NAVS 201
T/TH 1400-1515
Leadership and Management
Change 3
(3 Units)
CDR William Cody
E-mail: wcody@sandiego.edu
Phone: 619-260-2283
Office Hours: Tuesday after class or by appointment
Other Instructors:
CAPT Patrick Rabun 619-260-2284 (Secretary Ms. Wendy Tankersley)
Maj Michael Nelson 619-260-6834
Course Description
Leadership and management are keystones of our naval profession. There is not a day that goes by
when you are not leading someone, or managing something. This course will introduce you to the basic
concepts and provide you an opportunity to examine yourself and begin to understand your personal
strengths and weaknesses.
The course is divided into 4 sections of material:
1.
2.
3.
4.
Course Introduction
Focus on the Leader
Focus on the Followers
Focus on the Situation
The course approaches this topic as a process and defines leadership and management in the
following manner:
Leadership is the process of influencing an organized group toward accomplishing its goals.
Management is the attainment of organizational goals in an effective and efficient manner
through planning, organizing, leading, and controlling organizational resources.
Although the terms leadership and management are often used interchangeably, they are not the
same thing. The challenge you will continually face is to balance both leadership and management in
your role as junior officers in the Fleet and Fleet Marine Forces. Leadership cannot replace
management; it should be in addition to management. Leaders are thought to do the right things,
while managers are thought to do things right.
Case study discussions are sequenced throughout the course to illustrate the relevance of key
concepts presented in preceding sessions and relate these ideas to the Fleet. Midshipmen will find that
the lessons learned also have an immediate application to the leadership environment and experiences in
the NROTC Battalion and university. Case studies will typically be student led presentations evaluating
the facts of a certain incident that provides context to course topics.
Course Objectives
Naval Science Professional Core Competency Objectives:
1. The student will comprehend the interrelationship between authority, responsibility, and accountability
within a task-oriented organization.
2. The student will apply leadership and management skills to prioritize among competing demands.
a. The student will demonstrate the ability to establish meaningful goals and objectives.
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b. The student will apply techniques of prioritization and time management to resources and
personnel.
3. The student will apply leadership skills to achieve mission objectives through groups.
a. The student will comprehend the basic principles of human behavior and group dynamics.
b. The student will comprehend the difference between formal and informal groups.
c. The student will comprehend the contribution of the formal group organization and standard
procedures to mission accomplishment.
d. The student will apply leadership and management skills to design work groups based on task
requirements, group capability, and available resources.
e. The student will apply techniques and skills to measure organizational effectiveness by
establishing qualitative and quantitative performance standards.
4. The student will comprehend the importance of planning and follow-up to mission accomplishment.
a. The student will comprehend the importance of planning and forecasting.
b. The student will comprehend the relationship between goal setting and feedback and apply
this understanding to the establishment of control systems.
c. The student will know the important reasons for development of and constant reevaluation of
alternatives in decision-making.
d. The student will comprehend major reasons why change is resisted in organizations.
e. The student will comprehend specific techniques that may be used to bring about change in
organizations.
5. The student will demonstrate in officer leadership situations, an understanding of the influence of the
following on a leader’s ability to achieve organization’s goals:
a. use of authority
b. degree of delegation and decentralization
c. the officer-enlisted professional relationship
d. chain of command
e. morale and esprit de corps
6. The student will comprehend the moral and ethical responsibilities of the military leader.
a. Comprehend the leader’s moral and ethical responsibilities to the organization and society.
b. Comprehend the relationship of integrity, moral courage, and ethical behavior to authority,
responsibility, and accountability.
c. Comprehend the standard of conduct for military personnel.
d. Comprehend the current Navy and Marine Corps regulations, policies and programs regarding
equal opportunity.
e. Comprehend the provision of official policies regarding prevention of sexual harassment,
fraternization and hazing.
f. Comprehend the Navy and Marine Corps policies regarding single parenting and pregnancy.
7. The student will know the types of, and importance of, communication within the military.
a. The student will comprehend the communications process.
b. The student will comprehend the major causes of communication breakdowns.
c. The student will demonstrate effective oral and written communication.
