DEPARTMENT OF THE NAVY 
HUMAN RESOURCES 
IMPLEMENTATION GUIDANCE 
GUIDE NO. 273-01 Civilian Human Resources Management, 
A Self-Assessment Guide for Line Managers 
EFFECTIVE DATE: 16 March 1999 
ISSUE DATE: 16 March 1999 
RELEASER: Betty S. Welch, DASN(CP/EEO)/Signed/ 
SUBJECT: Guidance for implementing civilian human resources 
management self-assessment programs at Department 
of the Navy field activities 
REFERENCE: SECNAVINST 12273.1, Assessment and Evaluation of 
Civilian Human Resources Management (HRM) 
FEATURES OF THIS GUIDE: 
1. Provides procedures for establishing and implementing a human 
resources management self-assessment program for Department 
of the Navy field activities. 
2. Provides a summary of personnel program responsibilities of 
managers and supervisors for adherence to Merit System 
principles. 
DASN(CP/EEO) STAFF OFFICER: Arthur Buck, Strategic Planning and 
Assessment Division 
(202) 764-0674, DSN 764-0674 
buck.art@hq.navy.mil 
INTRODUCTION 
Human resources management responsibility has been deregulated in 
recent years, resulting in greater delegation of authority to 
activity heads and line managers. At the same time, human 
resources management support staffs are being downsized and 
restructured. These changes add new challenges to the task of 
ensuring mission accomplishment while maintaining human resources 
management effectiveness consistent with the basic principles of 
a merit-based civil service. 
This guide outlines goals and accountability for effective use of 
human resources within the values and requirements of the Merit 
System Principles, the Government Performance Results Act, the 
strategic plans of the Department of the Navy and its major 
components, and legal and regulatory constraints. 
The focus of this guide is broader than regulatory compliance. 
Accountability involves more than legal compliance. Activities 
must make effective and efficient use of their internal human 
resources management processes to ensure that those processes 
support mission accomplishment. These processes include 
communication, organization health, and establishing partnerships 
with human resources offices and human resources service centers 
to obtain services and support. 
This guide creates a framework to support the establishment of a 
viable internal human resources management program. It gives 
practical examples of tools and techniques that can be used to 
accomplish human resources management goals, and describes selfassessment 
methods for ensuring human resources management 
effectiveness. 
The framework for assessment of human resources management within 
the Department of the Navy is set forth in SECNAV Instruction 
12273.1. This instruction details the roles and responsibilities 
of Echelon 2 and higher level organizations for support and 
validation of activity self-assessment. Separate guidance (GUIDE 
NO. 273-02) addresses assessment of support provided by human 
resources service providers. 
Table of Contents 
Introduction................................................................................................................... 3 
Purpose........................................................................................................................3 
Areas for assessment..........................................................................................................3 
Assessment criteria and implementation plan....................................................................4 
Links to other programs and assessment methods .............................................................4 
The role of the HRM service provider ...............................................................................4 
Relationship to labor-management agreements .................................................................4 
Keeping this document up-to-date .....................................................................................4 
Area 1 - Communication ............................................................................................................ 5 
Overview.......................................................................................................................5 
Access to HRM policies, procedures and information ......................................................6 
Access to information that affects employee positions and careers...................................7 
Employees access to supervisors and managers ................................................................8 
Communication of leadership and management direction and priorities ..........................9 
Partnership with key HRM service providers and labor organizations............................10 
Area 2 - Organization Health................................................................................................... 11 
Overview.......................................................................................................................11 
The organization skill mix ...............................................................................................12 
Availability and use of training........................................................................................13 
Availability and use of tools and support systems ...........................................................14 
Position structure and work processes .............................................................................15 
Support for employee safety, occupational and environmental health ............................16 
Support for employee well-being, satisfaction and motivation .......................................17 
Compensation and recognition programs ........................................................................18 
Area 3  Equal Employment Opportunity ............................................................................. 19 
Overview.......................................................................................................................19 
Freedom from barriers to equal employment opportunity ...............................................20 
Freedom from sexual harassment ....................................................................................21 
Effectiveness of the EEO complaint process ...................................................................22 
Area 4 - Accountability and Responsibility............................................................................ 23 
Overview.......................................................................................................................23 
Knowledge of the Merit System Principles .....................................................................24 
Legal and regulatory compliance systems........................................................................25 
Delineation of work responsibility and authority.............................................................26 
Systems that document results and measure success .......................................................27 
Area 5  Human Resources Management Results ................................................................. 28 
Overview.......................................................................................................................28 
Organization health results ..............................................................................................29 
Equal Employment Opportunity results...........................................................................30 
Adherence to the Merit System Principles and other legal, regulatory and policy 
requirements.........................................................................................................31 
Supplier and partner results .............................................................................................32 
Appendix A  Assessment Criteria.......................................................................................... 33 
Overview.......................................................................................................................33 
Assessing approach and deployment ...............................................................................34 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 1 Assessing human resources management results.............................................................35 
Assessment worksheet .....................................................................................................35 
Appendix B - Personnel Program Review Areas ................................................................... 37 
Overview.......................................................................................................................37 
Compensation ..................................................................................................................38 
Employee Relations .........................................................................................................39 
Equal Employment Opportunity ......................................................................................40 
Labor Relations ................................................................................................................41 
Position Classification .....................................................................................................42 
Staffing.......................................................................................................................43 
Training and Employee Development .............................................................................44 
Appendix C - Merit System Principles.................................................................................... 45 
Appendix D - Prohibited Personnel Practices ........................................................................ 46 
Appendix E  A Simplified Approach to Assessment............................................................ 47 
Overview.......................................................................................................................47 
Methodology ....................................................................................................................47 
Implementation ................................................................................................................47 
Sample implementation letter ..........................................................................................48 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 2 Introduction 
Purpose 
This guide gives activity leaders a framework and guidelines for conducting self-assessment of 
human resources management (HRM) programs and results. Equal employment opportunity 
programs and their results are considered a part of HRM. The functions covered by this guide 
are line management responsibilities that are delegated to the organization through the chain of 
command. In most cases these responsibilities cannot be redelegated to a human resources 
service organization. 
Areas for assessment 
This guide focuses on five key areas for assessing an activitys HRM programs and program 
results: 
1. Communication 
2. Organization Health 
3. Equal Employment Opportunity 
4. Accountability and Responsibility 
5. Human Resources Management Results 
Within these five areas, the guidance focuses on: 
  a description of desired outcomes, 
  examples of implementation methods, 
  examples of assessment methods, and 
  sources of support for implementation and self-assessment. 
Appendices to this guide provide additional background information as well as templates to 
assist with self-assessment of activity human resources management. Although this guide 
describes some specific administrative and compliance requirements, meeting these requirements 
is only a first step toward a strong HRM program. Successful implementation of the concepts in 
this guide will help to establish and maintain a high performance workplace which is essential 
for meeting the goals and objectives of most strategic plans. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 3 Assessment criteria and implementation plan 
Assessment should show progress over time. One way to do this is to use criteria established for 
the Malcolm Baldrige and Presidents Quality Awards, as outlined in Appendix A, on page 33. 
Other approaches may also be used, such as one for smaller organizations outlined in Appendix 
E, on page 47. The assessment process has three basic steps: 
1. The activity conducts a self-assessment. 
2. An external review process validates the activity self-assessment. 
3. Line managers and activity heads take action based upon the results of both the selfassessment 
and the external validation. 
Activity self-assessment does not have to be linked directly to external validation; the activity 
may perform an annual assessment, while validation may occur every 2 to 4 years. Repeating 
this process and assessing progress based on action taken in response to the previous assessment 
is the key to making the assessment process a valuable management tool. 
Links to other programs and assessment methods 
The structure of this guide is intended to complement common assessment methods, such as the 
Malcolm Baldrige and Presidents Quality Award assessment methodologies. 
The role of the HRM service provider 
The nature of the self-assessment program will vary according to activity size, mission, and 
demographic and other factors. The Human Resources Office (HRO) that services the activity 
can and should serve as a partner and a resource for developing and implementing an activity 
self-assessment program. The Human Resources Service Center (HRSC) that supports the HRO 
and the activity can also provide valuable information to help the activity implement a selfassessment 
program. 
Relationship to labor-management agreements 
This guide is not intended in any way to contradict the provisions of established labormanagement 
agreements. Partnership between management and labor organizations to address 
HRM issues, and to develop and implement program improvements, is encouraged. 
Keeping this document up-to-date 
This guide will be updated periodically to incorporate new material, and to change references 
(such as new or changed web sites) as needed. A current version will be maintained at the DON 
HRM web site, http://www.dasnhroc.navy.mil. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 4 Overview 
Assessment Elements 
1. 
