manager was regarded less as a leader thanwhere they will be most effective. Take care to as a ruler.consider the capabilities and temperament of your During this period major contributions weretroops when carrying out this function. made to management knowledge in the fields of organizational theory, scientific management, and LEADING. Field Marshall Bernard management functions. Such notables as ChesterMontgomery described leadership as "the capacity Barnard, Max Weber, Frederick Taylor, Frankand will to rally men and women to a common and Lillian Gilbreth, Henry Gantt, and Henripurpose, and the character which will inspire Fayol contributed to this knowledge.confidence." Leadership involves motivating,disciplining, and directing your troops. Although ORGANIZATIONAL THEORY. Organi-your style as a leader may become less personal zational theorists such as Chester Barnard andasyou rise in an organization, your example will Max Weber studied the nature, structure, andbecome more visible. Without strong, effective purpose of formal organizations. Among otherleadership the best of plans will stand little chance accomplishments, Mr. Barnard (who was pres-of success. ident ofNew Jersey Bell Telephone Company) developed the acceptance theory of authority. CONTROLLING. Controlling is the Max Weber, an early sociologist, was one of thefunction that ties the others together. By all founders of the bureaucratic organizationalcontrolling, you develop the methods needed to theory.monitor and guide performance. Without control,production efforts tend to become disjointed and Acceptance Theory. Chester Barnardshaphazard. acceptance theory of authority proposes that When controlling efforts go astray, develop subordinates will completely accept orders onlya plan to get things back on track. Organize the when they understand the orders and are willingmeans to carry out the plan. Assign responsibility and able to comply with them.for getting production back on track (staffing).Provide leadership to get things moving again.Use control methods to ensure that production To what extent have you seen this proven?runs smoothly. Through such actions, you We expect obedience, but results areconstantly repeat and reenforce the cycle of generally better when our workers knowmanagement functions. the what and why of a situation.EVOLUTION OF MANAGEMENTTHOUGHT Bureaucracy. Max Webers research showed that a bureaucracy was the most efficient Management in some form has been in method of making the transition from small-scaleexistence since man congregated in family first business to management of large-scale organiza-groups or tribes. Modern organizational behavior tions.
Did your blood pressure rise at the mention 5. Incentive pay should be introduced toof BUREAUCRACY? Lets take a look at what increase motivation.this much-maligned word really means. Under abureaucracy, organizational structure is defined Gilbreth. Frank Gilbreth did extensive workby the following six traits: with time and motion studies. His goal was to find the single "best" way to perform a given job. His 1. Tasks are broken into highly specialized methods produced results that were unequalled jobs. at the time. His wife, Lillian Gilbreth, studied 2. A set of rules are rigidly followed to mini- mize uncertainty and increase the ability to ways to improve the training, selection, and placement of personnel. In addition, in 1914 she predict job performance. published the first book on management psychol- 3. Authority-responsibility relationships are ogy: The Psychology of Management. rigidly maintained. 4. Superior-subordinate relationships tend to be impersonal. 5. Promotion and hiring criteria are merit- You may be familiar with the book based. Cheaper By the Dozen. Written by two of the Gilbreths twelve children, it deals 6. Lifetime employment is an accepted norm. humorously with the regimentation The bigger or older an organization becomes, practiced in their home.the more bureaucratic it tends to become.Although many are critical of them, "bureaucraticstructures" can be very effective in many Gantt. Henry Gantt refined methods ofsituations. The armed forces are necessarily highly using graphics to plan, track, and improvebureaucratic. Keep in mind however that rules can performance. The Gantt Chart is used extensivelybe too restrictive, and specialized jobs can become in management planning.boring (leading to errors). Also remember thatyou cant always be impersonal, and truly superiorworkers can be difficult to recognize in a Fayol. Henri Fayols research combined thebureaucratic environment. efforts of several management theorists of his day. He classified the functions of management as SCIENTIFIC MANAGEMENT. Other clas- planning, organizing, coordinating, commanding, and controlling. These functions have evolved tosicists developed the art of managing production the present with only minor modifications.efficiency. Frederick Taylor, Frank and LillianGilbreth, and Henry Gantt, to name a few, made Todays manager must be proficient in plann- ing, organizing, staffing, leading, and con-major contributions in this field. trolling. Taylor. Frederick Taylors scientificapproach evolved from experiments conducted inthe management of his machine shop. He believed Behavioral Theorymanagers must undergo a "mental revolution."He also believed managers wishing to improve Although by the mid 1920s many businesses had adopted these management practices to goodproductivity should be prepared to share theincreased gains with their workers by improving effect, critics maintained that the human elementmaterial conditions and making the work easier. had been largely ignored. Hugo Munsterberg hadTo advocated the study of human behavior as early accomplish these goals, he proposed five steps: as 1913. The combination of his studies, Max 1 . Workers should be carefully selected and Webers work-leadership theory, and the theory trained. of bureaucracy led to further developments in the 2. Preventive maintenance procedures should field of human relations. The study of human