8. The student will demonstrate an understanding of basic counseling skills.
a. The student will comprehend the importance of feedback to mission effectiveness.
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b. The student will comprehend the various motivational techniques which may be useful in
leadership situations.
c. The student will apply counseling skills to performance evaluation debriefing.
9. The student will comprehend the relationship of the Navy’s core values to the role and responsibility of
a naval leader.
10. The student will comprehend the following personal qualities and be able to relate them to a leader's
effectiveness:
a. Loyalty
b. Honor
c. Integrity
d. Courage (moral and physical)
11. The student will comprehend the fundamentals of Operational Risk Management (ORM).
Textbook Readings (Primary)
Leadership: Enhancing the Lessons of Experience, 6th Edition. (LEAD); Hughes, Richard l., Ginnet,
Robert C., Curphy, Gordon J., Boston: McGraw-Hill Irwin: 2009. ISBN 978-0-07-340504-9
MCDP 5 Planning; Krulak, C. C., General, USMC, Washington DC: 1997. PCN 142 000004 00
MCDP 6 Command and Control; Krulak, C. C., General, USMC, Washington DC: 1996. PCN 142
000001 00
The Armed Forces Officer (AFO); Department of Defense, Dulles VA: 2007. ISBN-13 978-1-59797-166-9.
Leadership Embodied: The Secrets to Success of the Most Effective Navy and Marine Corps Leaders;
Thomas, Joseph J., Annapolis, MD: U.S. Naval Institute, 2005.
Supplemental Readings (Optional)
Leadership and Management; Carlson, Thomas J., Boston, MA: Pearson Custom Publishing, 2000.
The 7 Habits of Highly Effective People; Covey, Stephen., New York, NY: Simon & Schuster Adult Publishing
Group, 2004.
Naval Leadership: Voices of Experience 2 Sub edition; Montor, Karel, et al., Annapolis, MD: U.S. Naval
Institute, 1998.
The Marine Officer's Guide; Estes, Kenneth W., 7th ed. Annapolis, MD: Naval Institute, 2008.
Division Officer’s Guide; Stavridis, James, and Girrier, Robert., Annapolis, MD: U.S. Naval Institute, 2004.
The 21 Indispensable Qualities; Maxwell, John, Nashville, TN: Thomas Nelson, 2007.
Course Requirements/Activities
1. Leadership Journal. Keep a leadership journal. You can find a description on pages 322-325 in your
primary text. Each submission should be 1.5-2 pages in length. You can keep this as a word document,
a three ringed notebook, or whatever else works for you. It can reflect/apply things from the book alone,
or even better, apply these ideas to your leadership experiences. What have you learned? What do you
need to work on? How will you improve? What is surprising? These are just a few of the things you can
“discuss” in your journal. Your journal must end with a developmental plan that shows how your activities
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in NROTC, with on campus and off campus groups, classes, and other life experiences will help you
grow. What is your plan, given your life and 2 years or so remaining before graduation to prepare to be a
commissioned officer? Why are those the things you decided to work on?
2. Essay: One essay will be required. For this assignment each student will be required to write a 1,000
to 1,500 word paper on a contemporary leadership issue in the US Navy / Marine Corps.
a. Each student will choose a topic focused on a typical management and leadership issue a junior
officer will face. Topics include but are not limited to:




A challenging good order and discipline problem such as substance abuse, domestic abuse,
physical wellness; indebtedness; sexual assault; or, post traumatic stress disorder.
Inspection and assessment preparation
Bridge or watch team organization, training, effectiveness, and team building.