2. 
3. 
4. 
5. 
Communication has to do with the flow of HRM information to all levels of an 
organization, between an organization and its HRM service providers, and between an 
organization and labor organizations that represent its employees. The following 
assessment elements provide a framework for developing and assessing HRM 
communication systems. 
Access to HRM policies, procedures and information; 
Access to information that affects employee positions and careers; 
Employees access to supervisors and managers; 
Communication of leadership and management direction and priorities; and 
Partnership with key HRM service providers and labor organizations. 
Area 1 - Communication 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 5 Communication 
1 
Description and This assessment element addresses the extent to which HRM information 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Access to HRM policies, procedures and information 
is made available to managers, supervisors and employees in serviced 
organizations. Managers, supervisors and employees should be able to 
find and access information on such issues as time and attendance, hours 
of duty, retirement benefits, pay setting, the status of requests for personnel 
action, and workforce information needed for management decisions. 
  Issue employee handbooks. 
  Post information on bulletin boards. 
  Provide electronic access to information through electronic bulletin 
board systems, intranet systems and similar methods. 
  Establish a process to keep information up-to-date. 
  Provide access to expert systems that contain information on human 
resources management rules, regulations and best practices. 
  Establish and implement procedures to check periodically on postings 
and other guidance to assess the extent to which guidance is current and 
accurate. 
  Conduct periodic employee surveys to assess the extent to which 
guidance is available to employees. 
  Hold discussions with staff periodically to assess how well information 
needs are being met. 
  Conduct periodic supervisor surveys to assess how well supervisors 
know who to contact for HRM information and advice that is not 
contained in available handbooks, etc. 
Examples of employee handbooks and surveys are available from the 
Office of the DASN(CP/EEO). Additional information is also available on 
the DON HRM web site, at http://www.dasnhroc.navy.mil. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 6 Communication 
2 
Description and This assessment element addresses the extent to which managers, 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Access to information that affects employee positions and careers 
supervisors and employees have access to information affecting their 
current position(s), their career opportunities, and their employment 
benefits. Employees should be able to see job openings and training 
opportunities while there is still time to take action. They need to see 
information on benefits changes, such as health insurance and Thrift 
Savings Plan open seasons, in time to make informed choices. 
Management should be able to confirm that this type of information is 
reaching employees, and should have systems in place to identify and 
address other career issues, such as potential base closures and contracting 
out of functions. 
  Establish standard posting locations and minimum time frames for 
posting job announcements, training courses and similar opportunities. 
  Develop and implement systems that make information available to 
employees at their desktop computer workstation(s), in the shops where 
they work, in the union halls, or in other locations where employees 
have access to computers. 
  Send memos to all employees announcing events which apply to 
everyone, such as open season information. 
  Survey employees periodically to assess the extent to which this 
information is available and meets their needs. 
  Hold discussions with staff regularly to assess the extent to which 
information needs are being met. 
HRM service providers can provide advice and support in meeting these 
requirements. Additional information is available on the DON HRM web 
site, at http://www.dasnhroc.navy.mil. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 7 Communication 
3 
Description and This assessment element addresses the extent to which employees can 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Employees access to supervisors and managers 
provide feedback to managers on the progress of work assignments, 
concerns or suggestions about working conditions, and similar issues. 
  Establish formal and informal dialogue methods and opportunities that 
are systematic and not viewed as adversarial. 
  Regularly discuss progress on work projects and accomplishment of 
performance plan goals and objectives. 
  Establish a suggestion program that results in action. 
  Survey employees periodically to assess the extent to which they have 
access to their supervisors to exchange information. 
  Survey employees periodically to assess the extent to which they can 
access a grievance system, or a similar system for identifying problems, 
without fear of reprisal. 
  Establish goals for the employee suggestion program and a way to 
measure progress toward achieving those goals. 
HRM service providers can provide advice and support in meeting these 
requirements. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 8 Communication 
4 
Communication of leadership and management direction and 
priorities 
Description and This assessment element addresses the extent to which supervisors and 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
employees receive clear direction from their superiors, allowing them to 
prioritize their work efforts effectively. This begins with senior leadership 
communicating and reinforcing values, directions, expectations, customer 
focus, and their commitment to learning throughout the workforce. 
Communications should include performance objectives and measures that 
help focus and align the efforts of organizational units and work processes. 
Senior leadership should give employees and managers at all levels 
feedback regarding successes and regarding areas for improvement. 
  Develop and distribute an organization strategic plan. 
  Develop business plans for major organization components. Make sure 
that they are aligned with the organizations strategic plan. 
  Develop employee performance plans that are aligned with business 
and strategic plans, and use them regularly to discuss and assess 
employee performance. 
  Clearly establish top management expectations that business 
information should flow to all organizational levels. 
  Provide regular feedback from supervisors to employees, through staff 
meetings and other methods, to keep employees informed of current 
directions, the organizations accomplishments, and areas where 
improvement emphasis will be focused. 
  Conduct a formal review to assess the alignment of business plans, 
strategic plans, and individual performance plans. 
  Survey employees periodically to assess the extent to which this type of 
information is available to employees. 
HRM service providers can provide advice and support in meeting these 
requirements. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 9 Communication 
5 
Description and This assessment element addresses the extent to which HRM service 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Partnership with key HRM service providers and labor organizations 
providers are strategic partners in helping the organization achieve its 
HRM goals. This includes establishing clear organization and service 
provider roles and responsibilities, identifying points of contact, and 
involving service providers in decision-making processes. This element 
also covers establishing labor-management partnerships that contribute to 
resolving employee issues and problems at the lowest possible level. 
Strength in this area contributes to the effectiveness and efficiency of the 
support being provided to the activity. 
  Establish a comprehensive servicing agreement to clearly set forth roles 
and responsibilities, service level expectations, and accountability, and 
to ensure that service meets program requirements. 
  Have HRM service provider representatives participate in the HRM 
decision process, such as by attending and providing advice at key 
meetings. 
  Have HRM service providers explain the options available to 
management, so managers can make informed decisions. 
  Form a partnership with labor organizations to identify and address 
issues of mutual concern. 
  Review the servicing agreement periodically to assess the extent to 
which it meets the requirements of all parties. 
  Survey managers, supervisors and employees periodically to assess 
satisfaction with support from HRM service providers. 
  Meet with key officials of labor organizations periodically to identify 
and address areas of mutual concern. 
Examples of servicing agreements and surveys are available from the 
Office of the DASN(CP/EEO). Activities should contact their HRO for 
advice on establishing labor-management partnerships with labor 
organizations. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 10 Overview 
Assessment Elements 
1. The organization skill mix; 
2. Availability and use of training; 
3. Availability and use of tools and support systems; 
4. Position structure and work processes; 
5. Support for employee safety, occupational and environmental health; 
6. Support for employee well-being, satisfaction and motivation; and 
7. Compensation and recognition programs. 
Organization Health deals with the ability and motivation of the workforce to perform 
the organizations mission, and the environment in which work is performed. The 
following assessment elements provide a framework for developing and assessing 
organization health. 
Area 2 - Organization Health 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 11 Organization Health 
1 
Description and A skill mix that has adequate breadth, depth and diversity enhances both 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
The organization skill mix 
short-term and long-term success. Long-term success for large 
organizations, with highly technical missions requires strong leadership 
from top management, supervisors and senior employees. A healthy work 
force typically includes expert workers, fully-skilled workers, and trainees 
who are in the process of developing their skills. Supervisors and 
managers need people skills to fulfill their line management 
responsibilities. Organizations with a highly integrated military and 
civilian staff will need to consider the impact of military rotation on the 
organization skill mix. 
  Implement a competency requirements review process to establish and 
document the technical, managerial, clerical and other skills, abilities 
and knowledge needed to perform the work of the organization. 
  Implement a competency review process to identify and document the 
strengths and weaknesses of the organizations current skill mix and 
develop plans to correct deficiencies. 
  Establish goals to correct competency gaps and set up procedures to 
measure, track and report on progress toward eliminating competency 
gaps within the organization. 
  Review organization demographic and trend information to identify 
potential problems (such as the impact of potential retirements on the 
ability of the organization to meet its mission) and action alternatives 
that support continuity of operations. 
  Review the organizations competency requirements documentation to 
periodically assess both currency and relevance. 
  Review the organizations actual competency levels periodically to 
assess the currency of documentation used to identify areas for 
improvement. 
  Review the process that tracks progress toward eliminating competency 
gaps to determine if actions taken in areas such as hiring and training 
are making desired improvements in the competency base. 
  Review supervisory and leadership competencies periodically to 
determine the extent to which employees in leadership positions 
possess up-to-date supervisory and leadership skills. 