FOLLETT. Mary Parker Follett was a out! They felt special. All of the young ladies hadpsychologist who conducted research in the area volunteered to participate in the experiment andof management and labor relations. She wrote and had committed themselves to cooperating. Theirlectured widely on the subjects of conflict morale improved and production rates followed.resolution, coordination, and cooperation These results are underscored by the fact that atbetween workers and managers. the beginning of the experiments, many laborers commonly referred to the Hawthorne plant as SHELDON. Oliver Sheldon contributed to "the prison."management theory on his advocating that You have probably observed this phenomenonindustry has an obligation to benefit the in military life as well. When the troops feel youcommunity. He maintained that industry had a are concerned for their welfare and will "go tosocial obligation to the community and to its bat for them," they will frequently produce resultsworkers. His ideas were in the forefront of the far beyond your expectations. We reap tremen-human-relations movement that has continued to dous dividends from small amounts of time andthis day. attention when we recognize good performance or assist a sailor with a problem. THE HAWTHORNE EFFECT. No studyof management would be complete without adiscussion of the Hawthorne studies. Between Contingency Approach1924 and 1932, when the Great Depressionintervened, Western Electric Companys In the last 20 years, practicing managers andHawthorne plant was the site of a series of studies theoristshave gradually synthesized a new man-in human behavior. These experiments provided agement approach from the mechanistic and be-a great deal of information relating to motivation, havioral theories of previous decades. Thisorganizational relations, and counselling. method isreferred to as the contingency approach. One of the most interesting findings became The basic tenet of contingency managementknown as the Hawthorne effect. This was the (not to be confused with crisis management) isdiscovery that improved working conditions had that management techniques must be modifiedless effect on productivity than improved morale. according to the current situation. This appliesWhen workers felt their contributions were particularly to military management. Duringimportant and their efforts were appreciated, their peacetime training missions we try to help ourproduction increased, even when working people understand the logic behind orders andconditions were made worse. procedures. During combat or emergencies, In one phase of the experiment, a number of however, we expect immediate, unquestioningyoung women were divided into two groups. One responses. We then become almost totallyacted as a test group and one as a control group. mechanistic in our management approach.The working hours and working conditions of the Contingency management also applies to yourtest group were periodically altered while those dealings with personnel. Some people can take aof the control group remained the same. Such hint or even anticipate your requirements. Othersfactors as lighting, lunch times, and breaks were respond only to blunt, straightforward direction.altered or eliminated for weeks or months at a Most people fall somewhere between these twotime. When working conditions were improved extremes. You will spend a large part of your time,through increased lighting, productivity in the test effort,and skill directing and taking care of thegroup improved. This was expected; but to the needs of your personnel. The ability to choose theresearchers surprise, productivity within the right approach at the right time can make yourcontrol group also improved. Lighting was then job considerably easier.reduced for the test group, but production ratescontinued to improve! The control groupsproduction continued to rise as well. Similar I have six honest serving men, they taughtchanges to breaks, working hours, and lunch me all I knew. Their names are What, andperiods evoked the same response. Over a period When, and Where, and How, and Why,of 2 years, production in both groups soared and Who.steadily to new heights. The workers in these groups were exhibiting Rudyard Kiplingnormal human behavior. They had been singled
PLANNING it.In this way, you form specific tasks. By grouping these tasks, you determine the specific As Mr. Kipling pointed out when asked to jobs to be assigned.explain his journalistic success, effective plansrevolve around the answers to six basic questions: When eating an elephant, take one bite at 1 . What must be done? a time. 2. When must itbe done? 3. Where will be done? it General C.W. Abrams 4. How will it be done? 5. Why must it be done? 6. Who will do it? Evaluate the Situation Until these questions are answered, you will When you evaluate the situation, try tobe unable to choose an effective course of action. determine what you need to reach your goal. Use your knowledge and experience to examinePLANNING STEPS available resources, policies, and procedures. Do you have enough manpower, supplies and equip- In planning, you think ahead to select the best ment, space, and time to get the job done? Howcourse of action to reach an objective. Your plan about your standard operating procedures (SOPs)forms the basis for future management actions. and policies? You may need to coordinate withDevelop all the steps required to conduct a smooth other managers and/or staff personnel to get whatoperation, and watch it move toward the you need. If some are unable to help you, this willobjective. Every plan, whether simple or complex, have an impact on your plans. To evaluate, in thiswritten or mental, contains certain essential case, means you must look at the situationelements: an objective, resources, procedures, and carefully before you begin operations.controls. Planning becomes easier if you followa logical sequence in your thinking: Consider