Combat leadership friction and effectiveness
b. Students must submit their topic and a short abstract for approval. If there is another issue you
would like to research, see your instructor. Non-NROTC students may select a similar topic related to
campus life.
c. Students will interview a junior officer (O-2 or O-3) on their topic. Navy Midshipmen will interview an
officer serving in a ship/submarine/squadron. Marine Option midshipmen and Marines may interview
officers serving in the Marine Corps. Nurses may interview Medical Corps, Medical Service Corps, or
Nurse Corps Officers. Each student is expected to make arrangements to interview a different officer. It
is your responsibility to contact the command. A list of commands will be provided. Non-NROTC students
may interview relevant campus administrative representatives.
d. Students will research their topic. Sources for the paper will include results from the interviews and
at least five references (a maximum of two from the internet: .gov, .edu, .org only), and three other
references (periodicals and/or books). Use MLA Style including parenthetical reference citations and
works cited page. See the MLA Handbook for Writers of Research Papers.
e. The paper should explain the issue from an organizational perspective and leadership framework,
examine the organizational culture, explain what is being done to address the issue, and provide a short
analysis of the effectiveness of current programs to address the issue. The paper should incorporate
course themes and material.
f. The following sources are accepted grammar references for writing assignments:
(1) W. Strunk and E.B. White, The Elements of Style, 3rd ed., New York, NY Macmillan
Publishing Co., Inc., 1979
(2) Margaret Shertzer, Elements of Grammar, New York, NY, Macmillan Publishing Co.,
Inc., 1986
(3) Essentials of English, Hopper, Gale, Foote, New York, NY, Barron’s Educational Series,
Inc., 1990
(4) MLA Handbook for Writers of Research Papers
Note: You must to take your essay to your university writing center and attach the assessment
report (or a marked-up draft copy) to the assignment upon submission. However, this does not
relieve you of the responsibility to proof read and make corrections.
.
3. Leadership Skills Presentation: Effective public speaking skills are vital to the success of a Naval
officer. As Naval officers, you will often find yourselves briefing senior officers, making presentations to
your wardroom, and leading discussions with your unit, division or platoon. This class will afford you the
opportunity to practice your public speaking skills by briefing the content of one chapter of the text book.
Students will be divided into groups. The instructor will provide further guidance and provide you with
objectives and discussion points for the presentation. All students in a group must conduct part of the
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briefing. Groups will be graded on content and presentation.
4. Case Study Presentation: Each group will select one case study to present to the class. Each case
study is provided with a synopsis of the events and a series of suggested questions to consider. The
group will present the case study events to the class and then lead a class discussion. Groups are
welcome to use outside sources to augment the case study description provided but be careful. The goal
is not to ensure every student has a thorough knowledge of the sequence of events, the real goal is to
foster a fruitful discussion of issues germane to leadership and management. Rules regarding instructor
review are the same as for the Leadership Skills Presentation. The available case studies are – USS
SARATOGA, USS VINCENNES, USS STARK, USS LEYTE GULF, and USS SAMUEL B. ROBERTS,
there are also case studies without the discussion questions for D-Day, and the “Black Hawk Down”
incident. Marine Corps specific case studies may be available, after discussion with the instructor.
Teams will be stopped at the 25 minute point (trust me, it’s easy to go long on these).
Additionally, each team member will be required to present, so all members of the team will have an
opportunity to work on their public speaking skills.
All presentations are due to the instructor NLT 0800, 20 NOV. After the start of the briefings, no
changes may be made to the presentations, since they are being graded competitively against each
other. This precludes giving an advantage to the later briefers. The order of the briefs will be determined
by the instructor based on group merit.
5. Quizzes: Unannounced quizzes will be given at the beginning of class throughout the semester to
ensure reading comprehension and prompt class discussion. Each quiz will cover the readings for that
day. You must work alone on these quizzes and may not share answers. Students who are tardy on the
day of a quiz will receive a grade of zero (0) for that quiz. It is your responsibility to plan ahead and take
into account last minute emergencies in order to arrive on time.
6. Exams: A mid-term exam and final exam will be administered during the semester on the dates
indicated in this syllabus. No work / answers can be discussed or shared among students.