HRM service providers can assist by identifying competency requirements 
and providing approaches to correcting deficiencies. General demographic 
information is also available on the DON HRM web site, at 
http://www.dasnhroc.navy.mil. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 12 Organization Health 
2 
Description and Training is an investment in the ability of the workforce to perform its 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Availability and use of training 
mission. Training broadens the skill base of the workforce so that it can 
perform a wider variety of functions and add depth to the skill base to 
ensure that mission-critical functions do not depend upon one or a few 
individuals. Training also expands individual competencies, enabling 
employees to obtain skills needed to advance to higher-level positions. 
  Establish a systematic review process to identify and document 
required employee competencies and to identify individual training 
requirements and options for employees. This should be developed 
with realistic expectations and should be consistent with overall 
mission requirements and funding. 
  Establish procedures to provide managers and supervisors the 
management and leadership skills needed to direct the work of the 
organization. 
  Ensure that managers and supervisors receive both basic supervisory 
training and regular updates to keep their skills and knowledge up-todate. 
  Establish organization training as an investment plan. 
  Create training plans to help employees acquire the skills and abilities 
needed to advance to higher level positions within the organization. 
Periodic review of the following: 
  organization training plans, to assess the level of implementation and 
relevance to mission accomplishment; 
  organization skill mix, to assess progress in correcting any current or 
potential deficiencies; and 
  skills of the organizations supervisors and other employees in 
leadership positions, to assess the extent to which they possess 
appropriate supervisory and leadership skills. 
HRM service providers can assist with employee development and training 
efforts. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 13 Organization Health 
3 
Description and Supervisors and employees need the right tools to work effectively. In an 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Availability and use of tools and support systems 
office environment these typically include communication systems, such as 
telephones; office equipment, such as copiers; computer hardware and 
software; and business information such as equipment inventory levels, 
office correspondence procedures, and technical libraries. In other work 
environments critical tools may include diagnostic equipment and 
information, along with equipment and implements, such as machine tools, 
calibration devices, and x-ray machines, needed to perform the work of the 
unit. Failure to provide the tools needed to do the job results in inefficient 
use of human resources. 
  Identify the tools required for efficient work performance. 
  Make sure that support systems are functioning properly and 
information systems are up-to-date. 
  Make sure that employees have a procedure for identifying problems 
and recommending improvements. 
  Periodically review the organization support system plans to assess 
their relevance and use. 
  Establish and track progress relative to metrics for support systems and 
information systems. 
  Periodically review identified problems to ensure that corrective actions 
are being taken. 
Senior, experienced employees can readily identify some of the tools, 
support systems and information systems needed to perform work. In 
other cases specialists in support systems, such as telephone systems or 
computer systems, may be able to identify efficient and effective ways to 
help people work more efficiently and effectively. Supervisors should 
have access to software that supports human resources processes and 
processing. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 14 Organization Health 
4 
Description and Job design, organization design, and management systems should focus on 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Position structure and work processes 
achieving high performance from employees at all levels. Ample 
opportunities should exist for individual initiative and self-directed 
responsibility in designing, managing and improving the organizations 
work processes. System design should address current and changing work 
requirements. Work processes should support the sharing of knowledge 
and skills across work functions, units and locations. The organizational 
design should support teamwork within the organization. 
  Implement a position management plan that results in an organization 
design that supports mission accomplishment and teamwork. 
  Create an organizational structure that allows for the rapid 
establishment of various work teams, problem-solving teams, 
functional units, and cross-functional teams that can be self-managed or 
managed by supervisors. 
  Design individual jobs in such a way as to encourage individual 
initiative and self-directed responsibility. 
  Implement an organizational design that minimizes dead-end 
positions and allows employees to acquire the skills and abilities 
needed to advance to higher level positions within the organization. 
  Accurately document work requirements in position descriptions, 
performance standards and related documents. 
  Create an organizational design that supports rapid response to changes 
in the requirements of the organization mission. 
  Periodically review position management plans to ensure their 
continued relevance to mission accomplishment. 
  Periodically review the organizations structure to assess its support for 
teamwork and accomplishment of the work of the organization. 
  Establish and track metrics for responsiveness to work requirements 
and identification of cases where response problems were due to 
organization structure or internal communication. 
  Periodically assess the organizations speed and effectiveness in 
identifying organizational problems and taking corrective action. 
HRM service providers can assist with position management and analysis 
of demographic and trend data. General demographic information is also 
available on the DON HRM web site, at http://www.dasnhroc.navy.mil. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 15 Organization Health 
5 
Description and The organization has an obligation to provide and maintain a safe and 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Support for employee safety, occupational and environmental health 
healthful work environment. Employee well-being factors such as health, 
safety, and ergonomics should be considered when workplace changes are 
made. Services, facilities, activities and opportunities that support the 
well-being, satisfaction and motivation of employees contribute to high 
performance. Regular assessment of employee well-being and satisfaction 
is essential for success in this area. Unsafe, unhealthy work environments 
result in poor productivity, low morale and considerable workers 
compensation and other expenses. 
  Establish a systematic review process to ensure that safety, 
environmental health, and ergonomic requirements are met. 
  Make sure managers and supervisors understand the safety and 
environmental health requirements of their work environment. 
  Create systems that allow all workers to report unsafe working 
conditions without fear of reprisal. 
  Have an external review periodically to assess how well safety, 
occupational health and environmental health requirements are met. 
  Establish and track metrics for absenteeism, grievances, workers 
compensation, and other relevant measures. 
  Periodically review identified problems to assess the extent to which 
corrective actions are being taken. 
  Survey employees periodically to assess their perceptions regarding the 
inability to identify problems without fear of reprisal. 
HRM service providers, particularly employee relations specialists, can 
assist with these efforts. Specific rules and regulations governing safety 
and occupational health should be available from the organization safety 
office, and outlined in command policy issuance. Occupational health and 
safety specialists within the chain of command should be able to provide 
additional support. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 16 Organization Health 
6 
Description and Ethical responsibilities include the core values of honor, courage and 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Support for employee well-being, satisfaction and motivation 
commitment, and extend to treating employees with trust, courtesy, dignity 
and respect. These basic responsibilities cannot be delegated. 
Implementation of processes that will help to ensure adherence to these 
requirements may be delegated to HRM or other service providers. This 
element also includes support for employees when personal and family 
problems impact employees and when adverse employment issues, such as 
reduction in force, affect employees either directly or indirectly. 
  Make sure that managers, supervisors and employees understand the 
Department of the Navy core values, and how those values relate to 
their organization and their work. 
  Establish a complaint system that is viewed as a tool for constructive 
change and that can be used without fear of retribution. 
  Establish an active employee suggestion program. 
  Make sure employees are aware of and have access to the Civilian 
Employee Assistance Program. 
  Identify desired employee services, facilities, and activities. Take 
action to address the issues considered most important. 
  Regularly assess employee satisfaction with working conditions. 
  Establish special programs to support employees when reduction in 
force, major reorganizations or other similar workplace stresses exist. 
  Periodically review and assess how well core values are understood and 
demonstrated by managers and employees. 
  Periodically review identified problems to assess the extent to which 
corrective actions are being taken. 
  Conduct periodic surveys to assess employee perceptions regarding their 
ability or inability to identify problems and whether or not they can use 
the Civilian Employee Assistance Program without fear of reprisal. 
HRM service providers, particularly employee relations and labor relations 
specialists, can assist with these efforts. Specific rules and regulations 
governing safety and occupational health should be available from the 
organization safety office or from policy issuance from organizations in the 
chain-of-command. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 17 Organization Health 
7 
Description and Compensation, awards and recognition systems for individuals and groups, 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Compensation and recognition programs 
including managers and supervisors at all levels, should reinforce the 
overall work systems, performance and learning objectives of the 
organization. Compensation and recognition refer to all aspects of pay and 
reward, including promotions and awards. This includes monetary and 
non-monetary, formal and informal, and individual and group 
compensation and recognition. 
  Establish guidelines that help managers and supervisors understand the 
flexibilities available to them in pay-setting and recognition 
alternatives. 
  Establish monetary recognition systems that link the size of the award 
with the value of the contribution. 
  Employ various non-monetary recognition approaches, such as time-off 
awards and honorary recognition, which complement monetary 
recognition. 
  Consider employee performance accomplishment and recognition in 
the promotion process. 
  Periodically review awards and recognition systems to ensure that the 
overall program links recognition with achievements. 
  Conduct employee focus groups or surveys periodically, to find out if 
awards provided to employees are meaningful and have motivational 
value. 
  Establish and track metrics for monetary awards, non-monetary awards, 
and other relevant measures. 
  Periodically review identified problems to ensure that corrective actions 
are being taken. 