AH Possible Alternatives Analyze the objective. Now that you know what has to be done and what is available to do it with, you are ready to Evaluate the situation. consider how to do it. The objective, available resources, and situation all tend to limit your Consider all possible alternatives. alternatives. One very effective technique for generating alternatives is "brainstorming." Select the best course of action. Gather a group of people (your workers, peers, and other concerned managers are excellent Develop an alternate plan. resources), explain the objective, what resources are available, and any existing limitations. Then Test plans for completeness. ask for ideas. You must resist the temptation to arbitrarily prejudge or discard possible courses of Following this sequence wont always assure action. Often a half-baked scheme will trigger aa good plan, but it will eliminate many problems better idea from another source.and pitfalls you would normally encounter inplanning. Selecting the Best Course of ActionAnalyze the Objective After you have met with your people, choose the best course of action to carry out the mission. First, you must break the objective into In making this decision, consider the methods andcomponents and establish relationships among techniques required by each possible course.them. You must answer the question: What Determine which methods are most appropriatespecific operations must I achieve to accomplish and which should be avoided. If you choose athe objective, and how are those operations widely different course of action from that
your action will meet all required deadlines. Also, PERSONAL PLANNINGbe certain that your plan fits the assignedobjective, is feasible under present circumstances, While you are doing all this planning, dontand will dovetail with the command mission and overlook the most important plan of all:established policies. You may develop a beautiful Planning your time!plan; but if the manpower requirements for it are Planning your time effectively can benefit yourout of line with available resources, you will be efforts as much as having an assistant. Your job an uphill battle.fighting is to manage. The things you must do to manage Once you have decided on a viable plan, you your unit may seem endless. You must schedulemust design controls for the process. Good work, develop plans, supervise training programs,controls will allow you to keep in touch with the attend endless meetings, improve the programseffectiveness and efficiency of your plan. They under your control, and continually supervise.will let you identify and correct problems before To accomplish this with any degree of effective-they reach epic proportions. A good plan must ness, you should know what you are going to dobe flexible enough to respond to required from day to day. This means planning youradjustments dictated by the control process. work. Experience has shown that the managers efforts fall into four basic work areas: regular, The best laid schemes o mice and men routine, special, and creative. Gang aft a-gley. 1. Regular work is your primary responsi- Robert Burns bility. This includes planning, controlling, organizing, coordinating, directing, training, and If it can possibly go wrong, it will! supervising. 2. Routine work includes tasks such as Murphys Law answering the telephone, preparing routine reports, keeping production records, logging work Always expect the worst, then anything less orders, and keeping muster records. You should will be a pleasant surprise. spend very little time performing these duties. Assign these tasks to subordinates (we will discuss Joel Garner delegation later). 3. Special work includes service on com- mittees, staff studies, investigations, special reports, and collateral duties. Planning for theseDevelop an Alternate Plan duties can be difficult, since they dont always occur at regular intervals; but you must allot time Once you have developed a gem of a plan, for them.expect to fail! An alternate plan can save the it 4. Creative work is what you accomplish inday if the worst should happen. If conditions improving working conditions, developing bettershould change or resources should suddenly procedures, and improving techniques. This is onebecome unavailable, your original plan could well of your basic (and most rewarding)become unworkable. So develop a full-blown responsibilities. If you dont find the time for it,alternate plan at the beginning; you may not have then your planning leaves something to be desired.enough time later. No hard and fast rule exists as to how muchTest Both Plans for Completeness time you should devote to each of the work areas. A general guideline would probably be regular After you have selected the best course of work, 65 percent; routine work, 15 percent;action and an alternate plan, check them both for special work, 10 percent; and creative work, 10completeness. Do they answer the six questions percent. The actual breakdown will depend on youwhat, when, where, how, why, and who? Are they and your work situation.both adequate? Do they comply with current Planning never really ends. You must adjust