7. Class Preparation and Participation: As a Naval officer, you must be prepared for assignments and
meetings. Therefore, you are expected to participate, and will be evaluated on your overall contribution to
the class discussion. The student will complete all reading assignments prior to the specific class
session. Participation must be effective, germane to the subject and logically presented. You must
demonstrate clear, concise thought and an understanding of the course themes. Attendance and
participation are an integral part of the course. Participation is judged on your grasp of the assigned
reading material; your ability to apply ideas developed in the readings to new situations and your own
experiences; and your ability to listen, and respond relevantly, to the comments of other students in the
course.
8. Guest Lectures: There will be occasional guest lecturers. Some of them are currently serving senior
military officers, retired General or Flag Officers, or former CEOs. This may dictate that uniforms or the
optional NROTC San Diego shirt be worn to class. For these classes the lecturer will have been provided
the assigned readings; however their particular experience may expand the discussions well beyond the
readings. Biographies will be provided for these lecturers and students should prepare questions for
discussions based upon the readings and the guest lecturers’ backgrounds.
Assessment Plan/Grading Criteria/Rubric
Grading Scale:
95%-100% = A
80%-83% = B90%-94% = A77%-79% = C+
87%-89% = B+
74%-76% = C
84%-86% = B
70%-73% = C-
67%-69%
64%-66%
60%-63%
0%-59%
5
= D+
=D
= D=F
Grading Criteria:
1. Essay
2. Midterm Exam
3. Final Exam
4. Presentation
5. Quizzes / Assignment /Journal
6. Class Participation
20%
20%
20%
10%
20%
10%
100%
A: This work is insightful. It addresses the assignment in a way that indicates your comprehension of
and control over the assignment itself as well as an understanding of the underlying concepts. The
message is communicated clearly, concisely, and directly. There is a confidence presented in this work.
You followed the directions for the assignment
B: This work meets and, at times, exceeds the basic requirements of the assignment. The work indicates
that you are beginning, at times, to think through and deal with the major ideas of the assignment. The
message is communicated with generally effective clarity, directness, and conciseness. Some
unevenness in writing may be apparent. For the most part you followed the guidance for the assignment
C: While this work offers little insight into the greater concepts of the assignment, it meets the basic
requirements. The message, for the most part, is reasonably clear, concise and direct, although there
may be unevenness in the writing. You partially followed the assignment guidance.
D: The basic requirements of the assignment are partially met; however, the message is not always
communicated clearly. There is considerable unevenness in the writing. For the most part you ignored
the guidance for the assignment
F: The requirements of the assignment have not been met at a satisfactory level. It is not clear that you
have understood the concepts of the assignment. The writing is not clear, concise or direct. You did not
follow the guidance for the assignment.
Requests for Accommodation
Reasonable accommodations in accordance with the Americans with Disabilities Act will be made for
course participants with disabilities who require specific instructional and testing modifications. Students
with such requirements must identify themselves to the San Diego State University Student Disability
Services (619) 594-6473 (USD Students should contact University of San Diego Disability Services Office
(619) 260-4655) before the beginning of the course. Every effort will be made to accommodate students’
needs; however, performance standards for the course will not be modified in considering specific
accommodations.