HRM service providers can help identify program requirements and 
flexibility. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 18 Area 3  Equal Employment Opportunity 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 19 
Overview 
Equal Employment Opportunity (EEO) addresses the creation of a work environment 
that is free from discrimination on the basis of race, sex, and other factors. It also deals 
with freedom from sexual harassment. The following assessment elements provide a 
framework for developing and assessing equal employment opportunity programs. 
Assessment Elements 
1. Freedom from barriers to equal employment opportunity; 
2. Freedom from sexual harassment; and 
3. Effectiveness of the EEO complaint process. 
Equal Employment Opportunity 
1 
Description and Efforts to identify and eliminate internal barriers to equal employment 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Freedom from barriers to equal employment opportunity 
opportunity should be ongoing and effective. Activity recruitment, selection 
and training efforts should be consistent with the Affirmative Employment 
Plan (AEP). 
  Make sure employees at all levels are aware of the organizations 
affirmative employment goals and objectives. 
  Make clear to supervisors and managers how affirmative employment 
goals relate to individual staffing, training or other decisions. 
  Make sure a process exists to meet the applicable requirements of the 
Americans with Disabilities Act (ADA). This should include 
identifying and eliminating physical barriers for employees with 
disabilities. 
  Survey employees to determine how well the work environment 
achieves EEO program goals. 
  Review plans periodically to ensure consistency with workforce and 
community demographics. 
  Track goals for meeting the applicable requirements of the ADA. 
HRM service providers, particularly the HRO, can help develop and 
implement EEO programs. General information on the ADA is also 
available on the Department of Justice web site, at 
http://www.usdoj.gov/crt/ada/adahom1.htm. Another good web site is at 
http://knox-www.army.mil/center/eeo/index.htm. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 20 Equal Employment Opportunity 
2 
Description and Employees at all levels should be able to work in an environment free from 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Freedom from sexual harassment 
sexual harassment. Employees need to feel that they can identify problems 
without fear of reprisal and that problems will be dealt with promptly and 
fairly. 
  Post and distribute to employees the official policy on prevention of 
sexual harassment. 
  Make sure that managers understand and carry out responsibilities in 
their departments. 
  Make available to all employees a clear process for quick and effective 
identification and resolution of EEO problems. 
Conduct surveys periodically to assess: 
  progress toward creating a work environment free from sexual 
harassment; 
  how well official policy on prevention of sexual harassment is known to 
all employees; and 
  employee perceptions regarding their ability to identify problems without 
fear of reprisal. 
HRM service providers, particularly the HRO, can provide advice and 
guidance in this area. A particularly good web site for information on this 
topic is at: 
http://knox-www.army.mil/center/eeo/prevention.htm 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 21 Equal Employment Opportunity 
3 
Description and Employees at all levels should be able to work in an environment free from 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Effectiveness of the EEO complaint process 
discrimination. Employees need to feel that they can identify problems 
without fear of reprisal and that problems will be dealt with promptly and 
fairly. Activity management should clearly support the constructive use of 
the complaints process. 
  Post and distribute to employees the official policy on equal employment 
opportunity. 
  Make sure managers are aware of and carry out their responsibilities with 
respect to the complaint process. 
  Make available to all employees a clear process for identifying and 
resolving problems quickly and effectively. 
Conduct surveys periodically to assess: 
  progress toward creating a work environment which supports equal 
employment opportunity; 
  how well official policy on equal employment opportunity is known to 
all employees; and 
  employee perceptions regarding the ability to identify problems without 
fear of reprisal. 
HRM service providers, particularly the HRO, can provide advice and 
guidance in this area. A particularly good web site for information on this 
topic is at: 
http://knox-www.army.mil/center/eeo/complaints.htm 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 22 Overview 
Area 4 - Accountability and Responsibility 
This section addresses how the organization deals with issues of Accountability and 
Responsibility, including how the organization makes public policy, ethical requirements and 
risk factors a part of its management responsibility. Topics include adhering to the Merit System 
Principles (see Appendix C on page 45 of this guide for more background), preventing Prohibited 
Personnel Practices (see Appendix D on page 46 of this guide for more background), and 
ensuring compliance with public law, regulation, and human resources management policies of 
higher level organizations. The following assessment elements provide a framework for 
developing and assessing systems for accountability and responsibility. 
Assessment Elements 
1. Knowledge of the Merit System Principles; 
2. Legal and regulatory compliance systems; 
3. Delineation of work responsibility and authority; and 
4. Systems that document results and measure success. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 23 
Accountability and Responsibility 
1 
Description and Line management is responsible for ensuring adherence to the Merit 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Knowledge of the Merit System Principles 
System Principles. This basic responsibility cannot be delegated. This 
assessment element addresses the extent to which managers and 
supervisors are aware of the Merit System Principles, their basis in law, 
and how they apply to HRM. Managers and supervisors should also be 
aware of the Prohibited Personnel Practices. Employees should have a 
basic understanding of the safeguards provided to them by the Merit 
System Principles and through the prevention of Prohibited Personnel 
Practices. Appendix C on page 45 of this guide provides more background 
on the Merit System Principles. Appendix D on page 46 provides more 
background on the Prohibited Personnel Practices. 
  Discuss the Merit System Principles and the Prohibited Personnel 
Practices in new employee orientation programs and in new 
supervisor training programs. 
  Disseminate information about Merit System Principles and Prohibited 
Personnel Practices to employees through electronic bulletin board 
systems, intranet systems and similar methods. 
  Include information about Merit System Principles and Prohibited 
Personnel Practices as part of ethics training. 
  Periodically review the method by which employees are informed about 
Merit System Principles to ensure that they have appropriate access and 
that information is reaching them. 
  Survey managers, supervisors and employees to assess their awareness 
of the Merit System Principles. 
  Periodically review identified problems to ensure that corrective actions 
are being taken. 
  Survey employees periodically to assess perceptions regarding their 
ability to identify problems without fear of reprisal. 
HRM service providers can provide advice and support in meeting these 
requirements. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 24 Accountability and Responsibility 
2 
Description and Line management is responsible for ensuring adherence to the laws, 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Legal and regulatory compliance systems 
regulations, and policies applicable to HRM. This includes Merit System 
Principles and various other laws, regulations and policies. 
Implementation of processes that will help to ensure adherence to these 
requirements can, in some cases, be delegated to HRM service providers. 
  The activity head should issue a policy statement that articulates clear 
support for the Merit System Principles. 
  Ensure that efforts to support equal employment opportunity and 
achieve workplace diversity are aligned with the requirements of 
applicable laws, regulations and agency policies. 
  Implement HRM processes that will result in actions that comply with 
legal, regulatory and policy requirements. 
  Implement programs that effectively and efficiently support both 
employee rights and cost management within the Federal Employees 
Compensation Act (FECA) Program. 
  Develop and implement metrics to assess how well the legal, regulatory 
and agency policy requirements are being followed. 
  Provide employees with access to a process such as an Inspector 
General review that allows them to identify problems associated with 
legal, regulatory and policy requirements without fear of reprisal. 
  Have external reviews periodically to assess the effectiveness of 
metrics and processes that support self-assessment of adherence to the 
Merit System Principles. 
  Survey the organizations employees periodically to identify areas of 
strength and areas for improvement associated with Merit System 
Principles. 
  Review FECA program activity and cost trends periodically. 
  Review identified problems and program results periodically to ensure 
that corrective actions are being taken. 
  Conduct periodic surveys to assess employee perceptions regarding their 
ability to identify problems without fear of reprisal. 
HRM service providers can provide advice and support in meeting these 
requirements. HRM service providers should be expected to establish and 
implement quality assurance practices for any delegated processes that 
are closely tied to the Merit System Principles. Appendix B provides a 
minimum set of requirements for review. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 25 Accountability and Responsibility 
3 
Description and Line management is responsible for ensuring that managers, supervisors 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Delineation of work responsibility and authority 
and employees clearly understand who is responsible for performing work 
and who has the authority to direct its accomplishment. This includes such 
responsibilities as ensuring that pay problems are resolved promptly and 
that overtime and leave administration are administered fairly. 
  Issue instructions that clearly articulate employee and supervisory roles 
and responsibilities associated with pay, hours of duty, overtime and 
leave administration. 
  Establish procedures for quick and accurate resolution of pay problems. 
  Establish and implement procedures for fair administration of 
attendance and compensation program requirements. 
  Establish and implement plans to monitor compliance with the 
requirements for these functions. 
  Establish and maintain position descriptions that completely and 
accurately reflect responsibilities and authority for work 
accomplishment. 
  Give employees access to a process for identifying potential violations 
of requirements without fear of reprisal. This could be an Inspector 
General review or some other process. 
  Identify and assess key metrics associated with the most significant 
requirements of work assignment and pay and leave administration. 