Planning and plans are typed or classified by Examples of policy are equal opportunitytheir characteristics and purpose. The following programs, promotion policies, fraternization,is the general criteria for classifying plans: single parenting, and zero tolerance. @ Functional area The general field to which PROCEDURES. Procedures establish the the plan applies, such as personnel, sequence and accuracy required for you to administration, operations, and safety accomplish specific actions. You, as managers, establish procedures to accomplish many routine 9 Time factor Long, medium, or short- jobs such as check-in/out, maintenance actions, range preventive maintenance, inspections, and pre- deployment preparations. Characteristics Cost, detail, and com- plexity WARNING Level affected Force, command, depart- ment, division, or shop When a procedure has become obsolete or requires modification, change or cancel it! @ Action required Most often performed Considerable time and effort is wasted actions, such as research and development, every day through compliance with staffing, and mission operations outdated procedures. These criteria are used to classify plans into "But Chief, weve ALWAYS done it thisthree general groups. These are strategic, way." Grrrrr.standing, and one-time or single-use plans.Strategic Plans When procedures cross departmental lines, you must ensure they are coordinated with the Strategic plans are concerned with overall other departments to avoid confusion and ruffledmission. They define unit objectives and goals. feathers. Well thought-out procedures, however,Strategic plans give you "The Big Picture." will make your life easier. They put routine These plans are designed to provide long-range matters on automatic pilot and allow you toguidance. They provide a base line for other plans. concentrate on managing the exception ratherOnce mission and objectives have been defined, than the rule. Good procedures will do thestrategies can be developed to meet them. Strategic following:planning must remain flexible enough to accom-modate shifts in policy or action by our own Free managers time from routine mattersgovernment and other nations. They must includealternate or contingency plans in anticipation of Ease coordinationforeseeable changes. Save man-hoursStanding Plans Increase efficiency and effectiveness Standing plans consist of policies, procedures,and regulations. They exist to provide guidanceto you in the absence of higher authority. They Increase your controlenable you to make rational, informed, consistentdecisions and plans without constantly consulting Simplify delegation of authorityhigher levels of command. Standing plans existuntil they are cancelled or modified by higher Clarify responsibilityauthority. REGULATIONS. Regulations are often POLICIES. Policies are an expression of top used to effect policies and plans. They pro-managements attitudes toward specific actions vide specific direction concerning required or
prohibited actions in given circumstances. BUDGETS. A budget is simply a financisRegulations frequently carry a penalty for forecast. It lays out expected monetary needs fononcompliance. You are already familiar with a specific plan or operation. A budget must semany regulations: realistic financial goals to be of any use as control device for project or program manage Hair length and style restrictions ment. You will find budgetary planning one o the most critical planning challenges you will fac Hearing protection requirements as a manager. A carefully thought-out budget however, will provide a measure of efficiency an< @ Smoking restrictions effectiveness as an operation progresses. It wi] also give you a considerable degree of control ove Safety requirements the progress of your project. Uniform requirements THE TIME ELEMENT IN PLANNINGSingle-Use Plans Comprehensive planning can be time-consum Single-use plans are essentially one-time use ing.As a result, you will frequently need to g<plans having a specific goal or objective. They ahead with the several planning steps withoumay run for a few days or last several years. having all the facts. Flexibility is the key t<Projects, programs, and budgets are commonly planning under these circumstances. You musthought of as single-use plans. allow for changes as new information or alterna tives are presented.Give due consideration to th PROGRAMS. Programs set objectives and range or life span of a plan as well. Plans comspecify the main steps or actions you must in three basic sizes with respect to range:take to obtain them. A comprehensive programwill provide information concerning the follow- 1. Long-range plansing: 2. Intermediate-range plans Step-by-step goals 3. Short-range plans O Policies Long-Range Plans 6 Rules Long-range plans run for 2 or more years an sometimes as much as 30 years. Five-year plan Required physical and human resources for new construction, manpower, and weapon procurement typically fall into this category Strategies Long-range plans reflect the big picture and ar generally reserved for top-level managers. Thes PROJECTS. An effective way for you to are the plans people are least likely to understamdeal with program management is to break the completely. Long-range plans are also calleiprogram goals into manageable projects. A strategic plans.project should have a clearly defined goal witha definite beginning and end. This approach tomajor or complex objectives will give you greater In over 25 years service, Ive never seen theflexibility inscheduling, planning, and delegation. Real Navy or The Big Picture.It allows you, the manager, to concentrate onmanaging the various aspects of the program Anonymous MCPOwhile dividing the detail work among yoursubordinates. A side benefit of this technique isincreased involvement and program support from Intermediate-Range Plans
ui iiucTiiieuiaLe-riiiige pians. iiuerine- win me muic ugiu yuui pi an, me iiiuicdiate-range planning is normally associated with will be the need to change it. This idea is astaff, department, and sometimes division corollary to the jelly-side-down principle.managers.Short-Range Plans The odds of a falling piece of jelly bread landing jelly side down improve in direct Short-range plans are formed at all levels of relation to the cost of the carpet.management. They are, however, normallyassociated with managers at the division, branch, Murphys Lawand shop levels. Implementation of new policies,work assignments, and training syllabi are typicalshort-range plans. These cover a time span from Simplicity1 day to 1 year. Needlessly complicated plans are an admini-TIME SPAN AND PLANNING strative burden to you and the people who must live with them. Some plans must be complicated, The time you spend on planning will depend but you must make every effort to avoidlargelyupon your position in the management unnecessary