Course Outline
Class Date
Lesson†
Assigned Reading
27 AUG
SDSU CLASSES BEGIN
N/A
Tue 28 AUG
0 – Leadership is a Process, not a Position
N/A
Th 30 AUG
1 – Leadership in Everyone’s Business
Leadership: Chapter 1
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Tue 4 SEP
2 – Leadership Interactive Model
Leadership: Chapter 2
MCDP 6: Operation VERBAL
IMAGE
Th 6 SEP
3 – Education and Experience
Leadership: Chapter 3
Tue 11 SEP
4 – Assessing Leadership
Leadership: Chapter 4, omit
Profiles in Leadership 4.1,
Highlights 4.3, 4.4, 4.6, 4.7, 4.8,
Table 4.1, Fig. 4.2
Table 4.2
Th 13 SEP
5 – Power and Influence
Leadership: Chapter 5
Plus BB discussion
6 – Leadership and Values
Leadership: Chapter 6
AFO: Chapter 5, 8, App 3
Th 20 SEP
7 – Leadership Traits
***JOURNAL #1 DUE***
Leadership: Chapter 7, omit 212217, Plus BB discussion, and
MBTI at
http://www.humanmetrics.com/cgiwin/jtypes2.asp
Tue 25 SEP
8 – Leadership Behavior
***Essay Topics Due***
Leadership: Chapter 8
AFO: Chapter 3
Th 27 SEP
9 – Planning
MCDP 5 pp. 3-34, 48-50, 63-70
Tu 2 OCT
10 – Part II Leadership Skills
Group 1 & 2 Presentations
Leadership: Part II Leadership
Skills
Th 4 OCT
11 – Motivation, Satisfaction and Performance plus
MIDTERM REVIEW
Leadership: Chapter 9, omit 404416, Plus BB discussion
Tue 9 OCT
12 – MIDTERM
Tue 18 SEP
Th 11 OCT
BREAK – NO MEETING
Tue 16 OCT
13 – Groups, Teams and Their Leadership
Leadership: Chapter 10
Th 18 OCT
14 – Part III Leadership Skills
Group 3 & 4 Presentations
Leadership: Part III Leadership
Skills
Tue 23 OCT
15 – Counseling
***JOURNAL #2 DUE***
BUPERS 1610.10B 19-6–19-9
Th 25 OCT
16 – Counseling (cont.)
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Tue 30 OCT
Th 1 NOV
Tue 6 NOV
17/18 – Characteristics of the Situation /
Contingency Theories of Leadership
19 – Leadership and Change
Leadership: Chapter 11 & 12
Leadership: Chapter 13
20 – Film: CRIMSON TIDE
21 – Film: CRIMSON TIDE
Th 8 NOV
***ESSAY DUE***
Tue 13 NOV
Th 15 NOV
Tue 20 NOV
Th 22 NOV
22 – Part IV Leadership Skills
Group 5 & 6 Presentations
***ALL CASE STUDY PRESENTATIONS DUE***
Leadership: Part IV Leadership
Skills
23 – Case Study Presentations (Groups 1 & 2)
24 – Case Study Presentations (Groups 3 & 4)
THANKSGIVING – NO CLASSES
Tue 27 NOV
25 – Case Study Presentations (Groups 5 & 6)
***JOURNAL #3 DUE***
Th 29 NOV
26 – Review, Special Topics, Leadership Dilemmas
Tue 4 DEC
27 – ***Final Exam***
Appendices to NAVS 201 – Class Policies
Class Leader: One student will be selected, as the class leader to ensure the room and audiovisual
equipment are ready for instruction. He or she will also take roll and document those arriving late.
Academic Dishonesty: Honesty and moral integrity are fundamental to the character of a Naval officer. The
NROTC Honor Code states “An NROTC student will not lie, cheat, or steal.” This applies to all students in this
course. Substantiated charges will result in a failing grade and disenrollment from the NROTC program with an
unfavorable recommendation regarding commissioned service. The student will also be referred to the appropriate
university officials for disciplinary proceedings.
Grade of Incomplete: The grade of Incomplete (“I”) may be recorded to indicate (1) that the
requirements of a course have been substantially completed but, for a legitimate reason, a small fraction
of the work remains to be completed, and, (2) that the record of the student in the course justifies the
expectation that he or she will complete the work and obtain the passing grade by the deadline. It is the
student’s responsibility to explain to the instructor the reasons for non-completion of work and to request
an incomplete grade prior to the posting of final grades. Students who receive a grade of incomplete
must submit all missing work no later than end of tenth week of the next regular semester; otherwise the
“I” grade will become a permanent “F.”
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Military Protocol: Since this is a course primarily designed and required for NROTC students, Naval
protocol is emphasized as a teaching point. As a matter of courtesy and custom, the first individual to
recognize entry into the classroom by the Instructor or by the Commanding Officer of the NROTC Unit will call
for “Attention on Deck.” Non-NROTC students are also asked as a matter of courtesy to follow this custom.
NROTC students must adhere to the NROTC and Navy regulations for dress in and out of uniform. One
student will be selected. He or she will also take roll and document those arriving late. The class leader will
designate an alternative leader in case they are not in class. The Class leader will submit the attendance
sheet to the instructor at the beginning of class.