  Have periodic external reviews of metrics and self-assessment 
processes to ensure their appropriateness and effectiveness. 
  Periodically review identified problems to ensure that corrective actions 
are being taken. 
HRM and other service providers can provide advice and support for 
meeting these requirements. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 26 Accountability and Responsibility 
4 
Description and Systematic measurement, assessment and documentation of results provide 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Systems that document results and measure success 
clear evidence of the level of adherence to Merit System Principles and 
compliance with applicable laws, regulations and policies. This includes 
documentation that an external review organization can use to validate the 
results of an organizations self-assessment. 
  Issue local instructions that clearly articulate roles and responsibilities 
associated with taking and documenting HRM actions. 
  Establish and implement plans to monitor compliance with the 
requirements for these functions. 
  Identify and assess key metrics associated with the most significant 
requirements for measurement and documentation. 
  Conduct periodic external reviews of metrics and self-assessment 
processes to ensure their appropriateness and effectiveness 
  Periodically review problems identified to ensure that corrective actions 
are being taken. 
HRM and other service providers can provide advice and support for 
meeting these requirements. Service providers should be expected to 
establish and implement quality assurance practices and perform 
required documentation for any delegated functions. Appendix B includes 
documentation requirements for the HRM compliance issues that it 
addresses. Additional assessment guidance is contained in the criteria for 
the Malcolm Baldrige Award/Presidents Quality Award (PQA). A web 
site for the PQA is at http://www.opm.gov/quality/index.htm. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 27 Area 5  Human Resources Management Results 
Overview 
Human Resources Management Results addresses the extent to which the organization has 
been successful in achieving HRM goals and objectives. The following assessment elements 
provide a framework for assessing HRM results. 
Assessment Elements 
1. Organization health results; 
2. Equal Employment Opportunity results; 
3. Adherence to the Merit System Principles and other legal, regulatory and policy 
requirements; and 
4. Supplier and partner results 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 28 Human Resources Management Results 
1 
Description and This assessment element addresses the organizations results relating to 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Organization health results 
organization health, including employee well being, satisfaction, 
development, work system performance and effectiveness. Results may 
include generic factors, such as safety, absenteeism, turnover, and 
employee satisfaction. Results also may include measures created by the 
organization to track progress. The main emphasis should be on measures 
of effectiveness, but input data, such as the extent of training, might be 
included. This element calls for comparative data so that results can be 
evaluated meaningfully against the performance of other similar 
organizations or against other relevant external measures of performance. 
  Identify and document current levels and trends in key measures and/or 
indicators of organization health over time. 
  Identify and document current levels and trends in key measures and/or 
indicators of organization health relative to other similar organizations 
or relative to other external comparisons. 
  Identify and document progress in achieving system improvements in 
areas that affect organization health. 
Assess the following: 
  current performance; 
  performance trends over time; 
  performance relative to external comparisons; and 
  relevance of results measured. 
HRM and other service providers can provide advice and support in 
meeting these requirements. Additional assessment guidance is contained 
in the criteria for the Malcolm Baldrige Award/Presidents Quality Award 
(PQA). A web site for the PQA is at: 
http://www.opm.gov/quality/index.htm. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 29 Human Resources Management Results 
2 
Description and This assessment element addresses the organizations results relating to 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Equal Employment Opportunity results 
equal employment opportunity, including freedom from prohibited 
discrimination, freedom from sexual harassment in the workplace, 
achievement of affirmative employment goals, and achievement of 
complaint process goals. Results also may include measures created by the 
organization to track progress. The main emphasis should be on measures 
of effectiveness. This element calls for comparative data so that results 
can be evaluated meaningfully against the performance of other similar 
organizations, or other relevant external measures of performance. 
  Identify and document current levels and trends in key measures and/or 
indicators of equal employment opportunity over time. 
  Identify and document current levels and trends in key measures and/or 
indicators of equal employment opportunity relative to other similar 
organizations or relative to other external comparisons. 
  Identify and document progress in achieving system improvements in 
areas that affect equal employment opportunity. 
Assess the following: 
  current performance; 
  performance trends over time; 
  performance relative to external comparisons; and 
  relevance of results measured. 
HRM and other service providers can provide advice and support in 
meeting these requirements. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 30 Human Resources Management Results 
3 
Adherence to the Merit System Principles and other legal, regulatory 
and policy requirements 
Description and This assessment element addresses the organizations results relating to 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
support of Merit System Principles and other legal and regulatory goals. 
The main emphasis should be on measures of effectiveness. This includes 
organization results relating to meeting goals associated with the FECA 
program. Results might include input data, but the main emphasis should 
be on measures of effectiveness. This element calls for comparative data 
so that results can be evaluated meaningfully against the performance of 
other similar organizations, or against other relevant external measures of 
performance. 
  Identify and document current levels and trends in key measures and/or 
indicators of success in compliance with legal and regulatory 
requirements, measured over time. 
  Identify and document current levels and trends in key measures and/or 
indicators of adherence to the Merit System Principles, and other legal 
and regulatory requirements, relative to other similar organizations or 
relative to other external comparisons. 
  Identify and document progress in achieving system improvements in 
areas that affect adherence to legal and regulatory requirements. 
Assess the following: 
  current performance; 
  performance trends over time; 
  performance relative to external comparisons; and 
  relevance of results measured. 
HRM service providers can provide advice and support in documenting 
these results. HRM service providers should be expected to establish and 
implement quality assurance practices for any delegated processes that 
are closely tied to the Merit System Principles. Appendix B provides a 
minimum set of requirements for review. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 31 Human Resources Management Results 
4 
Description and This assessment element addresses organization results relating to supplier 
desired 
outcomes: 
Examples of 
implementation 
methods: 
Examples of 
assessment 
methods: 
Available 
support: 
Supplier and partner results 
and partner relationships, including partnership with HRM service 
providers and labor organizations. Results may include adequacy of 
products and services, costs and/or performance improvements attributed 
to supplier and partner performance, as appropriate. The main emphasis 
should be on measures of effectiveness. This element calls for 
comparative data so that results can be evaluated meaningfully against the 
performance of other similar organizations or against other relevant 
external measures of performance. 
  Identify and document current levels and trends in key measures and/or 
indicators of supplier and partner results over time. 
  Identify and document current levels and trends in key measures and/or 
indicators of supplier and partner results relative to other similar 
organizations, or relative to other external comparisons. 
  Identify and document progress in achieving system improvements in 
areas that affect supplier and partner results. 
Assess the following: 
  current performance; 
  performance trends over time; 
  performance relative to external comparisons; and 
  relevance of results measured. 
HRM and other service providers can provide advice and support in 
meeting these requirements. Service providers should be expected to 
establish and implement quality assurance practices for any delegated 
functions. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 32 Appendix A  Assessment Criteria 
  Accountability - Responsibility 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 33 
Overview 
The assessment process has three basic steps: 
1. The activity conducts a self-assessment. 
2. An external review process validates the activity self-assessment. 
3. Line managers and activity heads take action based upon the results of both the selfassessment 
and the external validation. 
This appendix provides a method for conducting either an activity self-assessment or an external 
review and validation of an activity self-assessment. This method is based upon application of 
the evaluation criteria used by the Malcolm Baldrige and Presidents Quality Award programs to: 
  Communication   Organization Health 
  Equal Employment Opportunity 
  Human Resources Management Results 
The first four areas are assessed using the criteria for Assessing Approach and Deployment on 
page 34. The criteria provided for Assessing Human Resources Management Results, on page 
35, are used to assess the fifth area. 
Approach refers to the methods used to achieve the HRM objectives associated with each 
assessment area. Deployment refers to the extent to which the approach is applied. To evaluate 
areas that focus on approach and deployment, consider: 
  The appropriateness and effectiveness of the methods used 
  The degree to which the approach: 
 is systematic, integrated and consistently applied 
 embodies evaluation/improvement/learning cycles 
 is based on reliable data and information 
  Evidence of innovation and/or significant and effective adaptation of approaches used in 
other areas of operation 
  The use of the approach in fully addressing the area for assessment 
  The use of the approach by all appropriate work units in the business unit 
Results are outcomes that achieve the purpose(s) identified for each area for assessment. The 
factors used to evaluate results include: 
  current performance; 
  performance relative to appropriate comparisons and/or benchmarks; 
  rate, breadth, and importance of performance improvements; and 
  demonstration of sustained improvement and/or sustained high-level performance. 