steps. This is the same logic that dictates breaking large programs and plans downhierarchy (chain of command). Upper-levelmanagers routinely spend over 25 percent of their into more manageable projects. You can helptime planning, while lower-level managers by designing a compartmented plan that will lend itself to the project concept. Such fore-normally invest 10 to 15 percent of their time. All managers plan. The character, range, and thought makes monitoring and controlling muchtime invested in a plan depend on the nature and easier and will save your time and the Navyscomplexity of the plan. They also depend on your money.level of responsibility and authority with regardto that particular plan. Accuracy Does your plan conform to your goal? AreEVALUATING PLANS facts accurate or colored your by personal opinion and desires? You must maintain objectivity in the The criteria most commonly used to evaluate planning process. You must avoid needless rufflesyour plans are based on your consideration of the and flourishes that do not point toward your goal.following elements: Tinsel is pretty but expensive. Flexibility Comprehensive Viewpoint G Simplicity Have you gone through all of the planning steps? Does your plan cover all vital actions Accuracy without going into minute, restrictive detail? You must leave room for subordinates to maneuver. Comprehensive viewpoint Is your plan consistent with command procedures and goals? Your plan should make coordination Cost-effectiveness with other elements of the command easy. Assignment of accountability and Cost-Effectiveness responsibility Cost-effectiveness applies to more than justFlexibility dollars. If your plan provide enough return will to justify the time, energy, and personal The longer the span of time involved in your involvement you (and others) will invest, use it;plan, themore important flexibility becomes. otherwise, cancel it. One of the hardest things forYour design must be flexible enough to a manager to do is scrap a lovely, simple plan.accommodate smooth transition into alternate If you must cancel a plan, do it yourself; this isplans should the need arise. And arise it easier than having it scrapped by someone else.
Have you provided realistic guidelines,timetables, and performance measures? Does yourplan clearly delineate areas of responsibility? If you dont know where you are going,These facets of good planning can save a then any road will get you there.tremendous amount of time and confusion. Youcan make everyones life easier by spelling out Lewis Carrolwho must do what by when. ORGANIZING GOALS AND OBJECTIVES Objectives provide both direction and Organizing is analyzing the mission, determin- destination to our efforts. Without them, you areing the jobs, setting up the structure, and assigning like SN Skylark who reported to personnel andpersonnel. Since planning and organizing overlap, told the duty yeoman that he had lost his orders.saying precisely when planning stops and organiz- When the personnelman offered to contact hising starts is nearly impossible. The basic procedure of organizing consists of next command, Skylarkreplied, "Thats the real problem; without my orders, I dont know whichconsidering mission and resources, putting them ship I am going to."in order, and carrying out plans. Factors Some sailors take a shotgun approach toconsidered include functions, operations, tasks, studying for advancement. They take corre-material, manpower, money, space, and time.You have four major tasks: set up a structure, spondence courses that interest them without reference to their advancement bibliography.determine procedures, establish requirements, and Without organizing their study efforts, theyallocate resources. greatly reduce their chances of passing a rating. Organizing is based on mission objectives.Different missions require different types of Many managers make the same mistake; they make decisions without identifying the goals firstorganization. The mission, however, does not tell or objectives and planning the best route foryou what specific functions, operations, and taskswill be required. It is simply a short statement of attaining them.the end results expected. It must be reduced tothree areas: What Is an Objective? 1 . Functions General types of work which For our purposes, goals and objectives are must be performed to accomplish the mission essentially the same. An objective is the desired end result of your efforts. It should be consistent 2. Operations Specific jobs which must be with your unit mission. Objectives can be stated done to perform a function in broad terms (overall objectives) or be precise 3. Tasks Individual jobs required to com- (specific objectives). You reach overall objectives plete an operation through setting and attaining sub objectives, The important thing for you to remember is specific strategies, policies, programs, and soto break the mission down into the functions, forth.operations, and tasks needed to accomplish it. To determine objectives, you first must defineThen group them by similarities of required skills your units overall mission. Your units intendedand equipment. The project concept discussed function or purpose is its mission. Without a clearunder planning now comes into play. Once you picture of your mission and objectives, you willhave grouped the various elements of the mission, be like SN Skylark knowing you need to goyou must develop an organizational structure SOMEWHERE, but not knowing where.based on that grouping. This structure will provide Areas that need objectives include, but arethe channel through which orders will travel, and not limited to, work performance, worker at-it will determine the assignment of responsibility titudes, retention, productivity, material, andand authority. The typical organizational chart finances. Appendix I provides an excellentis a graphic representation of a units structure. example of a mission organizational plan andIt shows the lines of authority and responsibility, objectives.