Responsibility: NROTC students are expected to perform at a substantially high level of maturity and
responsibility. In general, it is the student’s responsibility to initiate action to resolve all personal issues and
ensure administrative matters are handled in a timely manner. Students shall attend all classes and submit
assignments by the due dates and times. Failure to complete all assignments will result in a failing
grade. Classroom activities and discussion are important aspects of the learning process. Participation
will be evaluated as a part of student performance. Should an emergency develop that warrants relief
from this stated attendance and performance policy, prior approval must be obtained directly from the
instructor. Additionally, the following standards will be enforced:
Absence: Permission for absence must be requested in advance (via phone/email to the Instructor).
Excused absence will be granted at the sole discretion of the instructor. Grades and performance-to-date
will have bearing on the instructor’s decision to grant excused absence. Unless otherwise arranged,
assignments falling due on the day of an excused absence remain due on or before that day. An
excused absence on a scheduled exam or project presentation day will rarely be granted, and will usually
be contingent upon completing the presentation or an alternate exam prior to the scheduled absence.
Any absence without prior approval of the instructor is an unexcused absence. No credit will be given for
class participation or for any quiz/presentation/exam missed due to the unexcused absence. Grade
reduction is likely for unexcused absence(s). Three or more unexcused absences will result in a failing
grade
Tardiness: Punctuality is expected. If you are tardy enter the classroom without disruption and discuss with the
instructor after class. Repeated incidents will have an adverse affect on final grades.
Electronic Equipment: Any use of cell phones is prohibited in class.
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Writing Assessment Form
Content: The completeness and accuracy of the information presented
The paper contains an important controlling idea that is fully developed with
100 – Excellent
concrete and vivid details.
The paper contains a controlling idea that is developed using consistent, pertinent
90 - Good
details.
80 - Adequate
The paper contains a main idea supported by appropriate details.
The paper contains a main idea, but it is too general, vague, and confusing: lacks
70 - Poor
sufficient support with specific details.
The paper contains no discernible idea to control the random details that are
60 - Unsatisfactory
included.
Organization: The logic, order, and readability of the information presented
The paper moves toward a clear conclusion with a sense of symmetry and
100 - Excellent
emphasis; paragraphs contain related material that fits together well, and
transitions between sentences and paragraphs assist the reader’s progress.
The paper contains the necessary steps toward a conclusion: paragraphs are
90 - Good
structured appropriately to assist the reader.
The paper’s direction is apparent; paragraphs meet the basic demands, but
80 - Adequate
transitions are more functional than dynamic.
The paper lacks a clear sense of order and direction; paragraphs are jumbled or
70 - Poor
underdeveloped; transitions are weak or unclear.
The paper contains no discernible order or emphasis; paragraphs are lacking or
60 - Unsatisfactory
serve no purpose; no effort is made to make transitions from idea to idea.
Expression: The presence of a personal style and the ability to generate interest in the information
The paper uses sentences that are forceful, varied in length and structure;
100 - Excellent
language is fresh and precise; the tone is appropriate for the subject, defines the
audience, and reveals the writer.
The paper uses sentences that are varied and function well; language is clear, and
90 - Good
the tone fits the subject, writer, and audience.
The paper uses ordinary sentences that function appropriately; language is
80 - Adequate
functional but ordinary; tone is acceptable but lacks appeal.
The paper uses sentences that lack order and are repetitious or immature;
70 - Poor
language is vague or inappropriate; tone is inappropriate or inconsistent.
The paper contains incoherent sentences, inappropriate or non-standard diction,
60 - Unsatisfactory
and no discernible tone.
Usage: The use of writing standards and conventions appropriate to the occasion
100 - Excellent
The paper always uses standard usage.
90 - Good
The paper contains no serious deviations from standard usage.
80 - Adequate
The paper contains occasional usage and/or spelling and/or punctuation errors.
70 - Poor
The paper contains numerous usage problems of various kinds.
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