  Organization Health 
  Accountability - Responsibility 
Assessing approach and deployment 
The following table can be used to assign a rating to each of the first four areas for assessment: 
  Communication 
  Equal Employment Opportunity 
APPROACH/DEPLOYMENT SCORE 
0% 
  No systematic approach evident; anecdotal information 
  Beginning of a systematic approach to the primary purposes of the item 10% 
to 
30% 
  Early stages of a transition from reacting to problems to a general 
improvement orientation 
  Major gaps exist in deployment that would inhibit progress in achieving 
the primary purposes of the item 
40% 
to 
60% 
  A sound, systematic approach, responsive to the primary purposes of the 
item 
  A fact-based improvement process in place in key areas; more emphasis 
is placed on improvement than on reaction to problems 
  No major gaps in deployment, though some areas or work units may be 
in very early stages of deployment 
  A sound, systematic approach, responsive to the overall purposes of the 
item 
70% 
to 
90%   A fact-based improvement process is a key management tool; clear 
evidence of refinement and improved integration as a result of 
improvement cycles and analysis 
  Approach is well deployed, with no major gaps; deployment may vary in 
some areas or work units 
100% 
  A sound, systematic approach, fully responsive to all the requirements of 
the item 
  A very strong, fact-based improvement process is a key management 
tool; strong refinement and integration backed by excellent analysis 
  Approach is fully deployed, without any significant weaknesses or gaps 
in any areas or work units 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 34 Assessing human resources management results 
The following table can be used to rate human resources management results: 
SCORE 
0% 
10% 
to 
30% 
40% 
to 
60% 
70% 
to 
90% 
100% 
RESULTS 
  No results or poor results in areas reported 
  Early stages of developing trends; some improvements and/or early good 
performance levels in a few areas 
  Results not reported for many to most areas of importance to key 
performance requirements 
  Improvement trends and/or good performance levels reported for many 
to most areas of importance to the key performance requirements 
  No pattern of adverse trends and/or poor performance levels in areas of 
importance to the key performance requirements 
  Some trends and/or current performance levels evaluated against 
relevant comparisons and/or benchmarks show areas of strength and/or 
good to very good relative performance levels 
  Current performance is good to excellent in most areas of importance to 
the key performance requirements 
  Most improvement trends and/or performance levels are sustained 
  Many to most trends and/or current performance levels evaluated against 
relevant comparisons and/or benchmarks show areas of leadership and 
very good relative performance levels 
  Current performance is excellent in most areas of importance to the key 
performance requirements 
  Excellent improvement trends and/or sustained excellent performance 
levels in most areas 
  Strong evidence of industry and benchmark leadership demonstrated in 
many areas 
Assessment worksheet 
The worksheet on the next page can be used or adapted to document assessment results. 
Additional comments can be attached on plain paper if the space provided is not adequate. Best 
practices are those which should be considered for broader deployment. Systemic problems are 
external policy or program requirements that are causing problems in the management of human 
resources. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 35 Activity Name: 
Area 1  Communication 
Strengths: 
Areas for improvement: 
Area 2  Organization Health 
Strengths: 
Areas for improvement: 
Area 3  Equal Employment Opportunity 
Strengths: 
Areas for improvement: 
Area 4  Accountability  Responsibility 
Strengths: 
Areas for improvement: 
Area 5  Human Resources Management Results 
Strengths: 
Areas for improvement: 
Best Practices: 
Systemic Problems: 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 36 
Date: 
Rating: 
Rating: 
Rating: 
Rating: 
Rating: Overview 
Program Areas 
Appendix B - Personnel Program Review Areas 
The legal and regulatory compliance areas listed in this appendix are the minimum requirements 
for compliance assessment. Included are requirements and entitlements, along with examples of 
practices and procedures that demonstrate support of these requirements. The requirements 
outlined in this Appendix apply to assessment of several areas. They are particularly applicable 
to Equal Employment Opportunity, Accountability - Responsibility, and the sections of Human 
Resources Management Results that apply to those areas. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 37 
1. Compensation; 
2. Employee Relations; 
3. Equal Employment Opportunity; 
4. Labor Relations; 
5. Position Classification; 
6. Staffing; and 
7. Training and Employee Development 
Personnel Program Review Area 
Provide equal pay for equal work and reward excellent performance. 
Requirements and Entitlements 
1. Pay is set in accordance with legal 
1 
Key Merit Principle: 
2. Premium pay is paid in accordance with 
legal requirements. REF: 5 USC 5541, 
etc.; 5 USC 5341, etc.; CFR 551, Etc.; CPI 
550 
3. Recruitment, retention and relocation pay 
are documented when they are used. REF: 
5 USC 5753; 5 USC 5754; CFR 575.104 
Management achieves recruitment and 
retention goals. Documentation provides an 
audit trail that reflects the decision process. 
Decisions are fair and equitable. 
4. Policies regarding the approval of overtime, Premium pay is paid correctly and costs are 
5. Policies are established for Federal 
Employees Compensation Management 
(FECA) administration case management 
to support appropriate employee coverage 
and minimize program costs. REF: 20 
CFR, Part 10 
Compensation 
requirements, taking into consideration 
available options. REF: 5 USC 5331, etc.; 
5 USC 5341, etc.; CPI 531.2; CPI 536 
and authorization of other forms of 
premium pay, must be established and 
available to managers, supervisors and 
employees. REF: CFR 550.111; CPI 550 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 38 
Results of Good Practice and Procedure 
Employees are paid correctly. Managers and 
supervisors are aware of the alternatives 
available to them, and ensure that their 
decisions are implemented. 
Managers and supervisors ensure that their 
decisions are implemented. They know how 
the overtime pay requirements of the Fair 
Labor Standards Act differ from the 
requirements for overtime pay under Title 5 
USC. 
minimized. Decisions are fair and equitable. 
Employees receive benefits that they are 
entitled to receive. Program costs are 
minimized. Managers and supervisors know 
employee entitlements. Programs are 
coordinated with safety and occupational 
health programs. Systems are in place to 
identify and eliminate program abuses. Personnel Program Review Area 
Employee Relations 
  Maintain high standards of integrity, conduct, and concern for the 
public interest. 
  Manage employees efficiently and effectively. 
  Retain or separate employees on the basis of their performance. 
  Provide equal pay for equal work and reward excellent 
performance. 
Results of Good Practice and Procedure 
Employees receive frequent, informal feedback 
about performance expectations and how well 
they are being met. 
Award amounts are in proportion to the value 
of the accomplishment or contribution. 
Documentation provides an audit trail. 
and documentation requirements. REF: 5 
CFR 451.103; 5 USC 4502; 
SECNAVINST 12451.3 
2 
Key Merit Principles: 
Requirements and Entitlements 
1. Every employee must receive an annual 
performance appraisal. REF: 5 USC 4302; 
5 CFR 430.206; SECNAVINST 12430.4 
2. Awards are in compliance with monetary 
3. Disciplinary and adverse actions are in Disciplinary action is reasonable and 
compliance with established guidelines and consistent. Documentation provides an audit 
requirements. Actions are documented. trail. 
REF: 5 USC 7502, 7512; 5 CFR 752; CPI 
752 
Employees are informed of opportunities to 
change insurance coverage, and know how to 
use the Civilian Employee Assistance Program. 
Employees pay the proper amount for the 
4. Benefits programs, such as health 
insurance, life insurance, and the Civilian 
Employee Assistance Program are 
administered in accordance with program 
requirements. REF: 5 CFR 870, 890, 792; insurance coverage they select. 
OCPMINST 12870.1A; OCPMINST 
12890.1A; CPI 792 
Prior to retirement employees receive 
information and counseling on entitlements 
(such as the amount of their pension) as well as 
issues associated with the transition to 
retirement. 
5. Retirement actions must be processed in a 
timely manner. Employee eligibility for 
retirement must be confirmed prior to 
processing a retirement action. REF: 5 
USC 8333, 8411; 5 CFR 831, 841, 842; 
CPI 831 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 39 Personnel Program Review Area 
3 
Key Merit Principle: 
Requirements and Entitlements 
1. Managers and supervisors have EEO 
critical elements in their performance 
plans. REF: DOD 1400.25M, Subchapter 
430 
2. All employees receive sexual harassment 
training annually. REF: SECNAV 
5600.26C 
3. Recruitment, training, discipline and 
selection efforts are free from illegal 
discrimination. REF: 29 CFR 1614.101 
4. Procedures for timely resolution of EEO 
complaints, including sexual harassment, 
have been established. REF: 29 CFR 
1614.104 
5. Policies and practices that have become 
institutional barriers to equal employment 
opportunity have been eliminated. REF: 
SECNAVINST 12720.5 
6. Supervisors and managers have annual 
Equal Employment Opportunity 
Treat employees and applicants fairly and equitably, without regard to 
political affiliation, race, color, religion, national origin, sex, sexual 
orientation, marital status, age, or handicapping condition. 