uy SOLVING Management by objectives (MBO) is a jointeffort in goal setting by managers and their A major component of planning and organiz-subordinates. One of the major benefits of this ing in any organization is the ability of itsprocess is the resulting dedication to goal managers (thats you) to make decisions. Decisionattainment by your subordinates. People with a making is the deliberate choice of a specific coursepersonal commitment to a goal will naturally work of action to achieve a particular result. The qualityharder than those who have their goals set for of your decisions will directly affect the efficiencythem. and effectiveness (remember those two words?) of your department, division, or work center. It also will determine your creditability with your Did you volunteer for this job? subordinates and seniors. All managers are Yeah. At least thats what the Chief told decision makers! me. CLASSIFYING DECISIONS Conversation overheard between two Airmen during a base beautification Decisions may be classified as programmed or project unprogrammed. Programmed decisions are repetitive in nature and are normally covered by routine procedures or instructions. When to The MBO process consists of six major schedule training, which check-in procedures toparts: use, and when to perform preventive maintenance are examples of programmed decisions. These 1. Discuss your job responsibilities and decisions are considered routine and require little, priorities. if any, conscious thought. The unprogrammed 2. Reach a mutual understanding of your decisions are the ones that cause ulcers and subordinates responsibilities and job prior- premature hairloss. Unprogrammed decisions are ities. made infrequently and generally involve variables 3 . Jointly set specific performance objectives that require a considered response each time the and standards for your subordinates. problem arises. Who to send TAD, which 4. Establish periodic meetings to evaluate assignment to ask for, and how to schedule progress. Christmas leave are examples of unprogrammed 5. Set annual or semiannual meetings to decisions. review your subordinates overall perform- ance. PROBLEM SOLVING 6. Start the cycle over at step 1, adjusting or modifying goals as necessary. How many times during the past months have you found obstacles standing between you and MBO programs are not applicable to all some goal you wanted to reach? Most supervisorssituations. Additionally, MBO can cause increased could quote a fairly large figure if they could makepaperwork and be time-consuming. The benefits an accurate tally of the number of problems theyof a well-run MBO program can, however, be have faced. Whenever difficulties block your pathconsiderable. MBO ensures that subordinates to some goal, you have a problem.understand what expected of them and where is Since you do not lead a charmed existence,your priorities lie. This eliminates much potential you are confronted by problems everyday. As aconfusion, frustration, and wasted motion. The mature person, you probably accept theMBO process forces you and your subordinates inevitability of problems, facing them realisticallyto plan more thoroughly and focuses your energies and seeking workable solutions. But unless youon specific goals. It increases communication have studied the nature of problems and ways tobetween you and your subordinates about tackle them, you may still be resorting to trial-progress and problems and increases your and-error methods. This often results in yoursubordinates commitment to attain those goals. overlooking the best solutions.MBO also sets up definite, measurable standards Problems can be solved to the advantage offor performance evaluation. all concerned. The art of problem solving may
seem extremely tedious and demanding at first.However, once you master it you will enjoy the RECOGNIZEbenefits of finding the best solution for the THE PROBLEMproblem at hand. Your duties are demanding. Demands createproblems that you must solve, sometimes byyourself but more often with others who areequally concerned. What better reason could you GATHERhave to master problem solving? You should DATAremember two principles about problem solving: 1 . Any system is better than no system at all. 2. The ultimate goal of any system is the LIST ability to withhold judgment until all POSSIBLE aspects of the problem have been logically SOLUTIONS considered.Individual Problem Solving o TEST/DISCUSS The system we describe here is a way you can SOLUTIONS <remove obstacles and reach the goal in problem CD Osolving. Since the method is closely related to the LUprocess of scientific investigation, it is oftenreferred to as the scientific method of problemsolving. The method is not foolproof, but it will SELECThelp you withhold judgment until you have con- THE BESTsidered all possible facets of the problem and all SOLUTIONpossible solutions. This is a value of any problem-solving system. It enables you to consider possiblesolutions without prejudice or bias. Any syste-matic approach to problem solving will help youto withhold judgment and remain open-minded. The six phases of problem solving (or decisionmaking) follow a logical sequence (fig. 1-3). Inactual practice, you will probably need to adjustthis sequence to fit the moment. Developmentsin one phase may cause you to readjust orreconsider factors in a previous step. Thefollowing are the six steps to problem solv-ing: 1. Recognize the problem. 2. Gather the data. 3. List all possible solutions. Figure 1-3. Decision making. 4. Test possible solutions. 5. Select best possible solution. 6. Implement and follow-up. obstacles such as cost, time, available transportation, and routes to take. The above RECOGNIZE THE PROBLEM .Can you factors contribute to recognizing your problemtake a trip without first deciding what method of through analysis of the elements.transportation to use or without knowing whereyou want to go? Obviously, you must recognize GATHER THE DATA. You now have ayour need to get from one place to another. goal and you have identified the things that standSecondly, you must know your goals or the place between you and success. Next, you must get allvou intend to visit. You must consider the the information you need to solve the problem.
You need to know about road conditions as well SELECT THE BEST POTENTIALas bus, train, and airline schedules and fares. SOLUTION. At this point, you can decide onDivide this information into categories: the best solution by eliminating those which do nof meet your criteria. For example, in planning Facts These are known For example, truths. your trip, you may eliminate rail, bus, and airyou can call the highway patrol for road travel because they do not fit your criteria. Youconditions, you can consult schedules for trip may decide that driving your car is the besttimes, and a map will provide distance solution to the problem.information. Of course most problems are not this simple. You will frequently find two or more alternatives Assumptions Some data must be assumed, that meet all your criteria. You must then decidesuch as the accuracy of information concerning which will be the best. This may well be thefares and possible routes. hardest part of decision making, because it causes you to fall into a mission-oriented frame of Criteria A criterion is a standard of judging. reference. Which alternative is best for the overallThis most important in data gathering. It is a is mission? Which will best dovetail with other on-rule by which you measure such things as facts, going projects? Which pays the most dividendsprinciples, opinions, and assumptions. In problem in the long run?solving, you should always have some criteria toconsider. For example, you might consider criteria IMPLEMENT AND FOLLOW UP. Put thesuch as the following: departure must be between solution into effect. No problem is solved until0800 and 1000, arrival must be before 1700, action is all that work making a taken. Afterluggage must include two suitcases and a trunk, your work be wasted. Follow decision, dont letand travel money is limited to $75. The criteria up. Get feedback on the progress of your solution.will help you decide which method of travel to You may need to review and revise your solutionuse. The bus may be too slow. The train may leave as it progresses. Also, failure to follow up showstoo early. Airfare may exceed available funds. a lack of interest. Your subordinates may wonderWhatever criteria you set up will help you decide why they should be interested in the plan.between alternatives. Group Problem Solving LIST ALL POSSIBLE SOLUTIONS.Where do you find possible solutions? You may Complex situations require todays managerget ideas almost immediately. The longer you to make the best possible use of every workersstudy, consider, and think about solutions, the talents. To do this, you must have a means ofmore alternatives you will have. Solving the first getting your people to take an active part intwo steps to problem solving should generate some solving unit problems or deciding unit policy. Theviable alternatives along the way. conference method is valuable for this purpose primarily because it brings about a pooling of TEST POSSIBLE SOLUTIONS. In every knowledge, information,experience, andinstance, you should consider each possible judgment.solution against the established criteria. Evaluate A problem solved by the conference methodyour solution by asking yourself the following must be one that requires collective thought andquestions: action to solve because of its nature, importance, or complexity. Not every problem Is the solution suitable? Will this solution warrants the time-consuming method of calling produce the desired results? Will it do the job? and conducting a conference. The people brought together should have a common interest in the Is the solution feasible? Do the means for problem. They should be qualified to discuss and completing the job by this method exist? Can pass judgment on the problem. The problem the job be accomplished this way? should be one to which the group can be expected to find a practical and acceptable solution. Is the solution acceptable? Is the solution Other important values grow out of using the going to be cost-effective? Will it fit command conference method. Workers who have had an directives? Even if the solution is cheaper, will opportunity to offer their ideas and to take part
to accept the decision reached. Also, other serious Submit a proposed agenda, but allow the groupproblem areas may be uncovered during the it and offer modifications. The groups to discussconference. primary objectives are to agree on (1) the exact You need several elements to use the con- nature of the problem, (2) the criteria for testingference method. You must have an exchange of solutions, and (3) what the agenda should be.ideas. For profitable discussion, you must selectpeople who are qualified to discuss the issue and Ensure that points are discussed in the agreedto act upon it. You must control the discussion; upon order. Cover all phases of the problem andtherefore, you must have planned it in advance. call upon every member to contribute to theMost important of all, the conference must have discussion. Bring differences of opinion into thean objective. Add up these elements and you have open and discuss them freely. After the problema workable definition of the conference method. has been thoroughly explored, solicit possibleIt is a planned-for meeting of selected people solutions. List the main points, facts, andwhere an active, controlled exchange of ideas assumptions agreed upon and the possibletakes place for the purpose of solving a problem. solutions. PLANNING THE CONFERENCE. A con- Use questioning and summarizing to clarifyference can be productive, or it can quickly the issues. The question is an invaluable tool.deteriorate into an exercise in fertilizer spreading. Questions can open, advance, expand, or closeThis will produce a maximum of useless talk and a discussion. They can provoke thought and geta minimum of worthwhile results. The usefulness people to join the discussion. Success dependsof the conference rests on the quality of upon asking the right question at the right time.preparation. Therefore, arrange for a suitable Questions may be classified as overhead, direct,conference room and set an acceptable time for reverse, relay, lead-off, or follow-up, dependingthe meeting. Provide tables, chairs, lighting, on their purpose:chalkboard, maps, charts, and