Results of Good Practice and Procedure 
training in EEO. REF: CPI 720.1 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 40 
Performance expectations take into account the 
size of the work unit and the affirmative 
employment goals of the organization. 
A system is in place to emphasize individual 
accountability and to incorporate a reprisal-free 
environment for the prompt resolution of 
complaints and provision of feedback to the 
parties involved. 
Systems are in place to monitor policies and 
procedures that have an adverse impact on 
protected classes and to monitor trends. 
Procedures are posted. Employees are aware 
of procedures for resolution of disputes. 
Surveys indicate that employees believe the 
complaint process is fair. 
Affirmative employment plans are in place to 
address areas of under-representation and 
employment and structural barriers. 
Training addresses barriers, results of 
employee surveys, and best practices for full 
integration and utilization of minorities, 
women, and persons with disabilities. Personnel Program Review Area 
4 
Key Merit Principles: 
Requirements and Entitlements 
1. Official time used by union representatives 
must be recorded. REF: CPI 711 
2. Activities with collective bargaining 
3. Activities with unions must develop a local 
job action contingency plan. REF: 
SECNAVINST 12711.1 
4. Activities with collective bargaining 
Labor Relations 
  Maintain high standards of integrity, conduct, and concern for the 
public interest. 
  Manage employees efficiently and effectively. 
Results of Good Practice and Procedure 
agreements must train supervisors on the 
provisions of the collective bargaining 
agreements. REF: CPI 711 
agreements must inform employees 
annually of their Weingarten Rights (rights 
to union representation in certain 
situations). REF: 5 USC 7114(a)(3) 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 41 
Use of time is analyzed on a regular basis. 
When appropriate, training for union and 
management officials is conducted jointly. 
New supervisors are trained in the provisions 
of the union contract. All supervisors 
understand the requirements of the contract. 
The plan is reviewed periodically and updated 
when needed. 
All employees receive prompt notification. 
Methods used are appropriate to the work 
environment. Personnel Program Review Area 
Position Classification 
Provide equal pay for equal work and reward excellent performance. 
Results of Good Practice and Procedure 
USC 5107 
OCPMINST 12511, CH4, 6/88 
5 
Key Merit Principle: 
Requirements and Entitlements 
1. Every employee has an accurate position 
description. REF: OPM Classifiers 
Handbook, 12/97; Introduction to the 
Position Classification Standards, OPM, 
12/97 
2. Supervisors annually verify the currency 
and accuracy of position descriptions. 
REF: SECNAVINST 12510.9, 8/86; 
OCPMINST 12511.1, CH4, 6/88 
3. Positions are classified in accordance with 
published classification standards. REF: 5 
4. Each employee is entitled to a copy of his 
or her position description. REF: FOIA 
5. Employees have the right to grieve the Grievance and appeal procedures are made 
accuracy of their position description and to available to employees. Advice and assistance 
appeal the classification of their positions. 
REF: CFR 511.606; CFR 511.603; 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 42 
Procedures are established to ensure that 
position descriptions are accurate and are 
updated promptly when significant changes 
occur in work assignments. 
Annual certification is accomplished and 
documented as a part of the performance 
appraisal process. 
Employees who classify positions are trained 
how to apply classification standards. A 
process is in place for reviewing position 
classification periodically to maintain accuracy. 
Classification decisions are documented when 
the classification is not obvious from the 
position description. 
Procedures are implemented to provide 
employees with a copy of their position 
description when they begin a new job and 
whenever changes are made. 
are available to employees regarding the basis 
for the current classification determination and 
the process they need to follow if they wish to 
grieve or appeal. Personnel Program Review Area 
6 
Key Merit Principle: 
Requirements and Entitlements 
1. Recruitment and promotion processes are 
based on merit after fair and open 
competition. REF: 5 USC 2301, 
2302,3362,4302; 5 CFR 300.101-4, 
2. Veterans Preference is used in accordance 
with legal requirements. REF: 5 USC 
1302, 3309-3318; 5 CFR 211; PL 104- 
201,Section 1615 
3. Priority Placement Program requirements Employees who are facing separation are 
are followed and management actions registered as quickly as possible. Ongoing 
demonstrate program support. REF: DOD support is provided to ensure that registration 
Priority Placement Program Operations is consistent with changing circumstances. 
Manual Management supports use of the program to fill 
positions. 
4. Appointing authorities are correct. REF: 
OPM Operating Manual, The Guide to 
5. Reduction-in-Force (RIF) actions comply Efforts are made to minimize the need for RIF 
with legal and regulatory requirements, and and the impact of RIF. RIF actions, including 
establishment of competitive levels, are well 
documented. 
Staffing 
Recruit qualified individuals from all segments of society and select 
and advance employees on the basis of merit after fair and open 
competition. 
300.201; CPI 335 
Results of Good Practice and Procedure 
Published policies support merit based hiring 
and promotion. Published procedures provide 
employees with a reasonable opportunity to 
find out about and apply for job opportunities. 
Noncompetitive actions are exceptions to 
established competitive procedures. 
Procedures are established to ensure that 
veterans receive appropriate preference in 
staffing actions. Selecting officials are 
informed of their obligations with respect to 
the hiring of veterans. 
Processing Personnel Actions 
Procedures should be established in the unit 
that performs appointment processing to ensure 
that this is done correctly. This is more than a 
mundane technicality because errors can have a 
long term effect on employee benefits. 
are properly documented. REF: 5 USC 
1302, 3502, 3503; 5 CFR 351, 
SECNAVINST 12351.5E; CPI 351.S 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 43 Personnel Program Review Area 
Training and Employee Development 
Educate and train employees when it will result in better 
organizational or individual performance. 
Results of Good Practice and Procedure 
The Activity Training Plan is tied to the 
organizations strategic plan and business plan. 
A systematic training needs assessment process 
is in place. 
CFR 412 
7 
Key Merit Principle: 
Requirements and Entitlements 
1. Training is related to the work of the 
organization. REF: 5 USC 41; 5 CFR 410, 
PL 103-62 (1993) GPRA; CPI 410 
2. There is a periodic training needs 
assessment. REF: 5 USC 4103; Executive 
Order 11348.303; CPI 410 
3. Training plans are established where Individual Development Plans and similar 
required. REF: 5 CFR 410.203; CPI 410; 5 documents are prepared and used as training 
planning tools. 
4. Mandatory training requirements, such as All required training is provided. 
training for new supervisors, are met. REF: 
5 CFR 930.301-305; 5 CFR 2638.703(b), 5 
CFR 412 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 44 Appendix C - Merit System Principles 
The Merit System Principles listed below are adapted from the statutory language that 
appears in Section 2301 of Title 5, United States Code. 
  Recruit qualified individuals from all segments of society and select and advance employees 
on the basis of merit after fair and open competition. 
  Treat employees and applicants fairly and equitably, without regard to political affiliation, 
race, color, religion, national origin, sex, sexual orientation, marital status, age, or 
handicapping condition. 
  Provide equal pay for equal work and reward excellent performance. 
  Maintain high standards of integrity, conduct, and concern for the public interest. 
  Manage employees efficiently and effectively. 
  Retain or separate employees on the basis of their performance. 
  Educate and train employees when it will result in better organizational or individual 
performance. 
  Protect employees from improper political influence. 
  Protect employees against reprisal for the lawful disclosure of information in "whistleblower" 
situations (i.e., protecting people who report things like illegal and/or wasteful activities). 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 45 Appendix D - Prohibited Personnel Practices 
The prohibited personnel practices listed below are adapted from the statutory language 
that appears in Section 2302 of Title 5, United States Code. Any employee who has 
authority to take, direct others to take, recommend, or approve any personnel action, shall 
not, with respect to such authority: 
  Discriminate on the basis of race, color, religion, sex, national origin, age, handicapping 
condition, marital status, or political affiliation. 
  Solicit or consider any personnel recommendation or statement not based on personal 
knowledge or records of performance, ability, aptitude, general qualifications, character, 
loyalty, or suitability. 
  Coerce an employee's political activity. 
  Deceive or obstruct any person with respect to such person's right to compete for 
employment. 
  Influence a person to withdraw from competition. 
  Grant any preference or advantage not authorized by law, regulation, or rule. 
  Employ or promote a relative. 
  Retaliate against employees or applicants who exercise their appeal rights, testify or 
cooperate with an inspector general or the Special Counsel, or refuse to break a law. 
  Discriminate based on actions not adversely affecting performance, or 
  Violate any law, rule, or regulation implementing or directly concerning the merit principles. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 46 Overview 
Methodology 
Implementation 
Appendix E  A Simplified Approach to Assessment 
The comprehensive assessment system detailed in this guide is a useful tool for large activities, 
but it is overly complex for the many Department of the Navy activities with smaller numbers of 
civilian employees. About 950 of the 1,200 activities with civilian employees have fewer than 
100 civilians. 