other necessaryaids. Inform the conferees of the time and place An overhead question is one you throw out advance as possible. Also provide themas far in to the entire group. The first question willwith a tentative statement of the problem, probably be of this type. When asking anavailable pertinent data, apparent criteria for overhead question, give each person asolutions, and an agenda for the discussion at the chance to express an opinion or presentsame time. This allows them to be fully prepared information. The overhead question mayfor the discussion. be used to close the discussion of a topic: "Does anyone have anything to add before CONDUCTING THE CONFERENCE. we move on to the next point?"The orderly conduct of a conference fits into threeorganizational divisions: introduction, body, and A direct question is one you address toconclusion. individuals. You will find such questions As with the introduction to a speech, getting very helpful in drawing people into thea conference started on the right foot is crucial discussion. Be sure to ask a question theto all that follows. Unless the participants are well person can answer. Use direct questions toknown to each other, ensure the chairman and jolt the inattentive, get the talker toeach member of the conference has a name card. summarize, or get special information Provide guidelines for the conference: (1) from someone. You also may use them tostress the need for active participation; (2) draw someone back into the discussion byencourage freedom of expression; (3) request that asking how his or her comments relate tocontributions be brief and to the point; (4) rule the topic. You may ask the direct questionthat only one person may speak at a time; (5) first, or you may name the person you wishinvite differences of opinion, but rule out personal to target before asking the question. Theabuse; and (6) assure that anything said will be first method keeps the entire group on itsregarded as confidential. toes, and the second solicits individual Having laid the ground rules, introduce the thought and reply.problem, motivate the group to solve it, and leadthe group to a final agreement. Then set up A reverse question is one you revert to thecriteria for the group to test possible solutions. asker. A relay question is one you pass to
suineuuc cisc. iuu may use a ic- 11 pu&MUic. ra.iiUsUia.Liy verse question if a conferee asks questions controversial questions may call for one or more you feel you should not answer. Throwing summaries within the discussion of a point. questions back to the group promotes open As a conference leader you must know how discussion and keeps you in the to handle discussion problems. Many trying and background. delicate situations can, and will, arise; and circumstances will vary widely from conference 9 A lead-off question is one you use to start to conference. Be aware of possible problems, be a discussion of a new topic. A lead-off prepared for some common situations, and be question should generate group thinking familiar with possible ways of handling them. The on the topic. Before the conference begins, following suggestions for dealing with disruptive prepare a lead-off question for each characteristics may prove helpful: separate item. Verbose people who take 5 or 10 minutes A follow-up question is one you use to to make a small point must learn to be keep a discussion going. This type of more concise. Ask them to write a brief question serves to govern conference summary on the chalkboard. You will find progress. You must carefully design this is a severe but effective method to curb follow-up questions. Some planning of misuse of time. follow-up questions helps, but the discussion itself will determine the specific Reticent, or silent, persons are likely to be questions. new to the group or unsure of themselves. Ifthey fail to join the talk after becoming Use the following guidelines when asking familiar with the group, bring them intoquestions: the discussion with direct questions you are sure they can answer. 1 . Word all questions clearly so that they maybe easily and quickly understood. They should be Skeptical people are a disturbingneither too hard nor too easy to answer. If a influence most instances because they inquestion is too hard, you will receive little or no make us think who keep us from becom-response; if it is so simple that it requires no ing receptive to illogical proposals. Ifthought, it has no value. skepticism prevents the acceptance of 2. Since the primary objectives are to en- any proposal, however, remind the skepticcourage thinking and promote discussion, avoid that some solution must be found.questions that may be answered yes or no. 3. Generally, questions should be designed to The dogmatic characters will argue a singledraw out the knowledge and experience of the idea illogically until they arrive at the pointgroup. They should be worded so that people feel of no return. To concede in any way wouldfree to express their personal views on the subject. be an admission of stupidity or ignorance.Avoid any wording that insults or antagonizes. To get these people back into the group,Do not let anyone flounder indefinitely; remember point out differences in definitions ornot to use questioning as an end in itself, but to evidence that both they and the rest of theuse it only as a tool. group have used. By doing this, you divorce them from ownership of the Successfully handling a discussion of any proposal.length frequent summarizing. requiresSummarizing helps you to keep the discussion Finally,the radical thinkers, or "oddfocused on the subject, give the group a clear may become a disturbing influence. balls,"picture of the discussion, and avoid needless The greatest mistake you can make inrepetition. It also helps you to reveal areas of dealing with these people is to ridiculeagreement and disagreement. A summary to them into silence. Genius first unfoldeddefine exactly where you are and what you have may appear revolutionary and bizarre.decided before going ahead is a must following Only by listening to and understandingthe discussion of each point. This is the time to revolutionary ideas can we honestly judgeiron out differences of opinion uncovered during them.