The assessment tool provided in this appendix is designed for small activities. It also can be used 
as a diagnostic tool for organizations within large activities. It provides a user-friendly method 
for identifying areas of strength and areas where improvement is needed. 
The five pages at the end of this Appendix are the Department of the Navy self-assessment tool 
for assessing human resources management in small organizations. Page numbers have been 
omitted to make it easier to copy and use the document as a stand-alone tool. 
The first page provides an overview for the organization using the tool. The second page 
identifies 20 areas for assessment of human resources management, including both personnel and 
equal employment opportunity. Copies of this page can be used to gather data from employees 
and to aggregate the results of the data collection. The third and fourth pages provide tables to 
summarize the results and identify key action items. The fifth page provides a summary of the 
Merit System Principles and the Prohibited Personnel Practices to help employees answer 
questions associated with them. 
The following steps are recommendations that can be adapted as needed in organizations that use 
the second page of the guide as a questionnaire. 
1. Send out a notice that you will be gathering data. An example, on the next page of this guide, 
highlights key points for this step of the process. 
2. Copy the questionnaire page on colored paper to make it easy to identify. Copy the page with 
the Merit System Principles on the back of the questionnaire page. 
3. Provide a very short time frame for response (typically 2 to 3 days). 
4. Send out a note thanking respondents, and let them know you appreciate their input. 
5. Establish a team to review the data and identify areas of strength and areas where 
improvement is needed. 
6. Develop goals and implement an action plan to address the results. 
7. Repeat this process periodically to measure progress. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 47 Sample implementation letter 
The following sample can be adapted to meet local needs. Items in [brackets] require local 
adaptation. Gathering results can be done through methods other than a collection box, as long 
as confidentiality can be assured. Sharing aggregate results and taking action to improve in areas 
where improvement is needed are important steps in this process. 
From: Commanding Officer 
To: All employees 
Subj: Assessing Human Resources Management 
A few days from now I will be distributing a simple questionnaire to each employee in [this 
activity]. The purpose of this questionnaire is to gather information about where our own human 
resources management is strong and where we need to make efforts to improve. Please take a 
moment to fill out the questionnaire and place it in the box marked Personnel Self-Assessment 
Surveys located [location of box] no later than [a date in the near future]. 
My commitment to you with respect to this process is: 
  All questionnaires will remain confidential. No individual will be identified. 
  The aggregate results of your responses will be made available to all employees. 
  Our [management team/assessment team] will use the results to identify areas where we are 
strong and areas where we need to improve. 
  Steps will be taken to gain a better understanding of the issues associated with areas where 
improvement is needed and appropriate action will be taken in those areas. 
Thank you for taking the time to support this effort. 
Department of the Navy 
Self-Assessment Guide for Line Management - Page 48 Human Resources Assessment 
Made Simple 
1 This assessment tool provides a simple to use method for 
Whats this all about? 
identifying areas of strength and areas where improvement is 
needed. The detailed assessment guide available from the 
Departments human resources management web site can be 
used for guidance when areas for improvement are identified. 
2 The following page targets 20 areas for assessment. Each is 
What do I need to do? 
assessed using a simple, 5-point scale. Depending on the size 
of the activity, the questions may be used as a questionnaire or 
serve as focus group discussion points. The next 2 pages 
provide tables to summarize the results and identify key action 
items. In some activities the comparison of employee, 
supervisor and manager opinions may be useful. 
3 There is no passing score for this assessment process. The 
How do we know how well were doing? 
best way to use this information is to take action on areas for 
improvement, gather data at a later date, and assess progress 
over time. Retaining the results of this process provides 
documentation of HRM self-assessment for validation of selfassessment 
efforts by higher level organizations. 
Where do I go for assistance? 
Human Resources service providers, including your Human Resources 
Office and your Human Resources Service Center, can help with selfassessment 
and improving human resources management. The Strategic 
Planning and Assessment Office of the Deputy Assistant Secretary of the 
Navy (Civilian Personnel/Equal Employment Opportunity) is responsible 
for overseeing the Departments Human Resources Management 
assessment program. If you have a question about the program, or see a 
way we can make it better, please get in touch with us. You can reach us 
at DSN 426-6819 or by commercial telephone at 703-696-6819. Our 
mailing address is: 
ODASN(CP/EEO), DP0B 
800 N. Quincy Street 
Arlington, VA 22203-1998 The scale shown above is used for all of the assessment areas. The tables on this page can be 
used by employees to provide information and by management to pull together the results. A 
copy of the last page, which summarizes the Merit System Principles, should be available to 
employees and managers to help them respond. 
An assessment of our human resources management practices 
4 
2 
3 
Sometimes 
1 
Never 
5 
Always 
 Rating: 
1 2 3 4 5 
 Rating: 
1 2 3 4 5 
 Rating: 
1 2 3 4 5 
 Rating: 
1 2 3 4 5 
Comments: 
Accountability and Responsibility 
Management adheres to Merit System Principles and other civil service rules 
Management knows and implements appropriate workplace diversity measures 
My job description is accurate and my work assignments are clear 
My supervisor takes appropriate action to correct personnel and EEO problems 
Communication 
I get timely information about vacancies and other career information 
I understand the organizations direction and priorities 
I get timely benefits (retirement/pay/insurance/TSP) information 
I know who to call for civilian personnel and EEO assistance 
I feel free to discuss issues with my supervisor 
The organization gets good service from its personnel office 
Organization Health 
I get the training I need to do my job and enhance my abilities 
I have the tools and support systems I need to do my work 
I am recognized for good work and get constructive help as needed 
I work in a safe and healthy work environment 
Employees have the skills and ability to perform their work 
This organization implements family friendly work practices 
EEO 
I am aware of the EEO complaint process 
I can use the EEO complaint process without fear of retaliation 
I have received the required sexual harassment training 
The workplace is free from discrimination and sexual harassment Results and Action Plan 
Organization: 
Communication 
How did the assessment results compare with our goals, expectations, and previous 
results? 
What are the most important areas for improvement? 
What actions do we need to take to improve our results in this area? 
Organization Health 
How did the assessment results compare with our goals, expectations, and previous 
results? 
What are the most important areas for improvement? 
What actions do we need to take to improve our results in this area? 
Page 1 of 2 
Date: Page 2 of 2 
Date: 
Results and Action Plan 
Organization: 
EEO 
How did the assessment results compare with our goals, expectations, and previous 
results? 
What are the most important areas for improvement? 
What actions do we need to take to improve our results in this area? 
Accountability and Responsibility 
How did the assessment results compare with our goals, expectations, and previous 
results? 
What are the most important areas for improvement? 
What actions do we need to take to improve our results in this area? 
Background Information 
Merit System Principles: Most of the areas assessed do not need explanation. One 
question addresses the Merit System Principles. These principles are: 
  Recruit qualified individuals from all segments of society and select and advance employees 
on the basis of merit after fair and open competition. 
  Treat employees and applicants fairly and equitably, without regard to political affiliation, 
race, color, religion, national origin, sex, sexual orientation, marital status, age, or 
handicapping condition. 
  Provide equal pay for equal work and reward excellent performance. 
  Maintain high standards of integrity, conduct, and concern for the public interest. 
  Manage employees efficiently and effectively. 
  Retain or separate employees on the basis of their performance. 
  Educate and train employees when it will result in better organizational or individual 
performance. 
  Protect employees from improper political influence. 
  Protect employees against reprisal for the lawful disclosure of information in "whistleblower" 
situations (i.e., protecting people who report things like illegal and/or wasteful activities). 
Prohibited Personnel Practices: There are a number of prohibited personnel practices that 
also need to be considered in assessing how well an organization adheres to the concepts set 
forth in the Merit System Principles. Any employee who has authority to take, direct others to 
take, recommend, or approve any personnel action, shall not, with respect to such authority: 
  Discriminate on the basis of race, color, religion, sex, national origin, age, handicapping 
condition, marital status, or political affiliation. 
  Solicit or consider any personnel recommendation or statement not based on personal 
knowledge or records of performance, ability, aptitude, general qualifications, character, 
loyalty, or suitability. 
  Coerce an employee's political activity. 
  Deceive or obstruct any person with respect to such person's right to compete for 
employment. 
  Influence a person to withdraw from competition. 
  Grant any preference or advantage not authorized by law, regulation, or rule. 
  Employ or promote a relative. 
  Retaliate against employees or applicants who exercise their appeal rights, testify or 
cooperate with an inspector general or the Special Counsel, or refuse to break a law. 
  Discriminate based on actions not adversely affecting performance, or 
  Violate any law, rule, or regulation implementing or directly concerning the merit principles.